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Risk Management Advisory & Consulting




            Riskpro, India


                   1
Make Decisions……


Take Risks…….......


   Experience Success!




   Your partner in
  Risk Management

                         2
Who is Riskpro… Why us?


                 ABOUT US                                                    MISSION
   Riskpro is an organisation of member firms
    around India devoted to client service                   Provide integrated risk management
    excellence. Member firms offer wide range                 consulting services to mid-large sized
    of services in the field of risk management.              corporate /financial institutions in India
   Currently it has offices in three major cities           Be the preferred service provider for
    Mumbai, Delhi and Bangalore and alliances                 complete Governance, Risk and Compliance
    in other cities.                                          (GRC) solutions.
   Managed by experienced professionals with
    experiences spanning various industries.




         VALUE PROPOSITION                                            DIFFERENTIATORS
   You get quality advisory, normally delivered
    by large consulting firms, at fee levels                  Risk Management is our main focus
    charged by independent & small firms
                                                              Over 200 years of cumulative experience
   High quality deliverables
                                                              Hybrid Delivery model
   Multi-skilled & multi-disciplined organisation.
                                                              Ability to take on large and complex projects
   Timely completion of any task                              due to delivery capabilities
   Affordable alternative to large firms                     We Hold hands, not shake hands.

                                                      3
Governance, Risk and Compliance (GRC)– Need of today



                       • Increasing complexity in the regulatory and compliance
                         requirements
   Global regulatory   • Global reach of companies and related compliance
       Driven            issues
                       • HITECH- Health industry, Solvency II-Insurance




      Compliance       • All Listed companies required to comply with SEBI
                       • Regulatory intervention in role of Independent Directors
     Eg. Clause 49     • Investors expectations and protection




                       • Stepping stone to Enterprise Risk Management
                       • Competitive Pressures
    Best Practices     • Manage internal scams and external frauds
                       • Quality conscious




                                     4
GRC – Riskpro’s Execution Model

                                            Reputation
                                              Risk
                              Corporate                     COBIT
                             Governance



                                              Governance
                                                                 ERM
                                BCM

                                               Strategy
                                               People
              Business                                                     Environmental
                Risk                         Processes                                     Regulatory
                                                                                           Compliance
 Fraud &
 Forensic                                    Technology
 Advisory
                   Risk                                                   Compliance

                                                                                              Sox
                                Financial
 Risk based                       Risk
  Internal                                                 Basel II/III
    Audit
               Operational
                  Risk                                                       Solvency
                                                                                            IFRS
                                                                                 II
                                                     5
Risk Management Advisory Services

           Basel II/III Advisory               Corporate Risks                            Information Security
              Market Risk                        Enterprise Risk Assessment                IS Audit
              Credit Risk                        Fraud Risk                                Information Security
              Operational Risk                   Risk based Internal Audit                 IT Assurance
              ICAAP                              Operations Risk                           IT Governance
                                                  Forensic services
SERVICES




           Operational Risk                    Governance                                 Other Risks
              Process reviews                    Corporate Governance                      Business/Strategic Risk
              Policy/ Process Review             Business Strategic risk                   Reputation Risk
              Process Improvement                Fraud Risk                                Outsourcing Risk
              Compliance Risk                    Forensic Accounting                       Contractual Risk




                              Training                                              Recruitment
                      Banking – E Learning                                        Virtual Risk Managers
                      Corporate Training                                          Full Time Risk Professionals
                      Regular Risk Management Training                            Part time Risk Professionals
                      Online Training material
                                                                                   Risk Managers on call – free
                      Workshops / Events




                                                            6
Challenges that companies face today                                                                   ADVISORY


Introduction of GST, IFRS, and Direct Tax Code             Redeployment of human capital across the organization

A lot of regulations are set to change in the next few     As companies are addressing cost cutting measures, there is
years. These are sweeping changes and companies in         a lot of internal movement to absorb excess manpower in
India need to be geared up with many internal and          sales and operational departments. But these movements
technological changes before things are done.              come at a hidden cost. The cost of loss of knowledge in the
                                                           old role and the time taken to gain experience in the new
                                                           role.
Frauds are ever-increasing                                 Regulatory environment continues to be complex

Banking and manufacturing companies alike are faced        Interpretation of complex regulations makes compliance to
with a challenge to combat internal and external           these regulations difficult. Future changes in regulations add
frauds. With default rates increasing for the consumer     to the complexity and uncertainty. And companies are not
segment, the credit card industry is taking a big hit as   prepared for this.
well. Corporate governance has taken a toll with the
Satyam fiasco.


Uncertainty in the global and local markets                Finally, competition

The financial and liquidity situation across the globe     We can never forget that competition is always a concern for
continues to be gloomy. Although recovery seems not        any company at any point of the economic cycle.
far away, whether this recovery reverses all the
negative impact and brings India Inc to the mid 2008
period is a question.


