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Risk Management Advisory Services

Investment Banking / PE/ VC Companies

Riskpro India

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Who is Riskpro… Why us?

ABOUT US

Riskpro is an organisation of member firms around India devoted to client service excellence. Member firms offer wide range of services in the field of risk management.

Currently it has offices in three major cities Mumbai, Delhi and Bangalore and alliances in other cities.

Managed by experienced professionals with experiences spanning various industries.

MISSION

Provide integrated risk management

consulting services to mid-large sized corporate /financial institutions in India

Be the preferred service provider for complete Governance, Risk and Compliance (GRC) solutions.

VALUE PROPOSITION

You get quality advisory, normally delivered by large consulting firms, at fee levels charged by independent & small firms

High quality deliverables

Multi-skilled & multi-disciplined organisation.

Timely completion of any task

Affordable alternative to large firms

DIFFERENTIATORS

Risk Management is our main focus

Over 200 years of cumulative experience

Hybrid Delivery model

Ability to take on large and complex projects due to delivery capabilities

We Hold hands, not shake hands.

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RiskPro Highlights

Large talent pool of risk experts, consultants and

associate partners in India with deep domain skills for

domestic and global clients

11 service locations across Indian region with key

offices in New Delhi, Mumbai and Bangalore

Deep expertise in consulting with over 200 years

of cumulative consulting experience

Operating Groups: Risk-Advisory, Consulting,

Training & HCMS

Service Lines : Credit, Operational, Fraud Risks,

ERM, Regulatory Compliance, Outsourcing

Management, Corporate governance

We are fastest growing risk consulting company

and have realistic plans to capture coming

opportunities while competing with Big - 4’s for

superior, unmatched, low cost services to our

clients

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Our Network Presence

New Delhi

Mumbai

Bangalore

Ahmedabad

Pune

Agra

Salem

Kolkata

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Risk Management Advisory Services

Training Recruitment

Basel II/III Advisory Market Risk

Credit Risk

Operational Risk

ICAAP

Corporate Risks Enterprise Risk Assessment

Fraud Risk

Risk based Internal Audit

Operations Risk

Forensic services

IT Risk Advisory IS Audit

IT Security

IT Assurance

IT Governance

Operational Risk Process reviews

Policy/ Process Review

Process Improvement

Compliance Risk

Insurance Risk

Governance Corporate Governance

Business Strategic risk

Fraud Risk

Forensic Accounting

Other Risks Business/Strategic Risk

Reputation Risk

Outsourcing Risk

Contractual Risk

Banking – E Learning

Corporate Training

Regular Risk Management Training

Online Training material

Workshops / Events

AML / KYC, ISO standards- 31000

Independent Directors- SME’s

Full Time Risk Professionals

Part time Risk Professionals

Virtual Risk Managers

S E

R V

I C

E S

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Venture Capital/Private Equity- Perspective

Venture Capital is a form of “risk capital” that is invested in a business

where there is a substantial element of risk relating to the future

creation of profits and cash flows. Risk capital is invested as shares

(equity) rather than as a loan and the investor requires a higher "rate of

return" to compensate him for his risk.

Private Equity refers to equity or quasi-equity investments in high-

growth companies and includes buyouts, mezzanine financing,

privatization and public/ deals. The private equity asset class includes

venture capital, buyouts, and mezzanine investment activity.

Venture capitalists focuses on investing in

private, young, fast growing companies,

more specifically as “entrepreneurial

businesses” with high growth prospects,

which are managed by experienced and

ambitious teams who are capable of

turning their business plan into reality

Private equity players largely provide

mezzanine or bridge funding

Business Focus Areas

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We Understand Venture Capital Investment Process

Receipt of the proposals for investment either directly or through financial intermediaries by VC fund

Upon prospective deal evinces interest of VC funds, the Management Team is requested to present the Business model, unique aspects , future prospects & investment proposal of the company

VC fund assesses the quality & competence of Management team with a view to get perspective on overall business prospects of investment proposal

Detailed due diligence of project is carried out to examine Business, financial and legal aspects of proposed investment. During the process of due diligence, Assessment of requirement of funds, stages & quantum of investment and related milestones for investment

VC funds take up the venture for detailed due-diligence after getting final concurrence of Entrepreneurs on terms of proposed investment negotiated with them. The detailed due diligence of project is carried out by VC funds themselves or assigned to independent Advisors

