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Risk, Governance & Compliance

Getting compliance right before the regulator arrives.

Regulatory complexity in India has accelerated sharply. DPDP, RBI frameworks, SEBI mandates, and ESG disclosure requirements all demand specialist knowledge most companies do not have in-house. Our Compliance consultants help companies build programmes that are genuinely functional, not just checkbox exercises.

Passing RBI AuditDPDP ReadinessESG ReportingData SecurityRegulatory Approvals
Who This Is For

Built for leaders
who need results.

Whether you are a startup scaling fast, a mid-market firm navigating complexity, or a PE-backed company on a tight timeline, Preconsultify's Risk, Governance & Compliance experts have been where you are.

01

FinTechs & NBFCs

RBI audit prep, KYC frameworks, and payment system compliance.

02

Listed Companies

BRSR reporting, SEBI compliance, and board-level governance disclosures.

03

SaaS Platforms

DPDP Act readiness, consent architecture, and cross-border data transfer rules.

Additional Areas

Beyond the core, deeper expertise.

Data Privacy Architecture

Designing consent frameworks, data maps, and breach response protocols under DPDP 2023.

Regulatory Audit Readiness

Preparing organisations for RBI, SEBI, and sector-specific inspections.

ESG & BRSR Reporting

Building the data pipelines and narrative frameworks required for SEBI's BRSR disclosures.

Consultant Network

Work with verified top-tier experts.

Consultant

Senior Expert

Ex
PwC
Consultant

Partner

Ex
EY
Consultant

Senior Project Manager

Ex
KPMG
Consultant

Engagement Manager

Ex
Deloitte
Industries we serve

Risk, Governance & Compliance expertise across industries.

Case Studies

Problems solved. Outcomes delivered.

SaaS / Technology · Bengaluru

DPDP Compliance Programme for a SaaS Platform

The Challenge

This reflects the type of challenge our consultants are built to solve, drawn from real industry experience. The DPDP Act 2023 came into force and the company had 90 days to demonstrate readiness. The CTO's honest assessment in an internal meeting: 'We have no data map, no documented consent flows, and I don't know what data we're actually processing across all six product modules.' That was the starting point. Not a gap analysis. A blank page.

The Approach

Six weeks of data discovery across all six modules, mapping every data flow, every processing activity, every third-party integration. The work produced what's formally called a Record of Processing Activities, but in practice it was the first time anyone in the company had a complete picture of what data they held and why. Consent architecture was redesigned end-to-end. A DPO function was established. A breach response protocol was tested via a tabletop simulation before anyone felt it was real enough to need one.

Outcome

DPDP readiness documented within 11 weeks. Three consent flows that collected data the company didn't need and couldn't justify were deprecated. Two cross-border data transfers that were legally non-compliant were restructured. The CTO said at the end that the most valuable output wasn't the compliance documentation, it was finally knowing what data they actually had.

11 weeks
Readiness Timeline
3 eliminated
Non-Compliant Flows
6 of 6
Data Modules Mapped
View case study
FinTech / Payments · Mumbai

RBI Audit Preparation for a Payment Aggregator

The Challenge

The company had secured its PA licence 18 months prior but had neglected to build the robust internal compliance infrastructure required to maintain it. With an RBI inspection looming within the next quarter and 14 open observations from their previous internal audit, the leadership team was facing high regulatory risk and a potential threat to their operating licence.

The Approach

We conducted a rigorous gap analysis against the RBI Master Directions for Payment Aggregators. We developed a prioritised remediation roadmap that overhauled their KYC, transaction monitoring, grievance redressal, and cybersecurity controls. Each of the 14 prior audit findings was addressed, documented, and closed to ensure the company could present a clean track record to the regulator.

Outcome

The company successfully passed its RBI inspection with zero major observations, a significant milestone in its operating history. The comprehensive compliance framework we institutionalised during the project became the company's permanent internal compliance playbook for all future regulatory interactions.