                                                                7
Web Based Risk Management Training                                                  TRAINING


             Today organisations face immense regulatory, compliance and operational risks
             People who execute key processes such as settlements, KYC, AML reviews,
              account openings, payment processing are some times not trained enough
   Why       Untrained people often make excessive errors or ignore key process controls
             Web based training is a very cost effective way to impart knowledge to large
              employee base to minimize operational and reputational risks




             This is not E – Learning. This is real industry experts talking about key issues.

             A series of 5-10 sessions are customized and outlined that touch upon key risk
              issues and compliance requirements.
   How
             Practical, industry knowledge is shared as the speakers are industry experts

             The sessions are grouped with other users to bring down delivery costs. We can
              also deliver sessions exclusively for your organisation.


             Training can be delivered as low as Rs 200 / employee / per session.
 How Much
             We can discuss your training requirements and provide final quote



                                              8
Our Recruitment services                                                              RECRUITMENT


Full Time Staffing
   Riskpro is constantly building its network of Risk Professionals across India
        Today, we can help you hire risk professionals at all levels of experience

   We differentiate from other recruitment firms, because, as Risk Managers ourselves, we
    are able to better match your requirements and candidate experience
   Our charge out rates are competitive
        Slab rates. As we do more business with you, the rates come down.

Temporary Staffing - The Project Team
   Pool of highly qualified staff with deep risk expertise
   Available for your short to medium term needs
   Varying levels of professionals available. Experience starting from 4 years to 13 years.
    All will have CA, ICWA or equivalent qualification.
   The Project employees pool will be available as per your needs and the employees on
    site can start/stop projects as per your master project plan.



                                                        9
Risk Based Internal Audit                                                                                        How we Do


                              Internal Auditing helps an organization
                              accomplish its objectives by bringing a                                           Enterprise Risk
                              systematic, disciplined approach to evaluate                                       Assessment
                              and improve the effectiveness of risk
                              management, control and governance
                              processes.                                                            Risk
   Need of Organizations




                              Source: The Institute of Internal Auditors 1999 (IIA)              Assessment


                                                                                  Process
                                                                                  Reviews


                                                                 Fraud                Benefits of Risk based Audit
                                                                Mitigation
                                                                                      • Traditional audit view value added
                                              Control                                 techniques
                                              Reviews                                 •Risk profile of Businesses
                                                                                      •Internal Controls & Ops Risk reviews
                           Transaction                                                •Cost reductions recommendations
                              Audit                                                   •Review of Fraud Risk Controls

                                                   Increasing Enterprise Risk Focus

                                                                             10
Our Solution for Fraud Investigation


    Based on our understanding of your requirements, we have customized a package of our
    solution offerings to meet your needs.

    To detect and prevent fraud                Our Solution For you
    and    evaluate   Code   Of                                                                   Benefits To You
    Conduct     Compliance   on
    following parameters :                                                                        Protects you from any
     Fraud Detection                                                        Resolve               Monetary or Reputation
                                                                                                   damage
     Fraudulent Vendor                                     Investigate          Prioritize
     Recruiting      new      dealers,                                        solutions and
                                                                                 remedial         Code of conduct
      suppliers,     franchisees     or      Analyze                             measures
                                                              Source Root                          establishment
      distributors                                             cause of
                                                               Problem
     Anti-Fraud Measures                 Understanding
                                           Your Supply
                                                                                                  Enables you to identify
                                                                               Quantify Loss
     Monitoring Compliance and Aut          Chain                             and Suggest         risks / control gaps
                                                                              possible Actions
      horization                                             Obtaining And
                                                               securing
                                                               Evidence                           Helps you identify any
     Workplace Practice
                                          To Monitor Your                                          undisclosed production
     Background check for                   Process                              Solve
                                                                               Compliances
      employees                                                                  Issues
                                                                                                  Risk Mitigation
                                                              Confidential
     Background check for                                     Interviews
                                                              with vendors
      customers
                                          Evaluating your
                                               need
     Prevent default of high value
      bills
                                                               11
Enterprise Risk Management (ERM) - Methodology                                                How we Do




    You select the level and size
    of ERM efforts to suit your                    3 BASIC ERM                         4 ENHANCED ERM
    needs and budget.
                                                         Risk Identification               Risk Identification


1 Foundation               2 RISK IDENTIFICATION            Foundation                        Foundation


                                                   •FOUNDATION TASKS                   •Foundation Tasks
•ERM vision                •Risk Assessment        •RISK ASSESSMENT TASKS              •RISK Identification
•Goals and objectives      •Gap Analysis           •Risk Mgmt for 2-3 critical risks   •Enhanced Framework
•Policies                  •Risk Mapping           •Evaluate existing RM structures
•Organization structure                            •Enhanced management reports
•Alignment to strategies                           •Dashboards
                                                   •Monitoring tools
                                                   •Risk based Communication