Once VC investor finds the deal as investible proposition, a document containing terms of proposed investment known as term sheet, is devised and negotiated with promoters for their concurrence

Completion of due diligence, internal approvals for investment, VC funds may modify or stipulate such other conditions as are considered appropriate by them for investment in the company and accordingly negotiate changes/ modifications in the term sheet with the Entrepreneurs (also called Promoters)

VC funds issue Letter of Intent for investment and require investee companies to complete formalities for availing investment. which includes execution of legal agreements by Promoters/ Investee companies, passing of requisite Board/ Company's resolution, obtaining approval of Govt. & other statutory approvals for facilitating investment

On request by companies for release the investment, VC funds, subject to compliance of pre-disbursement conditions and achievement of milestones stipulated for same, undertake investment in the company

VC funds regularly monitor functioning of Investee companies, give inputs on strategic plans and guide companies for optimizing their performance. VC funds also pursue the Investee companies to orient their business plans & achieve performance targets to qualify for bringing out Initial Public offers (IPOs) and get listed on stock exchanges for providing exit from investment to VC funds

Start

End

RISK CRITICAL PHASES

- Preliminary discussions with promoters

- Submission of business plan by promoters

- Due-diligence/ Investment appraisal

- Investment decision/ Further direction

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Our Risk Management Services

Risk Management Framework

Investment Risk Fraud Risk Operational

Risk

Capital Adequacy

review

Enterprise Performance

Due Diligence Risk reviews

Regulatory compliances

Documentation fulfillment

Prudent appraisal process

Investee background

checks & monitoring

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Helping you to protect your investments

Do you know the investee company well enough?

In addition to your due diligence, we will provide a pre-investment review of the company internal

processing framework, internal control status, accounting infrastructure, risk management tools,

how company identifies and mitigates business risks.

Has the transaction closed smoothly and is company ready to execute

business strategies effectively with new funding?

Ensuring that investment transaction is free from material risks

Is the company protected from risks after the investment?

Regular comprehensive review to provide comfort that the investee company recognizes all

risks, takes cognizance and takes necessary action

Implement important risk management frameworks, policies to help companies manage existing

and emerging business and other risks

Summary reporting of the finding to PE / VC company

Who pays for these risk reviews?

PE/VC company pays for these reviews. This is a value add expenditure that ensures smooth

running of investee company and helps to protect the value of investment

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Risk review of Existing and Potential Investment Companies

Risk review before investment

Risk Management services at deal close and soon after

Value addition after investment by periodic

reviews

Evaluate and conclude on

Business Risk, Project Risk

Review of existing controls

and policy framework to

mitigate risks.

Governance, Management

Philosophy review

Business and Accounting

due diligence to ensure

proper accounting

Proper accounting and

disclosure of transaction by

investee company

Establishing a framework for

Risk management at

investee company

Document key risk policy

Implement a simple MIS

and Risk Analytics

framework

Quarterly visit to investee

company to review

operations, identify key risks

and any risk management

issues

Help enhance internal

controls, risk management

initiatives to ensure sound

business execution

Provide quarterly reporting

of findings to PE/VC firm

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Our model supplements your efforts

PE/VC firms have their own due diligence process, checklists and

requirements from investee company in terms of documents, regular

reporting etc.

Our reviews and services do not duplicate these. Instead, we undertake reviews of areas

specifically focused on risk and areas not covered by your processes.

As we interact with a number of investee companies and PE/VC companies, the review

checklists, methodologies and processes will mature and incorporate key review steps. You will

benefit from these refinements and targeted reviews in terms of providing early warning signals

and time saving.

How do we structure the team?

OPTION 1: Our team member joins your team to jointly perform initial and periodic reviews for a

comprehensive assessment.

OPTION 2 : We undertake the periodic reviews on our own and provide you with findings/

recommendations

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Governance, Risk and Compliance Offering

Company level

Governance • Align Corporate Governance to

global practices

• Board Committee reviews

• Review and enhance Risk

Governance

• Policy and Process Framework

• IT Governance

• Whistle Blowing Framework

Risk management • Risk assessment

• Process and Control Review

• Insurance & Loss Alignment

• Incident Reporting Process &

Tool

• Implementation of 20-30 top

Key Risk Indicators (KRI)

• Fraud Risk Management

Services

Compliance • Compliance Risk Policy &

Framework

• Regulatory reviews and audits

• Global regulation compliance

• Compliance Reporting

• Contractual Risk

• 3rd party audits of units

• Internal Control testing Tools

Support Processes

• GRC Technology Implementation – Provide recommendations and select vendor for GRC Tool

•HR Policies and Processes to minimize people risk, frauds and strengthen succession planning

•Training and Awareness build up – Targeted and Ongoing training in areas of concern.

