Regulatory & Compliance Due Diligence
Regulatory and compliance due diligence — licences, sector approvals, filings and regulatory history checked before a deal or partnership.
- Estimate Cost
- ₹50,000 – ₹3,00,000
- Typical duration
- 14 days
Service overview
Comprehensive audit of sector-specific regulatory approvals, business licenses, statutory compliance histories, corporate governance mandates, and interactions with regulatory bodies.
Who needs it? / When is it needed?
Acquirers, investors, and lenders executing M&A or equity transactions in heavily regulated industries such as Fintech, Banking, Pharmaceuticals, Telecom, Healthcare, and Energy.
What to expect from the WCP Professionals
Detailed mapping of regulatory requirements, validation of active permits and approvals, review of regulator correspondence, and quantification of non-compliance exposure.
Key deliverables
Regulatory Compliance Audit Report, License & Approval Validity Matrix, Non-Compliance Liability Schedule, and Sectoral Regulatory Risk Map.
Standard turnaround time
2 to 3 weeks (depending on sectoral regulatory complexity and multi-jurisdictional presence).
Government fees, timelines & key outcomes
No government fee for the review. Regulator portal searches and record inspections may attract nominal charges.
Key outcomes: a clear view of licences, approvals and compliance gaps, and whether the transaction itself needs regulatory approval.
Forms & filings involved
Sectoral regulator annual returns, periodic compliance filings, and regulatory clearance review applications.
Documents required
Sectoral operating licenses, regulatory permissions, past inspection reports, correspondence with governing authorities, show-cause notices, and internal compliance registers.
What we need from you
Direct access to the Chief Compliance Officer, copies of all regulatory filings, and read-only access to regulatory compliance management software/portals.
Important conditions
Full disclosure of historic regulatory show-cause notices, consent orders, fines, or ongoing regulatory investigations.
Additional information
Crucial for preventing post-acquisition business disruption, license revocations, or heavy statutory fines from regulatory authorities.
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 regulatory due diligence cover?
Business licences, sector approvals, statutory filings, inspections, notices and the target's dealings with regulators.
Can a transaction need regulatory approval?
Yes — for example, CCI approval above thresholds, or sector regulators for change of control in banking, insurance or telecom.
Why check change-of-control clauses in licences?
Some licences lapse or need fresh approval when ownership changes, which can affect closing.
How long does it take?
Typically 2–3 weeks, depending on the sector and number of licences.