Hereis the simple steps for us to do The LEGAL COMPLIANCE AUDIT process comprises the following steps :
Prepare checklists for verification of records.
Prepare a list of documents to be checked.
Draw up a timetable.
Know the people to interact with.
Depute the persons to do checking.
Commence the LEGAL COMPLIANCE AUDIT process.
Review progress at suitable intervals depending upon coverage.
Complete the LEGAL COMPLIANCE AUDIT.
Make a draft LEGAL COMPLIANCE AUDIT Report.
Discuss non-compliances or inadequate compliances for corrective action, e.g. non-filing and late filing of forms.
Discuss substantive issues, if any
Make final LEGAL COMPLIANCE AUDIT Report. The reporting is done on quarterly basis.