Performance EDGE


Two days Workshop on

Governance, Risk and Compliance Management in SME companies
Mumbai 18th & 19th October 2013 at Ramada Plaza Palmgrove, Juhu Tara Road, Mumbai
Delhi 25th & 26th October, 2013 at Jaypee Vasant Continental, Vasant Vihar, New Delhi
Timing: 9-30 am to 5.30 pm

Registration and breakfast: 9 am

For Registration :

Why this workshop

Are you getting prepared to implement corporate governance practices in your SME company, as impacted by the new Companies Act 2013?

This workshop will enable entrepreneurs in Small and Medium Enterprises (SME) and their management staff to set up practice of corporate governance, strategic risk management and improved compliance of increasingly complex statutory regulations and also equip them with toolkits and check-lists for the purpose.

Corporate Governance (CG) is today mandated primarily for listed companies and not specifically for SME companies. The new Companies Act, 2013, enacted in August, has enlarged the scope of the mandate to cover unlisted companies earning a net profit of Rs 5 crore or more. In the near future, more SME companies in India will get covered within the ambit of formal CG mandates, as is happening in the rest of the world.

Whether mandated or voluntary, governance will increasingly become part of the corporate management process, be it in small and medium companies or in the large listed ones. The benefits of good governance are enormous even in a family owned small business, not to speak of the medium sized ones.

Good corporate governance practices will benefit an SME company in many ways. For example, a better governed company will have greater access to funds and at lower costs; it will gain access to large multinationals whether as customers or as vendors, will get a better profile in society and thus attract better talents and so on. There will be an improvement in company performance, with better cash flows and thus a higher valuation for the business.

Who will benefit

Entrepreneurs, owners, proprietors of small and medium sized business, senior management staff of such organizations, as well as senior managers in large listed companies, will be able to learn the principles and practice of Governance, Risk and Compliance management (GRC) and the practical aspects of implementation of these in their companies.

Learning objectives
  • Benefits of corporate governance practices in an SME company – in qualitative and in cash flow terms
  • Global practices for governance in SME sector, especially in emerging markets
  • Corporate governance theory and case studies of failure of governance
  • Setting up CG practice in a family owned entrepreneur driven SME business
  • Roles of the owner/s, the board and senior management
  • Value of independent directors in family owned businesses
  • Functions of board in terms of strategy, policy, supervision and accountability
  • Implications of the new Companies Act 2013 and new responsibilities
  • Defining risks, types of risks, evaluating risks, risk matrix and response options
  • Risk management strategies, risk as an opportunity, risk appetite of organizations
  • Creating value by exploiting risks
  • Compliance with statutory and regulatory requirements
  • Compliance related risks
  • Building a companywide compliance management programme
  • Role of ethics in governance and compliance and impact on risks
Program Topics
Day 1
  • Program Overview:
  • Session 1 - Concepts in Corporate Governance
    • Relevance of CG in SMEs and benefits, Theory of CG, Case Studies, Governance Codes for SMEs, Implementation, Impact on cash flow, CG toolkit
  • Session 2 - Roles of the Owner, the Board and Senior Management
    • Role of Board in policy, strategy, supervision and accountability, role of independent directors in family businesses, case studies & video
  • Session 3 - Social Responsibility and Sustainability
    • Corporate Social Responsibility (CSR) for SMEs, Sustainability issues in business, change drivers in governance
  • Session 4 - Group exercise on corporate governance application
Day 2
  • Session 1 - Risk analysis and assessment
    • Definition and types of risk, measuring risk, risk response, global standards, risk management toolkit
  • Session 2 - Strategic Risk Management
    • Risk as opportunity, creating value by exploiting risk, risk appetite, video
  • Session 3 - Building a Compliance programme
    • Mandate for compliance, developing compliance check-list and monitoring system, compliance risks, role of ethics, evaluating compliance effectiveness
  • Session 4 - Group exercise on Compliance and Risk management
  • Key Learning and Action Plan

Ujjal Gupta is a chartered accountant with 35 years' experience in industry and is currently engaged as a Business & Executive coach and a management consultant.

He began his career with the Unilever group in India, where he spent the first 15 years of his work life.. He later worked for RPG Enterprises and for Bates India in the WPP Group (Communications). In his role as the CFO/COO during the last 18 years of his employment in the corporate sector, he was responsible, inter alia, for developing, maintaining and upgrading financial management systems in these businesses.

As Executive Director and COO of Bates India P Ltd, he was a member of its Board from 1999 till March 2007 and was responsible first for its turnaround in profitability and then for implementing growth strategies both organic and through acquisitions.

Ujjal worked for the Gramophone Company, part of RPG Enterprises, as its Vice President Finance, playing a key role in turning around the business and implementing a financial restructuring exercise. He also led the diversification of the company into film production, music publishing and radio broadcasting businesses.

He had joined Lipton India (part of the Unilever group) in 1976 as a management trainee and had his grooming in financial management in the group, in India and overseas, covering various assignments and positions of responsibility - in factories, branches, treasury, profit-centres, corporate office and so on.

A national rank-holder in the professional examination for chartered accountancy in India, Ujjal is at present a Fellow of the Institute of Chartered Accountants of India. In addition to his coaching and consultancy assignments, he is a visiting faculty member for finance related programmes at several executive training and development centres, and has conducted in-house training workshops with various leading organisations, such as, Hindalco, Philips India, Alstom T&D, Hindustan National Glass, C.I.I., Kolkata, ISB, Hyderabad etc.


In our workshop, we maximize knowledge assimilation in the participants through combination of execution elements like case discussions, exercises, simulated games and activities, video led sessions and discussions on global best practices. At the end of each workshop we facilitate the participants to distill Key Learning and prepare Action Plans to deliver solid business results for our clients.

Recent Participants:
Over 500 Clients!
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Fees and Registration:
The fee which covers breakfast, lunch & tea/coffee and reading material.
For 1-2 participants - Fee per participant For 3 or more participants - Fee per participant
Rs. 14,500/- plus taxes* is Rs. 16,292/- Rs. 13,500/- plus taxes* is Rs.  15,168/-
* Taxes Include - Service tax @ 12% plus education cess at 3%

The fee is payable by cheque in favor of "NR Performance Edge Consultants Pvt. Ltd.", at any of our addresses below. The workshop is non residential.

Our Service Tax Registration No. is AACCN1359CST001 & PAN AACCN1359C

Kindly send your nomination/s through email to or on your letter head indicating Name/s, Designation, Phone No., Fax No. and E-Mail ID of the nominees along with the fee to reach us at least seven days before the workshop, the nominations can be sent to our Kolkata, Gurgaon or Mumbai office:

The company reserves the right to change venue, contents, dates and speakers. The service tax on fee will be applicable based on the latest Government notification in force on workshops dates.

NR Performance EDGE Consultants Pvt. Ltd.

C/o M L Basu & Co,
1, Lindsay Street, 1st Floor,
Kolkata -700087
Call: 9830504810

Unitech, South City - I
Gurgaon - 122002
Call: 9871143635

c/o Maxigen Communications
C-202 Avon Plaza-1,
Thakur Complex, Kandivili (East)
Mumbai 400101

For Registration, please write to us at:

or you can call the Central Line 09903720541 for any queries regarding the workshop at any of the centers.

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