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SEBI SECURITY COMPLIANCE AUDIT

Introduction

The Securities and Exchange Board of India, often known as SEBI, is in charge of overseeing the Indian securities business. The Indian government is the owner. SEBI provided escape route guidelines for Securities in its circular dated May 30, 2012.

 

The following powers have been granted to SEBI in order for it to carry out its duties effectively. 

 

  • Approval of the securities exchanges' bylaws. 
  • By-law amendments via the Securities Exchange. 
  • Examination of the financial records kept by recognised stock exchanges. 
  • Examination of the financial intermediaries' accounting records. 
  • Shares of certain corporations being listed on one or more stock exchanges. 
  • The registration of brokers and sub-brokers. 
Home » SEBI Security Compliance Audit

Approach & Process For SEBI Security Compliance Audit

In order to ensure compliance with SEBI Guidelines, We at Precise Testing Solution divides our working methods according to how the SEBI Security Compliance Audit is handled with a holistic approach. 

  • The organization is the subject of information gathering and proper review of the organization’s operations. 
  • The organization’s policies, processes, and other documentation are examined. 
  • All audit points have evidence obtained as proof. 
  • All Inconsistencies are located. 
  • Anywhere feasible, suggestions for improvement will be made. 
  • The report must be written and include any observations that follow the rules. 
  • The points on compliance, non-compliance, and areas in need of improvement are made quite plain. 
  • The report will be presented when the aforementioned processes have been completed. 
  • The customer receives the final, signed report, which can also be sent upon request to the regulatory agency. 

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