internal audit
ramprasad (Chartered Accountant) (424 Points)
24 November 2007
KAAPIL
(COACHING )
(11717 Points)
Replied 24 November 2007
Aditya
(Article)
(33 Points)
Replied 25 November 2007
Annamalai
(Student)
(23 Points)
Replied 22 September 2008
Originally posted by :Guest | ||
" | I am exactly loking for areas to be covered for the internal audit of a stock broker, the guidelines and circulars , notifications of SEBI and other applicable authorities. So if any one of you have a specimen copy of the internal audit of A STOCK BROKER, kindly mail me at adi.jain @ yahoo.com. Thanks in anticipation. |
" |
Originally posted by :Guest | ||
" | I am exactly loking for areas to be covered for the internal audit of a stock broker, the guidelines and circulars , notifications of SEBI and other applicable authorities. So if any one of you have a specimen copy of the internal audit of A STOCK BROKER, kindly mail me at sharad_thanvi001 @ yahoo.co.in Thanks in anticipation. |
" |
Originally posted by :Guest | ||
" | Main feature to be covered in internal audit of a share broker is compliance with SEBI and the exchanges. This includes checking of KYC, Agreement with clients/Sub Brokers , Third Party Deliveries/ Payments and receipts, Service tax payments and inputs, Stamping of KYC and payments of Stamp Duty, Delivry auctions, Close-outs, Sharing of brokerage, Limits to clients etc. There are many more specific areas depending upon the working arena of the broker. | " |
rahul dave
(student)
(0 Points)
Replied 03 November 2008
I am exactly loking for areas to be covered for the internal audit of a stock broker, the guidelines and circulars , notifications of SEBI and other applicable authorities. So if any one of you have a specimen copy of the internal audit of A STOCK BROKER, kindly mail me at rahul_dave01 @ yahoo.com Thanks in anticipation.
mamta harawat
(service)
(20 Points)
Replied 12 December 2008
Sir, I am working in stock broking firm , kindly provide me an audit questionore regarding internal audit of the firm.