                                                       12
IT Governance                                                                  How we Do



                   IS AUDIT
 • Operating Systems Audit
 • Database Audit
 • Networking Audit                                           IT GOVERNANCE
 • Firewall Audit                                   • COBIT
 • IDS Audit                                        • ValIT
 • Web Application, Data Center Audit               • Balanced Scorecard
 • Internet Banking, Core Banking Audit             • IT & Business Maturity Models
 • Performance & Forensic Auditing
 •Application Systems - Functional review
 • Compliance with IS Policies & Procedures
                                                              IT ASSURANCE
                                                      • Business Continuity Planning
                                                      • Computer Crime Investigations
              INFORMATION SECURITY                    • Training in IT
  • Penetration Testing                               • Compliance with IS Policies &
  • Application Systems - Security review             Procedures
  • Review of IS Controls
  • BS 7799 / (ISO 27001) Implémentation
  • Formation of IS Security Policy
  • Compliance with IS Policies & Procedures


                                               13
Business Continuity Management – Processes and                                                  How we Do
      Timelines

                 BC
BCP Management



                                                                                    BC Plan           Business
                 Planning                                                           Completed         Disruption
                 Starts
                                           Establish BC Training
                                           & Awareness Program
                       Establish
                       BC Policy                 Coordinate with laws,
                                                 regulations, standards
                              Create                                                             Maintain       Execute
                             Steering                                                                            BCP
                            Committee                Coordinate with internal /                    BC
                                                     External related agencies                  Readiness
                                    Set up
                                   BC Project             BC Plan Development Project


                              Risk Assessment / Management                   BC Plan
BCP Process




                                                                              Audit           BCP Audit;
                 Project                Business Impact Analysis                             Maintenance;
                 Scoping                                                          BC Plan   Testing; Training
                                        Business Continuity Strategy
                                                                                  Testing
                  Prepare Project Budget           BC Plan Development



                                                                   14
Riskpro Clients                                                                       Our Clients




Any trademarks or logos used throughout this presentation are the property of their
respective owners

                                                           15
Team Experiences                                                                       Our Experiences




            Our team members have worked at world class Companies
 Any trademarks or logos used throughout this presentation are the property of their
 respective owners
                                                         16
RESUMES – Our team                                                                     Credentials

                 Co-Founder - Riskpro
                 CA, CPA, MBA-Finance (USA), FRM (GARP)
 Manoj Jain


                 Over 10 years international experience – 6 years in Bahrain and 4 years USA
                 15 years exp in risk consulting and internal audits
                 Sox Compliance project for Fannie Mae, USA ( $900+ Billion Mortgage Company)
                 Specialization in Operational Risk, Basel II, Sox and Control design
                 Led medium to large engagement teams



                 Co- Founder - Riskpro
                 CA (India), MBA (Netherlands), CIA (USA)
 Rahul Bhan




                 Over 15 years of extensive internal and external audit experience in India and
                  abroad.
                 Worked with KPMG United Arab Emirates, PKF South Africa, Ernst and Young
                  Kuwait, Deloitte Netherlands and KPMG India.
                 Worked with clients in a wide variety of industries and countries including trading,
                  retail and consumer goods, NGO, manufacturing and banking and finance. Major
                  clients include banks, investment companies, manufacturing organizations,
                  aviation etc.

                                                      17
RESUMES - Our team                                                                        Credentials


                     Co-Founder - Riskpro
 Casper Abraham

                     PGD (Electrical & Electronics & Computer Programming)
                     30 years of experience in Information & Communications Technology (ICT) Solutions
                      for Retail, Garments, Manufacturing, Services Industries.
                     Has created Companies, Divisions, Products, Brands, Teams & Markets.
                     Consulting in Business, Technology, Marketing & Sales & Strategic Planning.
                     Advisory, Training, Workshops & Implementation in Systems Thinking, Systems
                      Modeling & Balanced Scorecard
                     Worked with TIFR, Mahindra, Ambience, Communico-Graphique & Ionidea Inc, USA,

                     Co-Founder - Riskpro
                     B Tech MBA
 Shriram Gokte




                     22 years of audit, risk management, information security & Compliance experience
                     Most recent employment with Paternoster, a UK Insurance company as Directpr Risk
                      & Compliance
                     Worked for Principal Financial Group at their Des Moines USA HO and then Birla Sun
                      Life Insurance as CRO
                     Strong operational process, risks, info sec and internal controls experience
                     Has taken 3 companies through ISO 27001 certifications.



                                                         18
RESUMES - Our team                                                                                Credentials

                     Co-founder- Riskpro
 Rajesh Jhalani

                     B.Com, FCA
                     Senior Partner with 48 year old Delhi based Chartered Accountant firm, Mehrotra
                      and Mehrotra
                     Over 19 years of experience in the field of Audit, Taxation, Company law matters.
                     Major clients served are NTPC, BHEL, Bank of India, PNB, Airport Authority of
                      India etc.



