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