Our Precautionary and Confidential Internal Audit Process
Our friendly and collaborative approach ensures a smooth and efficient audit process, tailored to your specific needs.
Initial Consultation
We meet to understand your unique business context, regulatory landscape, and desired outcomes.
We discuss relevant compliances as per SEBI, NSE, and other applicable bodies.
Together, we define the scope of the audit and establish a timeline.
Collaborative Planning and Data Gathering
We work closely with your team to identify key areas for assessment
We guide you through the data gathering process, ensuring all necessary information is readily available.
Risk Identification and Analysis
Our team of legal and CA professionals meticulously examine gathered data and internal controls.
We identify potential weaknesses and areas that may not be fully compliant with relevant regulations.
We assess the likelihood and severity of each identified risk.
Customized Recommendations and Reporting
We provide a comprehensive report outlining our findings and recommendations in clear, concise language.
Recommendations prioritize mitigating identified risks and ensuring ongoing compliance with SEBI, NSE, and other regulatory requirements.
We offer guidance and support for implementing the recommendations effectively.
Maintaining Compliance
Throughout the audit process, we focus on helping you maintain compliance with relevant regulations from SEBI, NSE, and other applicable bodies. Some key areas we consider include:
1
Know Your Customer (KYC) norms
2
Anti-Money Laundering (AML) regulations
3
Market Manipulation and Insider Trading Guidelines
4
Fair disclosure and corporate governance practices
5
Financial reporting and record-keeping standards
Take the First Step Towards a Stronger Institution