•E Learning Courses in Risk Management, Fraud Risk Management, Governance etc

•Define Risk Appetite

•Risk Scorecard

•Risk Heap maps

• Reputation Risk Scorecards

• IT Governance

• New Product Approval Policy

• Scan of Emerging Risks

Our GRC Approach

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Fraud Detection

Anti-Fraud Measures

Monitoring Compliance and Authorization

Workplace Practice

Background check for employees

Fraud Risk reviews

Based on our understanding of your requirements, we have customized a package of our solution offerings to meet your needs, which is detailed in the ensuing slides.

To detect and prevent fraud and evaluate Code Of Conduct Compliance on following parameters :-

Analyze

Investigate

Resolve

Understanding Your Supply

Chain

To Monitor Your Process

Evaluating your need

Source Root cause of Problem

Obtaining And securing Evidence

Confidential Interviews

with vendors

Prioritize solutions and

remedial measures

Quantify Loss and Suggest

possible Actions

Solve Compliances

Issues

Benefits To You

Protects you from any Monterey or Reputational damage

Code Of compliance establishment

Enables you to identify risks / control gaps

Helps you identify any undisclosed production

Risk Mitigation

Our Solution For you

Forensic and Investigation services How we Do

Based on our understanding of your requirements, we have customized a package of our solution offerings to meet your needs, which is detailed in the ensuing slides.

Our Solution for you Our Solution ForO you

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Risk Based Internal Audit How we Do

Transaction

Audit

Control

Reviews

Process

Reviews

Risk

Assessment

Fraud

Mitigation

Enterprise Risk

Assessment

Increasing Enterprise Risk Focus

Need

of

Org

an

izati

on

s

Internal Auditing helps an organization

accomplish its objectives by bringing a

systematic, disciplined approach to evaluate

and improve the effectiveness of risk

management, control and governance

processes. Source: The Institute of Internal Auditors 1999 (IIA)

Benefits of Risk based Audit

• Traditional audit view value added

techniques

•Risk profile of Businesses

•Internal Controls & Ops Risk reviews

•Cost reductions recommendations

•Review of Fraud Risk Controls

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Value Proposition

Enabling robust corporate/risk governance structure through out deal

process, and the leveraging of the collective experience of a disciplined

management team, to minimize risk at its very source.

Specialised venture capital knowledge, expertise and excellence through

VC database plus our exclusive alliances with internationally-renowned

venture capital and private equity firms.

A rich deal flow, professional advice, and active management support

from our team of experts, supported by the industry know-how and

experience of a network of strategic partners and technical associates.

Excellent understanding and technical awareness of venture capital

activities, and who guide your organization in a strict but pragmatic

manner to ensure full compliance with the rules and principles.

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Riskpro Clients

Our Clients

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

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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

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RESUMES – Our team

Co-Founder - Riskpro

CA, CPA, MBA-Finance (USA), FRM (GARP)

Over 10 years international experience – 6 years in Bahrain and 4 years USA

15 years exp in risk management consulting and internal audits, Specialization in Operational Risk, Basel II, Sox and Control design

Worked for Ernst & Young (Bahrain), Arab Investment Company (Bahrain), Navigant Consulting(USA), Kotak Mahindra Bank (India) and Credit Suisse(India)

Sox Compliance project for Fannie Mae, USA ( $900+ Billion Mortgage Company)

Ma

no

j Ja

in

Co- Founder - Riskpro

CA (India), MBA (Netherlands), CIA (USA)

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.

Ra

hu

l B

ha

n

Credentials

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RESUMES - Our team

Co-Founder - Riskpro

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,

Ca

sp

er A

bra

ha

m

Credentials

Sr Vice President – Risk Management

MBA, PDFM,NSE-NCFM, PMP, CSSGB,ISO 9001:2000 I.A,GARP-FBR, ITILV3,CPP-BPM

Professional with 17 years of rich experience into diverse Consumer finance/ Lending operations ,Risk Management,BPMS, Consumer Banking, NBFC, Management Consulting & Housing finance in BFSI industry having successfully led key business strategic engagements across multi-product environment in APAC, Australia and US regions.

