Services
02. Stock Broking Compliances
Internal and Concurrent Audit
Internal Audit: Our internal audit services are designed to provide a comprehensive evaluation of your organization's internal processes and controls. We meticulously examine key areas such as KYC/AML compliance, order management, fund handling, and terminal operations to ensure regulatory adherence and operational efficiency. Our team conducts thorough assessments, identifies potential areas of improvement, and offers actionable recommendations to enhance your internal controls framework. With a focus on risk mitigation and compliance excellence, we strive to support your organization in achieving its operational objectives while maintaining the highest standards of integrity and regulatory compliance.
Concurrent Audit of Depository Participants: Our concurrent audit services are meticulously designed to concentrate on critical aspects related to Know Your Customer (KYC) compliance and account operations. Our audit scope encompasses a thorough review of account opening procedures, KYC document verification, account modifications, dematerialization/rematerialization processes, DIS and POA issuance, account transfers, transaction statement accuracy, and various other transactions such as pledge/unpledge and freeze/unfreeze activities. Additionally, we evaluate the compliance of service centers, back-office software systems, grievance redressal mechanisms, record maintenance practices,
System and Cyber Security Audit
System Audit: Our system audit services focus on evaluating your organization's information security, risk management, and infrastructure controls. We conduct comprehensive assessments to identify vulnerabilities, assess compliance with industry regulations, and evaluate the effectiveness of your control mechanisms. Our audit approach encompasses a detailed examination of your systems and processes, including remote access controls, incident response planning, and compliance with regulatory requirements. By leveraging our expertise and industry best practices, we help you strengthen your system controls, mitigate potential risks, and enhance the overall security and resilience of your organization.
Cyber Security Audit: Our cyber security audit services are specifically tailored to assess your organization's cyber security measures, resilience capabilities, and compliance with relevant regulations. We conduct thorough evaluations of your cyber security practices, focusing on areas such as data protection, threat detection and response, and regulatory compliance. Our experienced auditors employ advanced techniques and methodologies to identify vulnerabilities, assess the effectiveness of existing controls, and provide actionable recommendations to enhance your cyber security posture. With our cyber security audit services, you can strengthen your defenses against cyber threats, safeguard sensitive data, and demonstrate compliance with regulatory requirements, thereby minimizing the risk of cyber attacks and protecting your organization's reputation and assets.
Other Compliance Assistance:
Inspection Handling: We offer comprehensive assistance in handling regulatory inspections, providing expert guidance and support throughout the inspection process. Our experienced team helps you prepare for inspections, conducts pre-inspection assessments, and assists in addressing regulatory findings and remediation efforts. With our proactive approach and in-depth understanding of regulatory requirements, we help you navigate regulatory inspections smoothly and mitigate potential compliance risks effectively.
VAPT Audit Assistance: We specialize in providing expert assistance for Vulnerability Assessment and Penetration Testing (VAPT) audits conducted by CERT-in empaneled firms. Our role is to support your organization throughout the audit process by facilitating comprehensive assessments of your IT infrastructure and applications. Our team collaborates closely with the auditor firm to ensure thorough evaluations, identification of potential weaknesses, and simulation of real-world cyber attacks. By offering actionable recommendations, we help strengthen your security defenses, proactively identify and mitigate risks, safeguard sensitive data, and protect your organization from cyber threats effectively.
Policy Drafting: We assist organizations in drafting comprehensive policies and procedures tailored to their specific regulatory requirements and operational needs. Our experienced consultants work closely with your team to understand your business objectives, assess regulatory requirements, and develop customized policies and procedures to address key areas such as compliance, risk management, and data protection. Whether you need to develop new policies or update existing ones, we provide expert guidance and support to help you establish a robust governance framework and achieve compliance excellence.
41 Years of Accumulated Practice
Request a Price Quote
Request a price quote today! Simply fill out our form with your details and service needs or you can just call us. Our team will promptly provide a competitive quote, ensuring you get the best value for your requirements. Let's find the perfect solution together!