Audit Manual

Defined Audit Policies, Processes and Formats

Practically Possible
SQC-1/ SQMs/ SAs Compliant
Peer Review (including AQMM) oriented
Quality Review oriented
NFRA Inspection/ Review oriented

+ Digital Library

SQC-1/ SQMs, SAs, SREs, AS, IND AS, Code of Ethics, Guidance Notes, Technical Guides, Business Laws and so on.

+ HR Manual

Recruitment, Orientation, Appraisal, Training & Development, Code of Conduct and Discontinuation.

+ SEBI PIT Policies

Code of Conduct, as required under Regulation 9(2) of SEBI (Prohibition of Insider Trading) Regulations, 2015.

Modus Operandi

Stage 1: Audit Manual Design

(One-time)

Step 1: Existing Process - Understanding via Discussion/ Files Review
Step 2: Drafting
Step 3: Discussion - Drafted Manual
Step 4: Finalization & Delivery

Stage 2: Audit Manual Implementation

(Regular)

Maintenance & Updation
Sessions to firm staff
Hands-on Support & Handholding of firm staff, enabling Standardization/ Uniformity across Branches/ Divisions
Managing Independence Declarations, Internal Inspection & other firm level activities
Files & Records Review and Reporting
Peer Review Handling
Consultation - Code of Ethics, SQC-1/ SQMs, CA Act, 1949 & Regulations
Filings Support (NFRA-2, ICAI - Ethical Standards Board & PMLA)

FAQs

What is our role? Why engage us when Professionals themselves can do it or can get it done internally?

We understand the Professionals (you) and your time limitation, and therefore, we partner you by dedicatedly looking after above firm activities on your behalf, so that you can peacefully invest your precious time on firm’s core professional activities with uninterrupted focus.

We understand your inherent desire for defined processes, internal automation and to remain unaffected by staff joining/ exits, as well as your staff unwarranted resistance/ fear to defined processes, and therefore, for firm’s growth, we involve your staff, create practical Policies/SOPs for smoothness of their work execution and improvise based on review of their implementation.

Our exclusivity of working only for professional community make us Specialist in above areas and equip us to serve you as per your expectations without any conflict of interest and further bring market-wide insights for you.

Do we implement Policies/ SOPs?

Only the person at executive position can implement the Policies/ SOPs and nobody else. What we do is handholding and creating an effective environment for its implementation by –

onboarding your entire staff to follow a common process,
periodical discussions and resolving their implementation issues as and when they arise,
periodical reviews of their implemented Policies/ SOPs, and addressing gaps by collaboration.

How to approach us?

Simply drop us a Whatsapp message or an email, and we shall reach you.