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Financial Services & Securities Industry - Risk Management & Compliance Reviews

Risk Management and Controls associated with stock-broking and other capital-markets organizations are essentially a real time control function whereby the utmost level of caution and controls should ensure that the risk arisen should be a calculated one and perceived one. In other words all those corrective measures should be in place so that adverse financial impact is minimized to the fullest extent.

To support the control function, we recommend a strategy of concurrent investigative audit which ensures that the management policies have been adhered to without any exceptions, activities flow as per the operational manual, regulatory and statutory compliance is in order and business perspective is put forth as utmost importance. To put it differently, the management is well informed about any deviation from the policy decisions on real time basis (i.e.: as and when the events occur). With this the issues get addressed at the initial stage and plan of action can be applied immediately rather than having a feedback from the risk management team after a considerable time lag.

To undertake the aforesaid task, we have a team of professionals assigned and identified for a specific client. The team works as an integral part of organizational set up of the client offering value-added services from time to time. The team undertakes the following responsibilities:

Preparation of Operational manual
Statutory and regulatory compliance
Review of activities vis a vis operational manual
Assessment of financial impact of key decisions
Providing timely management reports
Continuous updating of latest circulars, regulations, rules, procedures etc

As a result of this microscopic exercise, the organization is protected to the maximum extent from operational risk, legal risk, as well as errors, omissions and frauds.

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