                     Specialist Risk Consultant – ERP & IT Compliance
                     SAP Certified, MBA (Finance), SAP Security trained (from SAP India), SAP GRC Access
                      Controls trained (from SAP India)
 Gourav Ladha




                     Over 7 years of experience working in the area of ERP/IT Risk advisory, primarily focusing
                      on SAP, for „Fortune 500‟ clients in around 8 countries including US, UK, UAE, Hong Kong,
                      etc
                     Specializes in SAP Risk & Controls Advisory, SAP Business Process Controls Audit, SAP
                      Security & Segregation of Duties Control Audit, ERP Trainings,
                     Strong Industry experiences ranging from Beverages, Insurance, Energy, FMCG,
                      Pharmaceutical, Retail, Telecommunication to IT Services
                     Worked for risk advisory teams of reputed organizations like Ernst & Young, EXL Services



                                                             19
RESUMES - PARTNERSHIPS                                                                  Credentials

                 Consultant – Information Security & IT Governance
                  LLB, CA, CISA, CWA, CS, CFE and others
 Anjay Agarwal


                  Over 15 years of experience in the field of Audit, Taxation, Investigations.

                  Specializing in the field of Systems Audit, Cybrex Audit, Computer Crime
                    Investigations, IS Forensics
                  International Committee Member of Governmental and Regulatory Agencies
                    Board and Academic Relations Committee of ISACA, USA




                    Consultant – Quality Management
                     Founder of PMG, a TQM Consulting Co in Delhi
 Piyush Kumar




                 

                    Mechanical Engineer
                    20+years experience in TQM concepts.
                    Strong skill set in various productivity & quality improvement projects including
                     Six Sigma offerings
                    Past experiences include reputed organizations like Andersen Consulting, Eicher
                     Consulting & Nathan & Nathan consultants



                                                        20
RESUMES - PARTNERSHIPS
                     Consultant – Corporate Governance
                     FCA, FCS, ACIS (UK), CFC (USA), PHD (Corporate Governance)
 Sanjiv Agarwal


                     25 yrs of professional experience as a Chartered Accountant with exposure in accounting,
                      auditing, corporate laws, service tax matters and banking/ financial services.
                     Large number of published articles on subjects such as Service Tax, Accountancy and
                      Auditing, Capital Market, Merchant Banking, Taxation, Corporate Governance and Corporate
                      laws. He has authored/ edited twenty five books.
                     He has been a SEBI nominated Director on the Boards of Jaipur Stock Exchange Ltd. and
                      JSEL Securities Ltd. He has also been an independent Director on the Board of Compucom
                      Software Limited for a period of 3 years and has also been an independent Director of State
                      Bank of Bikaner & Jaipur for 6 years since August 2004, where he held various positions
                      including that of audit committee chairman.

                     Corporate Consultant
                      25 years of work experience both In India and Middle-East with some of the
 Rakesh Kochar




                  
                      largest audit and assurance, software and trading companies in the world.
                     Some of the companies where he created his reputation were, Senior Director
                      (Global Revenues), Oracle India; Bangalore, EFunds International, Ernst &
                      Young, Dubai, U.A.E, Jumbo Electronics Co. Ltd. (LLC), Dubai, U.A.E., Price
                      Waterhouse Coopers.
                     Rakesh is an expert on Financial & Accounts outsourcing and operations of all
                      aspects of “shared centers” including HR processes and people strategy catering
                      to global operations across Order to Cash, Procure to Pay and Reporting and
                      Analysis.

                                                             21
RESUMES - PARTNERSHIPS
                     Specialist Risk Consultant – Business Continuity
Andrew Hiles

                     Founder and 15-year Chairman of Survive, the first international user group for Business
                      Continuity professionals
                     Founding director and first Fellow of the Business Continuity Institute
                     Over 25 years international consulting expertise in Risk, Crisis, Emergency, Incident, and
                      Business Continuity and ICT Disaster Recovery Management
                     Multi-sector experience including Banking, Insurance, Finance, Oil, Gas, Energy,
                      Manufacturing, Retail, Hi-Tech & Telecom
                     Western Press Award for services to business, 1994; BCI/CIR nomination for
                      lifetime achievement in BC, 1999, London; inducted into BC Hall of Fame by CPM magazine,
                      2004, Washington DC.

                     Specialist Risk Consultant – Enterprise Risk Management
Chris E. Mandel




                     Highly skilled risk and insurance professional with 25 years of experience designing,
                      developing and implementing large, global corporate risk management programs for Fortune
                      500 firms.
                     Principal Consultant and Founder - Excellence in Risk Management, LLC. (Texas, USA)
                     Past experiences include USAA, PepsiCo, American National Red Cross ,Verizon




                                                            22
RESUMES - Advisors                                                                                 Credentials

                      Founder partner of Mehrotra and Mehrotra, a 48 year old CA firm in India
 Mr. MP Mehrorta

                      Bcpm, FCA, LLB
                      Over 48 years of experience in audits, taxation, legal matters, loan syndication etc.
                      Trustee of Cochin Port Trust, Member of Task Force for MOUs, Ministry of Heavy
                       Industries & Public Enterprises, Govt. of India, Ex- Member of Central Board of
                       Trustees, Employees‟ Provident Fund Organisation (EPFO), Ministry of Labour,
                       Govt. of India, New Delhi.
                      Ex - Director, Canara Bank


