Internal Audit of SEBI Intermediaries
"Purpose-built internal audits for stock brokers and depository participants."
Regulatory scrutiny of SEBI registered intermediaries has never been higher. Our internal audit practice is purpose built for stock brokers, depository participants, investment advisers, and research analysts covering all areas prescribed under SEBI, NSE, BSE, NSDL, and CDSL guidelines.
Our audits go beyond procedural checklists to evaluate control effectiveness, flag systemic risks, and deliver actionable observations. We provide structured audit reports, working paper documentation, and board-ready summaries that demonstrate genuine compliance substance to regulators and exchange inspectors alike.
Audit Scope
- Stock Broker & DP Audits
- Investment Adviser & RA Audits
- Control Effectiveness Evaluation
- Systemic Risk Identification
- Structured Audit Reporting
- Board-Ready Summaries
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