Domain Services

FIND OUT OUR DOMAIN SERVICES
STOCK AND COMMODITY BROKERS
  • 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
INVESTMENT ADVISERS
  • Process set up to ensure compliance with existing SEBI regulations
  • Internal audit of Investment Advisory operations
    (as per SEBI regulation)
PORTFOLIO MANAGEMENT SERVICES (PMS) COMPANIES

• 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

INSURANCE COMPANIES

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

GOLD LOAN COMPANIES

• 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

HOUSING FINANCE COMPANIES

• 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

RESEARCH ANALYSIS

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

DEPOSITORY PARTICIPANT

• 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