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Internal Audit On Stock Brokers

Nature of Audit:

Review of Order and Risk Management system.
Verification and review of Constituent Registration Documents.
Verification of systems for Margins collection from clients.
Verification/Review of Procedures and systems pertaining to dispatch of contract notes/Margin Statement/Statement of accounts.
Verification of systems and procedures in place for receipt/payments of funds/securities from/to clients.
Review of operations at branch and subbroker location.
Verification of internal controls of Terminal Operations at members office.
Review of documentation and implementation of Provisions pertaining to Anti Money Laundering (AML) Compliance.
Review/Verification of Systems in place to prevent and monitor code changes.
Verification and review of Investor Handling Mechanism etc.
Review of clearing activities in case of Professional Clearing member/ Members clearing trades of other trading members.

Our Approach:

Segregation of data based on sampling criteria issued by SEBI
Analysis of the data
Thorough verification of the segregated data
Detecting any irregularity
Providing remedial measures in case any irregularity is observed