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Compliance Risk Assessment Questionnaire for India

Compliance Risk Assessment Questionnaire Template for India

A comprehensive compliance risk assessment tool designed for organizations operating in India, structured to evaluate adherence to various Indian regulatory requirements including the Companies Act 2013, PMLA 2002, SEBI regulations, and other applicable laws. This questionnaire helps organizations identify, assess, and manage compliance risks across different operational areas while ensuring alignment with Indian regulatory frameworks. It includes detailed sections on corporate governance, financial controls, data protection, and industry-specific compliance requirements, providing a systematic approach to risk evaluation and mitigation planning.

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What is a Compliance Risk Assessment Questionnaire?

The Compliance Risk Assessment Questionnaire serves as a critical tool for organizations operating in India to systematically evaluate their compliance with various regulatory requirements and identify potential risks. This document becomes essential when companies need to conduct periodic compliance audits, prepare for regulatory inspections, or establish new compliance programs. It covers comprehensive assessment areas including corporate governance, financial controls, anti-money laundering measures, data protection, and industry-specific requirements under Indian law. The questionnaire is designed to align with key Indian legislation including the Companies Act 2013, PMLA 2002, SEBI regulations, and other applicable laws, helping organizations maintain regulatory compliance and develop effective risk mitigation strategies.

What sections should be included in a Compliance Risk Assessment Questionnaire?

1. Company Information: Basic details about the organization including legal name, registration numbers, industry sector, and key contacts

2. Scope and Methodology: Overview of assessment scope, risk assessment methodology, and evaluation criteria

3. Regulatory Framework Compliance: Questions regarding compliance with key Indian regulations including Companies Act, SEBI requirements, and other applicable laws

4. Anti-Money Laundering and Financial Controls: Assessment of PMLA compliance and financial control mechanisms

5. Corporate Governance: Evaluation of board structure, policies, and governance mechanisms

6. Data Protection and Technology Compliance: Assessment of IT Act compliance, data protection measures, and cybersecurity controls

7. Operational Compliance: Day-to-day operational compliance including licenses, permits, and regular filings

8. Risk Assessment Matrix: Evaluation criteria and risk scoring methodology

9. Findings and Recommendations: Summary of identified risks and recommended mitigation measures

What sections are optional to include in a Compliance Risk Assessment Questionnaire?

1. Industry-Specific Compliance: Additional questions for sector-specific compliance requirements (e.g., banking, insurance, manufacturing)

2. Environmental Compliance: For organizations with environmental impact considerations

3. Export Control Compliance: For organizations involved in international trade

4. Healthcare Compliance: For healthcare organizations and medical device companies

5. Financial Market Compliance: For organizations involved in securities trading or listed companies

What schedules should be included in a Compliance Risk Assessment Questionnaire?

1. Risk Scoring Guidelines: Detailed guidelines for scoring responses and evaluating risk levels

2. Documentary Evidence Checklist: List of required supporting documents and compliance certificates

3. Regulatory Reporting Calendar: Timeline of various regulatory filing requirements

4. Risk Heat Map Template: Template for visualizing identified risks and their severity

5. Compliance Monitor Checklist: Ongoing monitoring requirements for identified risks

6. Action Plan Template: Template for documenting remediation plans for identified compliance gaps

Authors

Alex Denne

Head of Growth (Open Source Law) @ Ƶ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

Jurisdiction

India

Publisher

Ƶ

Cost

Free to use
Relevant legal definitions


































Clauses






























Relevant Industries

Banking and Financial Services

Insurance

Manufacturing

Information Technology

Pharmaceuticals

Healthcare

Real Estate

Telecommunications

Energy and Utilities

E-commerce

Retail

Transportation and Logistics

Relevant Teams

Legal

Compliance

Risk Management

Internal Audit

Corporate Governance

Regulatory Affairs

Finance

Operations

Information Security

Human Resources

Relevant Roles

Chief Compliance Officer

Risk Manager

Legal Counsel

Compliance Analyst

Internal Auditor

Regulatory Affairs Manager

Corporate Governance Officer

Company Secretary

Chief Risk Officer

Compliance Director

Legal and Compliance Manager

Risk and Compliance Specialist

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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