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Audit of broker company

This query is : Resolved 
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(Querist)
06 August 2007 Dear sir,

sir can u give me some tips about HOW TO AUDIT OF A BROKER COMPANY WHICH DEALING IN SHARE & ETC
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Monark

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Monark (Expert)
07 August 2007 For Auditing a broker Co. you must :
1 Understand their system of accounting
2 Routine checking like Cash, Bank an dexpenses checking will be of some help.
3 Income mainly comprises of brokerage check the accrual.
4 Intra day trading and in case of client does not pay then sell of shares through auction by the Exchange.
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