                      Practicing chartered accountant in Delhi
                      CA, ICWA
 Mr. PK Gupta




                      Over 35 years of professional experience.
                      Trustee, Kargil Shaheed Smarak Samiti
                      Hon. Treasurer, World Academy of Spiritual Sciences (WASS).
                      Panel Arbitrator, International Centre for Alternative Dispute Resolution
                      Arbitrator, Cement Corporation of India
                      Arbitrator, Bombay Stock Exchange Limited
                      Arbitrator, Central Depository Services (India) Limited
                      Arbitrator‟s Panel of Indian Council of Arbitration


                                                                   23
Contacts and Office Locations
Corporate           Mumbai                         Delhi                       Bangalore
                    Manoj Jain                     Rahul Bhan                  Casper Abraham
                    Director                       Director                    Director
                    M- 98337 67114                 M- 99680 05042              M- 98450 61870
  info@riskpro.in
                    manoj.jain@riskpro.in          rahul.bhan@riskpro.in       casper.abraham@riskpro.in
  www.riskpro.in
                    Shriram Gokte                  Raj Sawhney
                    Principal - Information Risk   Principal – Business Risk
                    M- 98209 94063                 M- 99711 03510
                    shriram.gokte@riskpro.in       raj.sawhney@riskpro.in

Ahmedabad           Pune                           Agra
Maulik Manakiwala   M.L. Jain                      Alok Kumar Agarwal
Associate Firm      Principal – Strategy Risk      Associate Firm
M - 91 9825640046   M- 9822011987                  M- 99971 65253
                    mljain@riskpro.in
Gourav Ladha
Sap Risk Advisory
M- 97129 52955




