Audit of Stock Broker Agencies/Authorized Persons

This audit ensures stock brokers and authorized persons comply with SEBI and exchange norms by reviewing trading practices, client funds, and margins. It is essential for brokers registered with NSE, BSE, or MCX to maintain regulatory compliance. These audits are carried out with deep domain knowledge and a process-driven approach to highlight control gaps and ensure transparency through its network of branch offices and channel partners.

Compliance Audit

A compliance audit checks if the company is following applicable laws, regulations, and internal policies. This is vital for businesses across sectors to avoid penalties and strengthen governance. A thorough compliance review is provided to detect non-conformities and support effective corrective action.

SOX Audit

SOX (Sarbanes-Oxley) audits test internal financial controls to ensure accuracy and prevent fraud in financial reporting. This is mandatory for listed companies and subsidiaries of US entities. These audits are delivered using a structured methodology, supporting adherence to US compliance standards and internal risk management.

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