Compliance Audit for Stock Broking Entities
With the tremendous increase in the compliance requirement in the Shares & Securities business, the broking entities find this service to be of significant value addition. Concurrent review of transactions and the status of compliance with various rules and regulations of the governing bodies such as BSE, NSE, and SEBI ensures that the broking entity can concentrate on their core business.
Clients are updated about the notifications issued by the regulatory authorities and the status of compliance thereof on a monthly basis as part of this service.
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