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Stay Compliant Before SEBI or RBI Ever Knock on Your Door.

 Our SEBI/RBI Compliance & Preventive Audit service ensures your organization is 100% compliant — avoiding penalties, restrictions, and license risk.

Book Expert Consultation Call (Preventive Compliance Review)

Why Precaution is Power?

Most SEBI and RBI actions start with small lapses — delayed filings, improper disclosures, or control failures. Prevention today saves crores tomorrow.

Common compliance lapses we detect early:

  • Delayed or missing regulatory filings / submissions
  • Circular non-implementation or documentation errors
  • KYC & AML violations for NBFCs or brokers
  • Investor grievance redressal failures
  • Capital adequacy or liquidity reporting gaps

Our Preventive Audit Approach

  • Comprehensive SEBI/RBI Compliance Checklist Review
  • Risk Scoring Report for key compliance areas
  • Internal Control Testing (process, policy, and reporting)
  • Remediation Plan with step-by-step corrective actions
  • Optional Mock Inspection Drill to prepare for real audits

Who Should Engage Us

  • NBFCs, PMS firms, fintechs, brokers, and investment advisors
  • Early-stage companies seeking registration or compliance setup
  • Entities that received past warnings or observations

Why Friendly Audits

Confidential Preventive Audit Platform

India’s first platform offering confidential SEBI/RBI preventive audits, ensuring privacy and risk-free compliance assessments.

Expert Regulatory Team

Led by seasoned SEBI and RBI compliance specialists with extensive experience in financial regulations and legal audits.

Comprehensive Compliance Reporting

Get detailed audit reports with actionable insights and executive summaries tailored for board-level decision-making.

Secure & Confidential Engagements

Every client engagement is protected by NDAs, ensuring full confidentiality and compliance data security.

360° Compliance Strategy

Our holistic approach includes auditing, team training, and inspection readiness to prevent regulatory non-compliance.

Real-Time Audit Tracking

Maintain complete visibility through our digital tracking system — monitor progress and updates in real time.

Senior Legal Expertise

Audits and compliance reviews handled by senior professionals and former regulatory officers for precise, defensible outcomes.

Actionable Risk Mitigation Plan

Receive a clear, step-by-step compliance improvement roadmap to address gaps, strengthen controls, and ensure long-term regulatory readiness.

Process

Deliver risk report and action plan

Conduct preventive audit & control testing

Preliminary risk discussion and checklist mapping

Book your Expert Consultation Call