Services Offered by AureON Consulting

1. Regulatory Compliance Strengthening

• Conduct comprehensive compliance reviews across all functional areas of banks and NBFCs.

• Identify gaps in existing systems, processes, and documentation vis-à-vis RBI guidelines.

• Provide actionable recommendations for compliance enhancement and risk mitigation.

• Assist in developing internal compliance frameworks, policies, and SOPs.

2. RBI Inspection Readiness (Pre-Inspection Support)

• Mock audits & pre-inspection assessments

• Staff preparation for RBI queries with walkthroughs & documentation support

• Review of KYC/AML, credit, IRACP, governance, cyber & operational risks

• Compile inspection folders, MIS & regulatory data

3. Regulatory Reporting & Return Filings

• Assist in preparing & submitting all RBI regulatory returns

• Review & validate data accuracy and consistency

• Advisory on automated regulatory reporting architecture

• Ensure compliance with XBRL/online portal guidelines

4. Advisory on Change of Management / Control (NBFCs)

• Assess if transactions require RBI approval

• End-to-end support for change in management, >26% shareholding, transfer of control

• Draft applications, declarations, financials, fit & proper documentation

• Liaise with stakeholders & guide post-approval compliances

5. Policy Review & Governance Support

• Draft/review credit, compliance, risk management, KYC/AML, internal audit policies

• Align policies with latest RBI circulars & supervisory expectations

• Strengthen governance frameworks & oversight mechanisms

6. Training & Capacity Building

• Training for compliance officers, branches, credit teams & senior management

• Sessions on new RBI guidelines, risk culture & AML compliance

• Tailored modules based on entity size & business model

7. Ongoing Compliance Advisory

• Continuous advisory on implementing new RBI circulars

• Strategic compliance partner for management & board committees

• Monitor compliance calendar & support internal compliance audits