Historical Compliance Scope: Confirmation of the entities, review period, authorities, registrations and compliance areas included within the audit.
Post-Incorporation Compliance Audit
Structured review of corporate, tax, licensing, statutory and regulatory compliance across the previous five to ten years.
Establish a clear view of your historical compliance position
Identify and address outstanding obligations, risks and regulatory exposure
About This Service
Post-Incorporation Compliance Audit forms part of Ryoss’ broader Ongoing Corporate Compliance solution. It reviews an entity’s records, registrations, filings, payments, licences, appointments and supporting evidence across an agreed period, typically five to ten years, to identify and prioritise compliance gaps and develop a clear remediation plan.
What's Included
Corporate Governance and Records Review: Assessment of statutory registers, ownership records, resolutions, meeting records, approvals, officer appointments and other required corporate documentation.
Corporate Regulator Compliance Review: Verification of annual returns, information statements, ownership disclosures, amendments and other recurring or event-based corporate filings.
Tax Registration and Filing Review: Assessment of tax registrations, returns, declarations, withholding obligations, payments, certificates and available evidence of submission.
Licensing and Permit Review: Review of business licences, local permits, sector-specific approvals, renewals, amendments and continuing operating requirements.
Statutory Appointment Review: Confirmation that required directors, officers, representatives, secretaries, treasurers, resident agents and other statutory appointments were properly maintained.
Compliance Evidence Verification: Review of receipts, certificates, acknowledgements, approvals, payment records and other supporting evidence demonstrating completion.
Gap, Risk and Exposure Assessment: Identification and prioritisation of missing, late, inaccurate, expired, incomplete or unsupported compliance obligations.
Current and Required State Analysis: Comparison of the entity’s current compliance position against the position required for compliant ongoing operation.
Remediation Action Plan: A structured schedule of the filings, corrections, renewals, payments, document reconstruction and stakeholder actions required to address identified gaps.
Typical Use Cases
Reviewing a Dormant or Inactive Entity
The company has remained registered but has completed limited trading, reporting or compliance activity for several years.
Preparing to Resume Operations
The business intends to recommence trading, hire employees, engage clients or enter into new commercial arrangements.
Changing Compliance Providers
The company is transitioning from another accountant, lawyer, corporate secretary or compliance provider and requires an independent baseline review.
Responding to Historical Compliance Concerns
Leadership suspects that filings, payments, renewals, appointments or supporting records may have been missed or handled inconsistently.
Preparing for Investment or Due Diligence
The entity needs to demonstrate that its corporate, tax, licensing and regulatory position is complete, accurate and supportable.
Supporting Ownership or Management Changes
New shareholders, directors or executives require confidence that historical obligations have been properly managed.
Preparing for an Audit or Regulatory Review
The company wants to identify and address deficiencies before responding to an authority, auditor, bank or commercial counterparty.
Establishing Ongoing Compliance Management
A historical review is required before responsibility for future compliance monitoring and coordination can be properly established.
Step-by-Step Engagement Process
Scope and Historical Period
We confirm the entities, jurisdictions, authorities, compliance areas and five-to-ten-year period included within the audit.
Document and Information Collection
Ryoss issues a structured information request and coordinates the collection of available corporate, tax, licensing, financial and regulatory records.
Historical Compliance Review
We assess the available information against applicable requirements and verify whether registrations, filings, payments, appointments and renewals were properly completed.
Gap and Exposure Assessment
Ryoss identifies missing, incomplete or unsupported obligations and assesses their priority, dependencies and potential consequences.
Remediation Planning and Transition
We provide a structured remediation plan and, where engaged to do so, coordinate the required corrective actions before transitioning the entity into ongoing compliance management.
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