Zero
Major Observations
14 of 14
Prior Findings Closed
10 weeks
Timeline
View case study
Manufacturing · Pune

BRSR Report for a Listed Manufacturer

The Challenge

With SEBI making BRSR mandatory, the company faced a deadline they weren't prepared for. Their ESG data was fragmented across seven different systems, maintained by individual managers who were unaware of the reporting requirements. The company had never produced a formal sustainability report, and the existing sustainability team consisted of a single junior manager with no prior experience in ESG disclosures.

The Approach

We delivered an 11-week intensive data collection and reporting programme. We built a custom data architecture to consolidate information from Finance, HR, EHS, and Procurement, creating a unified disclosure template. We managed the narrative drafting process, bridge-building between the sustainability team and the CFO to ensure the final report was both accurate and prepared for board-level sign-off.

Outcome

The company filed its first BRSR report on time, meeting all SEBI requirements. For seven metrics where historical data was missing, we used defensible, methodologically sound estimates with clear disclosure notes. The sustainability manager successfully operationalised the collection framework, enabling her to manage the subsequent year’s report independently while the board used the data to anchor their first ESG-focused investor presentation.

9 of 9 complete
BRSR Principles
Zero
SEBI Queries
6
Departments Coordinated
View case study
Consumer / D2C · Delhi NCR

Governance Framework for a PE-Backed D2C Brand

The Challenge

This reflects the type of challenge our consultants are built to solve, drawn from real industry experience. A PE firm had invested ₹45 Cr in a fast-growing D2C brand but found that decision-making was entirely founder-driven, with no audit committee, no board-approved risk appetite, and no formal investor reporting structure. The 100-day post-investment period required a full governance uplift. The PE partner's specific concern was that two prior portfolio companies had experienced founder-investor conflict within 18 months of investment, both traceable to unclear decision rights.

The Approach

A board committee structure was designed with three committees, audit, compensation, and risk, each with a charter tailored to the company's stage, not copied from a template. Decision rights were mapped across four dimensions: what the founder decides alone, what needs the CFO, what needs board notification, and what needs board approval. A monthly investor reporting pack was built, piloted for two months with the finance team before going live. A risk register was created and populated across five operational areas.

Outcome

Governance framework live in 14 weeks. First board meeting under the new structure resolved three decisions that had been deadlocked for over six weeks. Twelve months in, there had been no formal founder-investor dispute, the PE partner noted the decision-rights framework had been referenced in three situations that could have escalated but didn't. One committee hadn't met as scheduled; that was flagged, not glossed over.

14 weeks
Framework Timeline
3 with charters
Committees Established
3
Deadlocked Decisions Resolved
View case study
Manufacturing / Family Business · Ahmedabad

Governance Professionalisation for a Family-Owned Industrial Group

The Challenge

This reflects the type of challenge our consultants are built to solve, drawn from real industry experience. The group was managed by two brothers in their early 60s, with succession now urgent across a third generation of five family members with differing levels of involvement, and differing opinions about who should lead what. There was no formal board, no independent directors, no intercompany pricing policy, and no framework for making decisions when the two brothers disagreed. They'd been managing that last problem by avoiding certain conversations for years. A PE firm had paused due diligence after flagging these gaps.

The Approach

A 14-week programme. The first four weeks were a governance diagnostic, mapping actual decision flows, which differed significantly from what either brother initially described. Three independent directors were identified and constituted in week 8: one with sector expertise, one with financial markets experience, one with family business governance experience. An intercompany pricing policy was drafted and approved. A family charter was developed across three family sessions that were, by all accounts, not easy conversations. The goal was not consensus on everything, it was a documented framework for handling disagreement.

Outcome

The PE firm re-engaged and proceeded to due diligence on the target unit. The family charter was signed by all five family members. A risk review conducted during the programme identified insurance coverage gaps; restructuring the policies reduced the group's annual premium by ₹16 Lakh. The PE transaction had not closed at the time of this writing, it remains in due diligence. That's worth saying, because closing isn't guaranteed, and governance alone doesn't determine deal outcomes.

Re-engaged, in due diligence
PE Outcome
Signed by 5 members
Family Charter
₹16 Lakh/year
Insurance Saving
View case study
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