Worked with GE, ABN AMRO Bank, Citigroup, Accenture, Deutsche Postbank

Highly skilled and expert Trainer in Risk areas across Credit, Fraud, Operational, Corporate Risk management.

Specializes in Fraud Control, AML/KYC Compliance ,QA ,ERM and Regulatory governance.

He

ma

nt S

eig

ell

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RESUMES - Our team

Head - Insurance Risk Advisory services

B.sc, Associate of Indian Institute of Insurance

Licensed Category A Insurance surveyor

26 years of experience in Insurance advisory services, Loss adjusting for large corporates,Claims management.

Has assessed more than 4500 high value insurance claims across various industry sectors.

Risk management inspection

Valuations of fixed assets for insurance purpose.

R. G

up

ta

Credentials

Head - Human Capital Management

Chartered Accountant, Lead Assessor ISO 9000, Six Sigma Trained, Trained on Situational

Leadership, Trained on interviewing skills and Whole Message Model.

Over two decades of international, multi-cultural experience in finance and human resources viz. internal audit, accounting operations, accounting process review & re-designing, risk management, business solutioning, six sigma projects, talent acquisition, talent retention, organization design/redesigning, compensation and appraisal processing, employee and customer satisfaction surveys, knowledge management and finance services.

Worked with Citicorp/MGF, India Glycol, Delphi, American Express India, American Express USA, Fidelity International and Macquarie Global Finance Services India.

Nile

sh

Bh

atia

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RESUMES - Our team

Co-founder- Riskpro

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.

Ra

jesh

Jh

ala

ni

Credentials

Specialist Risk Consultant – ERP & IT Compliance

SAP Certified, MBA (Finance), SAP Security trained (from SAP India), SAP GRC Access Controls trained (from SAP India)

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

Go

ura

v L

ad

ha

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RESUMES - PARTNERSHIPS

Consultant – Information Security & IT Governance

LLB, CA, CISA, CWA, CS, CFE and others

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

An

jay A

ga

rwa

l

Consultant – Quality Management

Founder of PMG, a TQM Consulting Co in Delhi

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

Piy

ush

Ku

ma

r Credentials

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Specialist Risk Consultant – Business Continuity

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.

Andre

w H

iles

RESUMES - PARTNERSHIPS

Specialist Risk Consultant – Enterprise Risk Management

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) Co-founder and EVP, Professional Services, rPM3 Solutions, LLC (Maryland, USA).

Past experiences include Head of Global Risk Management for USAA, PepsiCo/ Tricon Global and American National Red Cross

Additional risk and insurance experience at Verizon Corp,. Marsh USA and Liberty Mutual Insurance Co.

2004 Risk Manager of the Year – 2007 recipient of the Alexander Hamilton Award for “Excellence in ERM” (at USAA) – former President, Risk and Insurance Management Society, Inc.

Chris E

. M

andel

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Key Contacts

Corporate Mumbai Delhi Bangalore

Riskpro India

Ventures (P) Limited

info@riskpro.in

www.riskpro.in

C 561, Defence colony

New Delhi 110024

Manoj Jain Director

M- 98337 67114

manoj.jain@riskpro.in

Sivaramakrishnan President – Banking & FS

M- 98690 19311

smaran.iyer@riskpro.in

Rahul Bhan Director

M- 99680 05042

rahul.bhan@riskpro.in

Hemant Seigell SVP – Risk Management

M- 99536 97905

hemant.seigell@riskpro.in

Casper Abraham Director

M- 98450 61870

casper.abraham@riskpro.in

Vijayan Govindarajan EVP – Risk Management

M- 99166 63652 vijayan.govindarajan@riskpro.in

Ahmedabad Pune Kolkata Gurgaon

Maulik Manakiwala Associate Firm

M – 98256 40046

Gourav Ladha Sap Risk Advisory

M- 97129 52955

M.L. Jain Principal – Strategy Risk

M- 98220 11987

mljain@riskpro.in

Kashi Banerjee EVP – Risk Management

M- 98304 75375

kashi.banerjee@riskpro.in

Nilesh Bhatia Head – Human Capital Mgt.

M- 98182 93434

nilesh.bhatia@riskpro.in

Salem Ghaziabad Agra

Chandrasekeran Recruitment franchisee

M – 94435 99132

R Gupta Head – Insurance Risk

M- 98101 07387

Alok Kumar Agarwal Associate Firm

M- 99971 65253

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