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Audit Notification & Circulars

RBI'S NOTIFICATION TO AUDITOR'S OF NBFCs

 

RBI / 2007-2008/ 5 DNBS (PD) CC No. 100/03. 02.01/ 2007-08 July 2, 2007 To The Chairman/CEOs of all Non-Banking Financial Companies (as defined in Section 45 I (f) of the Reserve Bank of India Act, 1934) Dear Sir, Master Circular – “Non-Banking Financial Companies Auditor’s Report (Reserve..


Internal Audit for stock brokers/clearing members

 

DEPUTY GENERAL MANAGER MARKET INTERMEDIARIES REGULATION & SUPERVISION DEPARTMENT DIVISION OF POLICY AND SUPERVISION - III Tel: 26449261, Fax: 26449021 Email: manojk@sebi.gov.in MIRSD/ DPSIII/ Cir-26/ 08 August 22, 2008 The Managing Director / Executive Director of all Stock Exchanges ..


Sebi Circular21 Oct 08 Internal Audit for stock brokers

 

Sub: Internal Audit for stock brokers/trading members/clearing members In partial modification of SEBI circular No. MIRSD/ DPSIII/ Cir-26/ 08 dated August 22, 2008 on the above subject, it has now been decided that stock brokers/trading members/clearing members shall carry out complete in..






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