                                                THANKS
                                                      24

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Riskpro brief introduction

  • 1. Risk Management Advisory & Consulting Riskpro, India 1
  • 2. Make Decisions…… Take Risks……....... Experience Success! Your partner in Risk Management 2
  • 3. Who is Riskpro… Why us? ABOUT US MISSION  Riskpro is an organisation of member firms around India devoted to client service  Provide integrated risk management excellence. Member firms offer wide range consulting services to mid-large sized of services in the field of risk management. corporate /financial institutions in India  Currently it has offices in three major cities  Be the preferred service provider for Mumbai, Delhi and Bangalore and alliances complete Governance, Risk and Compliance in other cities. (GRC) solutions.  Managed by experienced professionals with experiences spanning various industries. VALUE PROPOSITION DIFFERENTIATORS  You get quality advisory, normally delivered by large consulting firms, at fee levels  Risk Management is our main focus charged by independent & small firms  Over 200 years of cumulative experience  High quality deliverables  Hybrid Delivery model  Multi-skilled & multi-disciplined organisation.  Ability to take on large and complex projects  Timely completion of any task due to delivery capabilities  Affordable alternative to large firms  We Hold hands, not shake hands. 3
  • 4. Governance, Risk and Compliance (GRC)– Need of today • Increasing complexity in the regulatory and compliance requirements Global regulatory • Global reach of companies and related compliance Driven issues • HITECH- Health industry, Solvency II-Insurance Compliance • All Listed companies required to comply with SEBI • Regulatory intervention in role of Independent Directors Eg. Clause 49 • Investors expectations and protection • Stepping stone to Enterprise Risk Management • Competitive Pressures Best Practices • Manage internal scams and external frauds • Quality conscious 4
  • 5. GRC – Riskpro’s Execution Model Reputation Risk Corporate COBIT Governance Governance ERM BCM Strategy People Business Environmental Risk Processes Regulatory Compliance Fraud & Forensic Technology Advisory Risk Compliance Sox Financial Risk based Risk Internal Basel II/III Audit Operational Risk Solvency IFRS II 5
  • 6. Risk Management Advisory Services Basel II/III Advisory Corporate Risks Information Security  Market Risk  Enterprise Risk Assessment  IS Audit  Credit Risk  Fraud Risk  Information Security  Operational Risk  Risk based Internal Audit  IT Assurance  ICAAP  Operations Risk  IT Governance  Forensic services SERVICES Operational Risk Governance Other Risks  Process reviews  Corporate Governance  Business/Strategic Risk  Policy/ Process Review  Business Strategic risk  Reputation Risk  Process Improvement  Fraud Risk  Outsourcing Risk  Compliance Risk  Forensic Accounting  Contractual Risk Training Recruitment  Banking – E Learning  Virtual Risk Managers  Corporate Training  Full Time Risk Professionals  Regular Risk Management Training  Part time Risk Professionals  Online Training material  Risk Managers on call – free  Workshops / Events 6
  • 7. Challenges that companies face today ADVISORY Introduction of GST, IFRS, and Direct Tax Code Redeployment of human capital across the organization A lot of regulations are set to change in the next few As companies are addressing cost cutting measures, there is years. These are sweeping changes and companies in a lot of internal movement to absorb excess manpower in India need to be geared up with many internal and sales and operational departments. But these movements technological changes before things are done. come at a hidden cost. The cost of loss of knowledge in the old role and the time taken to gain experience in the new role. Frauds are ever-increasing Regulatory environment continues to be complex Banking and manufacturing companies alike are faced Interpretation of complex regulations makes compliance to with a challenge to combat internal and external these regulations difficult. Future changes in regulations add frauds. With default rates increasing for the consumer to the complexity and uncertainty. And companies are not segment, the credit card industry is taking a big hit as prepared for this. well. Corporate governance has taken a toll with the Satyam fiasco. Uncertainty in the global and local markets Finally, competition The financial and liquidity situation across the globe We can never forget that competition is always a concern for continues to be gloomy. Although recovery seems not any company at any point of the economic cycle. far away, whether this recovery reverses all the negative impact and brings India Inc to the mid 2008 period is a question. 7
  • 8. Web Based Risk Management Training TRAINING  Today organisations face immense regulatory, compliance and operational risks  People who execute key processes such as settlements, KYC, AML reviews, account openings, payment processing are some times not trained enough Why  Untrained people often make excessive errors or ignore key process controls  Web based training is a very cost effective way to impart knowledge to large employee base to minimize operational and reputational risks  This is not E – Learning. This is real industry experts talking about key issues.  A series of 5-10 sessions are customized and outlined that touch upon key risk issues and compliance requirements. How  Practical, industry knowledge is shared as the speakers are industry experts  The sessions are grouped with other users to bring down delivery costs. We can also deliver sessions exclusively for your organisation.  Training can be delivered as low as Rs 200 / employee / per session. How Much  We can discuss your training requirements and provide final quote 8
  • 9. Our Recruitment services RECRUITMENT Full Time Staffing  Riskpro is constantly building its network of Risk Professionals across India  Today, we can help you hire risk professionals at all levels of experience  We differentiate from other recruitment firms, because, as Risk Managers ourselves, we are able to better match your requirements and candidate experience  Our charge out rates are competitive  Slab rates. As we do more business with you, the rates come down. Temporary Staffing - The Project Team  Pool of highly qualified staff with deep risk expertise  Available for your short to medium term needs  Varying levels of professionals available. Experience starting from 4 years to 13 years. All will have CA, ICWA or equivalent qualification.  The Project employees pool will be available as per your needs and the employees on site can start/stop projects as per your master project plan. 9
