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Services to Stock Brokers

  • Advising on Setting up Stock Broking Activities on a turnkey basis. (Including Registration, Documentation and Process Manuals).
  • Drafting and designing of Client Registration Form and Agreements.
  • Internal as well as concurrent Audits as required by regulators.
  • Half yearly audit as required by CDSL/NSDL
  • Net worth and other Certification
  • Consultancy services for setting up of Portfolio Management Service including SEBI Registration and Renewal.
  • Statutory Audit of Portfolio Manager.
  • Certification of the Disclosure Document required as per SEBI Regulations.
  • Audit and certification of each individual PMS client.
  • Yearly certification of the Management’s assertion on compliance with SEBI (Portfolio Manager) Regulations, 1993
 
     
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