Domain Services

• Half yearly internal audit
• (as mandated by SEBI) with innovative approach of DETECTION SOLUTION EVALUATION
• Tax & Statutory audit
• Creating value that makes a real difference to your business, is intrinsic to our audit service
• Compliance Consultancy
• Circular Updates via SMS Resolving any compliance related queries of the member Guidance on Inspections
• Revenue Audit
• Revenue Assurance is the activity, which is performed to detect a revenue leakage and subsequently to prevent the leakage
• It can be classified into:- Leakage Management, Risk management, Leakage prevention
• Legal
• Handling IGRP / Arbitration / Appeal cases
• Drafting reply and appearing before authorities
• Branch / Sub broker / AP audits – pan India basis
• (Scope would include the following)
• Mutually defining the audit checklist to ensure that regulatory requirements along with client specific requirements are taken into consideration
• Visiting the said location and auditing as per the decided checklist
• Guiding the branch / sub broker / AP on the non-compliance areas and new compliance areas
• Process Review
• Achieve best compliance along with cost reduction goals Constructive recommendations to benchmark with the best practices
• Account Opening verification – including PMLA view point
• System Audit
• System audit for Algo/Other than Algo operations
• New system approval audit
• Certification for System modification
• Certification Work – as required by the regulators

• Process set up to ensure compliance with existing SEBI regulations
• Internal audit of Investment Advisory operations
  (as per SEBI regulation)

• Internal/Concurrent audit as required SEBI regulation
• Verification of account opening form
• Certification of Portfolio valuation report issued to clients
• Certification of Disclosure documents issued to SEBI
• Compliance Consultancy

• Verification of account opening forms
• Money transfer transaction audit
• Assessing genuineness of money transfers

• Detection of fraud by Employee / Client
• Loans disbursed to fictitious person / third party
• Poor quality gold pledged
• Mystery/Investigation audit
• Analyzing branch activity through CCTV camera
• Stock taking of Gold and cash available at branch
• Verification of security related aspects

• Pre/Post verification of Loan documents as per internal guidelines in terms of KYC, Eligibility
• Obligation, Income calculation, various ratios analysis etc.
• NPA Analysis of housing finance company

• Annual compliance audit as mandated by SEBI-Research analyst regulations 2014

• Concurrent Audit (Scope as prescribed by SEBI / Depositories)
• Internal Audit (Scope as prescribed by SEBI / Depositories)
• Additional Verification of database of back office system
• Compliance Consultancy