SB · Trading & Clearing Members
Stock Brokers
Stock brokers operate under one of the most closely supervised frameworks in Indian capital markets. We help trading and clearing members stay inspection-ready across exchanges, depositories and SEBI.
Scope of engagement
- Half-yearly internal audit by a Practising Company Secretary
- Exchange and SEBI inspection preparation and assistance
- Compliance calendar, periodic submissions and certifications
- Client funds & securities, margin and settlement process reviews
- PMLA / AML framework review and staff training
- Policies & procedures drafting and annual review
