Due Diligence & Compliance Services

Legal Compliance to Documentary Requirements – we manage it all!

Due Diligence services India involve methodically organizing and analyzing the documents and information and then identifying any risks that might be associated with any issues or problems.

    Areas of Due Diligence:
  • Legal Due Diligence in Civil Litigation - involves conducting research on the proposed reliefs to be requested in a matter. After doing intensive research, we prepare a memorandum wherein we lay down the reasons for keeping or doing away with certain reliefs requested.
  • Legal Due Diligence in Business Transactions – involves analyzing transactions that involve sale and purchase of products or services or that involve mergers, acquisitions and partnerships of corporate entities.
  • Legal Due Diligence in Intellectual Property – involves analyzing the party’s right to use and the right to stop others from using IP assets, reclaiming the mark, maximizing the mark and ensuring that it does not become generic.
  • Legal Due Diligence in Property Transactions – Commercial due diligence involves conducting searches on real estate property records to determine any liens on the property, any construction required on the property, determining compliance with local building codes.

Legal Compliance

With corporate scandals on the rise and the consequent regulatory regulations becoming stricter, it is necessary to ensure that the policies and procedures of your company are in compliance with the rules and regulations formulated by various regulatory authorities in different countries. Ensuring legal compliance can become a time consuming as well as labor-intensive task. This can result in the mounting of your administrative costs. SunLexis offers you a comprehensive legal outsourcing compliance services solution that is cost-effective yet ensures that accuracy is maintained.

    Areas of Legal Compliance:
  • Detailed document review services to analyze Compliance Manuals, Code of Ethics, Policies and Procedures, Standard Investment Advisory Agreements, Disclosure Brochures and other compliance related documents.
  • Preparation of Annual Reports for your clients.
  • Drafting compliance related documents like Business Continuity Plan, Disaster Recovery Program, Holdings Report, Compliance Exception Report.
  • Tracking all your regulatory compliance filings.
  • Acting as your dedicated Chief Compliance Officer.

Restoring American Financial Stability Act/Dodd Bill (Proposed Legislation): An area of Concern?

U.S. Senate Banking Committee Chairman Christopher Dodd proposed a financial regulatory reform bill on March 15, 2010 which can become a matter of concern for many broker-dealers and financial advisers. Some of the proposed legislative requirements are:

  • registration of private fund managers and increased reporting obligations for the private fund industry;
  • a liquidation regime for systemically important financial institutions;
  • reform of the markets for derivatives;
  • financial stability and “too big to fail” regulation;
  • partial realignment of U.S. bank supervisory responsibility;
  • creation of a new Bureau of Consumer Financial Protection;

If this bill gets the approval of the House, it might just raise the expense of being legally compliant and might shut down completely the only remaining reliable path for small businesses to raise capital.


Tel: (91) 989-999-8198
Email: info@sunlexis.com
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