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Financial Services Audits

  • Review of Commercial Transactions like purchases ,redemptions, switches, rejections etc
  • Review of Non Commercial Transactions Pledge/ Un-pledge, consolidations,
  • Review of Reissues, Revalidations / Duplicates.
  • Analysis of Investor complaints and replies.
  • Review of Batch process transactions like NAV, Dividend, Brokerage, Unit Capital reconciliation, funding.
  • Reconciliation of various process like Purchases etc.
  • Review of Internal Control system
  • Review of Statutory & Legal Compliances
  • Review of IT Security Policies & IT procedure manual
 
     
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