Complisec Private Limited Etd- 2010
Compliance Services
our process
Our process revolves around ensuring customer satisfaction. We strive to make compliance processes a cakewalk for businesses of all sizes. We have streamlined our processes to allow for the highest standards of quality and efficiency in order to deliver the best possible results.
Step 1
Complisec will provide one stop solutions towards completion of your compliance requirements including Internal Audits, System Audits, Cyber Audits, Research Audits, Investment Advisory audits, etc.
Step 2
Hand Holding brings along loads of advantages including handing over non-core activities to a service provider having good bandwidth in such areas. This will help to grow your core business of Stock Broking. We believe Complisec is your best hand-holding partner.
Compliance Service
Kick-off call
To be able to guarantee top-notch results it is important to understand business in depth. We believe in learning about your business processes through a kick-off call where we analyze your requirements & understand your business better.
Compliance Service
What You'll Need
We are just a meeting away. A phone call will start helping you to understand and ease your mind. Compliances will no longer be a worry. Complying with us will end all your worries.
common questions
FAQ
We are here to help you 7 days a week and respond within 24 hours. Plus, you can find most answers to your questions right on this page.
COMPLIANCE’ means being within the limits of rules and regulations so that knowingly or unknowingly, no one does anything which will violate the requirements mentioned by SEBI or Stock Exchanges and Depositories.
. A common man wishes to invest in Stock Market for making profits. The route for doing this is appointing a Stock Broker who can buy or sell shares on his behalf and help him earn. But, while handling other people’s money or shares, there must be rules and governance so that common man is not cheated. Hence, SEBI, with the help of Compliance requirements, safeguards common man’s money and securities.
When the Regulators are putting some norms and requirements to be adhered to by Intermediaries, it is important to implement those requirements correctly which involves understanding the subject matter and reason for the requirement, getting the reports generated from brokers’ back-office, vetting the reports generated for compliance to ensure accuracy and ensuring timely submissions.
general info & inquiry
Have a Question?
We are here to help you 7 days a week and respond within 24 hours. Plus, you can find most answers to your questions right on this page.
