Audit of stock broker

For Detailed Information You need to Refer Tehnical Guide on Audit of Stock Broker.
 

Regarding Internal Audit, you can also download anextures from Bse,NSE,MCX sites... it will help you to know what is to be checked. You can also study circulars related to relevant audit period on the website (BSE,NSE,MCX).

Hope this helps.

Refer Technical guide issued  by ICAI 

"https://220.227.161.86/27992iasb17602stock.pdf ".