  • 10. Risk Based Internal Audit How we Do Internal Auditing helps an organization accomplish its objectives by bringing a Enterprise Risk systematic, disciplined approach to evaluate Assessment and improve the effectiveness of risk management, control and governance processes. Risk Need of Organizations Source: The Institute of Internal Auditors 1999 (IIA) Assessment Process Reviews Fraud Benefits of Risk based Audit Mitigation • Traditional audit view value added Control techniques Reviews •Risk profile of Businesses •Internal Controls & Ops Risk reviews Transaction •Cost reductions recommendations Audit •Review of Fraud Risk Controls Increasing Enterprise Risk Focus 10
  • 11. Our Solution for Fraud Investigation Based on our understanding of your requirements, we have customized a package of our solution offerings to meet your needs. To detect and prevent fraud Our Solution For you and evaluate Code Of Benefits To You Conduct Compliance on following parameters :  Protects you from any  Fraud Detection Resolve Monetary or Reputation damage  Fraudulent Vendor Investigate Prioritize  Recruiting new dealers, solutions and remedial  Code of conduct suppliers, franchisees or Analyze measures Source Root establishment distributors cause of Problem  Anti-Fraud Measures Understanding Your Supply  Enables you to identify Quantify Loss  Monitoring Compliance and Aut Chain and Suggest risks / control gaps possible Actions horization Obtaining And securing Evidence  Helps you identify any  Workplace Practice To Monitor Your undisclosed production  Background check for Process Solve Compliances employees Issues  Risk Mitigation Confidential  Background check for Interviews with vendors customers Evaluating your need  Prevent default of high value bills 11
  • 12. Enterprise Risk Management (ERM) - Methodology How we Do You select the level and size of ERM efforts to suit your 3 BASIC ERM 4 ENHANCED ERM needs and budget. Risk Identification Risk Identification 1 Foundation 2 RISK IDENTIFICATION Foundation Foundation •FOUNDATION TASKS •Foundation Tasks •ERM vision •Risk Assessment •RISK ASSESSMENT TASKS •RISK Identification •Goals and objectives •Gap Analysis •Risk Mgmt for 2-3 critical risks •Enhanced Framework •Policies •Risk Mapping •Evaluate existing RM structures •Organization structure •Enhanced management reports •Alignment to strategies •Dashboards •Monitoring tools •Risk based Communication 12
  • 13. IT Governance How we Do IS AUDIT • Operating Systems Audit • Database Audit • Networking Audit IT GOVERNANCE • Firewall Audit • COBIT • IDS Audit • ValIT • Web Application, Data Center Audit • Balanced Scorecard • Internet Banking, Core Banking Audit • IT & Business Maturity Models • Performance & Forensic Auditing •Application Systems - Functional review • Compliance with IS Policies & Procedures IT ASSURANCE • Business Continuity Planning • Computer Crime Investigations INFORMATION SECURITY • Training in IT • Penetration Testing • Compliance with IS Policies & • Application Systems - Security review Procedures • Review of IS Controls • BS 7799 / (ISO 27001) Implémentation • Formation of IS Security Policy • Compliance with IS Policies & Procedures 13
  • 14. Business Continuity Management – Processes and How we Do Timelines BC BCP Management BC Plan Business Planning Completed Disruption Starts Establish BC Training & Awareness Program Establish BC Policy Coordinate with laws, regulations, standards Create Maintain Execute Steering BCP Committee Coordinate with internal / BC External related agencies Readiness Set up BC Project BC Plan Development Project Risk Assessment / Management BC Plan BCP Process Audit BCP Audit; Project Business Impact Analysis Maintenance; Scoping BC Plan Testing; Training Business Continuity Strategy Testing Prepare Project Budget BC Plan Development 14
  • 15. Riskpro Clients Our Clients Any trademarks or logos used throughout this presentation are the property of their respective owners 15
  • 16. Team Experiences Our Experiences Our team members have worked at world class Companies Any trademarks or logos used throughout this presentation are the property of their respective owners 16
  • 17. RESUMES – Our team Credentials  Co-Founder - Riskpro  CA, CPA, MBA-Finance (USA), FRM (GARP) Manoj Jain  Over 10 years international experience – 6 years in Bahrain and 4 years USA  15 years exp in risk consulting and internal audits  Sox Compliance project for Fannie Mae, USA ( $900+ Billion Mortgage Company)  Specialization in Operational Risk, Basel II, Sox and Control design  Led medium to large engagement teams  Co- Founder - Riskpro  CA (India), MBA (Netherlands), CIA (USA) Rahul Bhan  Over 15 years of extensive internal and external audit experience in India and abroad.  Worked with KPMG United Arab Emirates, PKF South Africa, Ernst and Young Kuwait, Deloitte Netherlands and KPMG India.  Worked with clients in a wide variety of industries and countries including trading, retail and consumer goods, NGO, manufacturing and banking and finance. Major clients include banks, investment companies, manufacturing organizations, aviation etc. 17
  • 18. RESUMES - Our team Credentials  Co-Founder - Riskpro Casper Abraham  PGD (Electrical & Electronics & Computer Programming)  30 years of experience in Information & Communications Technology (ICT) Solutions for Retail, Garments, Manufacturing, Services Industries.  Has created Companies, Divisions, Products, Brands, Teams & Markets.  Consulting in Business, Technology, Marketing & Sales & Strategic Planning.  Advisory, Training, Workshops & Implementation in Systems Thinking, Systems Modeling & Balanced Scorecard  Worked with TIFR, Mahindra, Ambience, Communico-Graphique & Ionidea Inc, USA,  Co-Founder - Riskpro  B Tech MBA Shriram Gokte  22 years of audit, risk management, information security & Compliance experience  Most recent employment with Paternoster, a UK Insurance company as Directpr Risk & Compliance  Worked for Principal Financial Group at their Des Moines USA HO and then Birla Sun Life Insurance as CRO  Strong operational process, risks, info sec and internal controls experience  Has taken 3 companies through ISO 27001 certifications. 18
