Compliance Related to Stock Brokers



Auditing and compliances for stock brokers
Stockbrokers, intermediaries and associated parties need to adhere to the strict guidelines imposed by the Stock Exchange Board of India (SEBI) failing which they will be barred by the regulatory authorities from providing their respective services to the clients. At CBS, we proudly present an expert team of Chartered Accountants, Company Secretaries carrying out all the necessary investigations, registrations, certifications and other various compliance related activities for the stockbrokers, sub-brokers and intermediaries, helping them to run their business smoothly.

Our services include:

Administrative Support Services –
  • Certification under Rules & Regulations of Stock Exchanges i.e. Networth Certificate, Details of Director, Share Holding Pattern, Dominant Promoting Group etc.
  • Compliance Related to Anti Money Laundering
  • Conference/Representation/Interaction with Exchanges / SEBI regarding various Compliance Matters
  • Conducting Internal Audit of Stock Brokers / Trading Members / Clearing Members
  • Concurrent Audit of Depository Participant
  • Handling Investigations conducted by Exchanges / SEBI
  • Handling Yearly Inspections conducted by SEBI / Exchanges
  • Implementation of Policies & Circulars floated by Exchanges
  • Portfolio Management Services & Supervising Investor Grievance Department of the Company
  • Registration of Intermediary with SEBI i.e. Mutual Funds, Stock Brokers, Sub Brokers
  • Submission of all Quarterly, Half Yearly & Annual Compliances to the Exchange
  • Yearly Audit of Investment Advisors & Research Analyst