Compliance Audit
Audit of compliance with corporate, tax, labour and sector laws — registers, filings, licences and policies checked against requirements.
- Estimate Cost
- ₹15,000 – ₹1,00,000
- Typical duration
- 10 days
Service overview
Evaluating an organization's adherence to regulatory guidelines, internal policies, and statutory laws.
Who needs it? / When is it needed?
Enterprises wanting to ensure strict adherence to industry regulations and statutory mandates.
What to expect from the WCP Professionals
Regulatory framework review, gap analysis, and compliance evaluation report.
Key deliverables
Compliance audit report, risk assessment matrix, and remedial action checklist.
Standard turnaround time
7 to 14 working days.
Government fees, timelines & key outcomes
No government fee for the audit. Any defaults found may need late fees, interest or compounding to be regularised.
Key outcomes: a clear picture of compliance status, with defaults identified and regularised before they draw penalties.
Forms & filings involved
Regulatory compliance checklists and audit working papers.
Documents required
Statutory registers, filings, licenses, internal policies, and operational records.
What we need from you
Access to operational records, compliance documentation, and management inputs.
Important conditions
Subject to complete disclosure of operational activities and legal documents.
Additional information
Helps prevent penalties, legal disputes, and regulatory sanctions.
The estimated cost covers indicative professional fees only. Government fees, stamp duty and taxes are payable at actuals.
How it works
- 1. Raise a service enquiry describing your requirement.
- 2. A Relationship Manager reviews it and opens it for bidding.
- 3. Pay into escrow and assign the professional you select.
- 4. Track progress to completion, then accept and release payment.
Frequently asked questions
What does a compliance audit check?
Whether the business has the registrations and licences it needs, maintains required registers and files returns on time under the laws that apply to it.
How often should a compliance audit be done?
At least annually, and before funding, acquisitions or regulatory inspections.
Can defaults found be fixed?
Most can be regularised by filing with late fees, interest or compounding; early action usually reduces penalties.
Is a compliance audit the same as a secretarial audit?
No. A secretarial audit by a Company Secretary covers company and securities laws for specified companies; a compliance audit can cover a wider range of laws.