  • 19. RESUMES - Our team Credentials  Co-founder- Riskpro Rajesh Jhalani  B.Com, FCA  Senior Partner with 48 year old Delhi based Chartered Accountant firm, Mehrotra and Mehrotra  Over 19 years of experience in the field of Audit, Taxation, Company law matters.  Major clients served are NTPC, BHEL, Bank of India, PNB, Airport Authority of India etc.  Specialist Risk Consultant – ERP & IT Compliance  SAP Certified, MBA (Finance), SAP Security trained (from SAP India), SAP GRC Access Controls trained (from SAP India) Gourav Ladha  Over 7 years of experience working in the area of ERP/IT Risk advisory, primarily focusing on SAP, for „Fortune 500‟ clients in around 8 countries including US, UK, UAE, Hong Kong, etc  Specializes in SAP Risk & Controls Advisory, SAP Business Process Controls Audit, SAP Security & Segregation of Duties Control Audit, ERP Trainings,  Strong Industry experiences ranging from Beverages, Insurance, Energy, FMCG, Pharmaceutical, Retail, Telecommunication to IT Services  Worked for risk advisory teams of reputed organizations like Ernst & Young, EXL Services 19
  • 20. RESUMES - PARTNERSHIPS Credentials Consultant – Information Security & IT Governance  LLB, CA, CISA, CWA, CS, CFE and others Anjay Agarwal  Over 15 years of experience in the field of Audit, Taxation, Investigations.  Specializing in the field of Systems Audit, Cybrex Audit, Computer Crime Investigations, IS Forensics  International Committee Member of Governmental and Regulatory Agencies Board and Academic Relations Committee of ISACA, USA  Consultant – Quality Management Founder of PMG, a TQM Consulting Co in Delhi Piyush Kumar   Mechanical Engineer  20+years experience in TQM concepts.  Strong skill set in various productivity & quality improvement projects including Six Sigma offerings  Past experiences include reputed organizations like Andersen Consulting, Eicher Consulting & Nathan & Nathan consultants 20
  • 21. RESUMES - PARTNERSHIPS  Consultant – Corporate Governance  FCA, FCS, ACIS (UK), CFC (USA), PHD (Corporate Governance) Sanjiv Agarwal  25 yrs of professional experience as a Chartered Accountant with exposure in accounting, auditing, corporate laws, service tax matters and banking/ financial services.  Large number of published articles on subjects such as Service Tax, Accountancy and Auditing, Capital Market, Merchant Banking, Taxation, Corporate Governance and Corporate laws. He has authored/ edited twenty five books.  He has been a SEBI nominated Director on the Boards of Jaipur Stock Exchange Ltd. and JSEL Securities Ltd. He has also been an independent Director on the Board of Compucom Software Limited for a period of 3 years and has also been an independent Director of State Bank of Bikaner & Jaipur for 6 years since August 2004, where he held various positions including that of audit committee chairman.  Corporate Consultant 25 years of work experience both In India and Middle-East with some of the Rakesh Kochar  largest audit and assurance, software and trading companies in the world.  Some of the companies where he created his reputation were, Senior Director (Global Revenues), Oracle India; Bangalore, EFunds International, Ernst & Young, Dubai, U.A.E, Jumbo Electronics Co. Ltd. (LLC), Dubai, U.A.E., Price Waterhouse Coopers.  Rakesh is an expert on Financial & Accounts outsourcing and operations of all aspects of “shared centers” including HR processes and people strategy catering to global operations across Order to Cash, Procure to Pay and Reporting and Analysis. 21
  • 22. RESUMES - PARTNERSHIPS  Specialist Risk Consultant – Business Continuity Andrew Hiles  Founder and 15-year Chairman of Survive, the first international user group for Business Continuity professionals  Founding director and first Fellow of the Business Continuity Institute  Over 25 years international consulting expertise in Risk, Crisis, Emergency, Incident, and Business Continuity and ICT Disaster Recovery Management  Multi-sector experience including Banking, Insurance, Finance, Oil, Gas, Energy, Manufacturing, Retail, Hi-Tech & Telecom  Western Press Award for services to business, 1994; BCI/CIR nomination for lifetime achievement in BC, 1999, London; inducted into BC Hall of Fame by CPM magazine, 2004, Washington DC.  Specialist Risk Consultant – Enterprise Risk Management Chris E. Mandel  Highly skilled risk and insurance professional with 25 years of experience designing, developing and implementing large, global corporate risk management programs for Fortune 500 firms.  Principal Consultant and Founder - Excellence in Risk Management, LLC. (Texas, USA)  Past experiences include USAA, PepsiCo, American National Red Cross ,Verizon 22
  • 23. RESUMES - Advisors Credentials  Founder partner of Mehrotra and Mehrotra, a 48 year old CA firm in India Mr. MP Mehrorta  Bcpm, FCA, LLB  Over 48 years of experience in audits, taxation, legal matters, loan syndication etc.  Trustee of Cochin Port Trust, Member of Task Force for MOUs, Ministry of Heavy Industries & Public Enterprises, Govt. of India, Ex- Member of Central Board of Trustees, Employees‟ Provident Fund Organisation (EPFO), Ministry of Labour, Govt. of India, New Delhi.  Ex - Director, Canara Bank  Practicing chartered accountant in Delhi  CA, ICWA Mr. PK Gupta  Over 35 years of professional experience.  Trustee, Kargil Shaheed Smarak Samiti  Hon. Treasurer, World Academy of Spiritual Sciences (WASS).  Panel Arbitrator, International Centre for Alternative Dispute Resolution  Arbitrator, Cement Corporation of India  Arbitrator, Bombay Stock Exchange Limited  Arbitrator, Central Depository Services (India) Limited  Arbitrator‟s Panel of Indian Council of Arbitration 23
  • 24. Contacts and Office Locations Corporate Mumbai Delhi Bangalore Manoj Jain Rahul Bhan Casper Abraham Director Director Director M- 98337 67114 M- 99680 05042 M- 98450 61870 info@riskpro.in manoj.jain@riskpro.in rahul.bhan@riskpro.in casper.abraham@riskpro.in www.riskpro.in Shriram Gokte Raj Sawhney Principal - Information Risk Principal – Business Risk M- 98209 94063 M- 99711 03510 shriram.gokte@riskpro.in raj.sawhney@riskpro.in Ahmedabad Pune Agra Maulik Manakiwala M.L. Jain Alok Kumar Agarwal Associate Firm Principal – Strategy Risk Associate Firm M - 91 9825640046 M- 9822011987 M- 99971 65253 mljain@riskpro.in Gourav Ladha Sap Risk Advisory M- 97129 52955 THANKS 24