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SEBI Nil Compliance Audit Report -- 2

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  • Finance & administratie
  • Op afstand
  • Remote
  • Freelance

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Description

I need a Nil-compliance advisory report that reviews our current SEBI obligations as a SEBI-registered intermediary. To issue the report, you must be an independent practising member of either ICAI, ICSI, or ICMAI and in good standing; I will require proof of membership before work begins. Scope • Examine our existing filings, registers and correspondence with SEBI to confirm that no breaches or lapses have occurred during the review period I will specify. • Compile a brief advisory note highlighting the checkpoints you applied (SEBI circulars, intermediary regulations, code of conduct, periodic reporting rules, etc.) and clearly state that compliance is nil-default. • Issue a signed, scan-ready Nil-compliance report on your letterhead, suitable for submission to regulators or third-party stakeholders. Access to our compliance logs, previous quarterly reports and any clarifications you need will be provided immediately after engagement. I am looking to close this within a week, so only respond if you can commit to a quick turnaround and, if required, a short follow-up call for clarifications. Budget: INR 1500–12500

This job is 100% remote.

Skills

  • Accounting
  • Audit
  • Financial Analysis
  • Financial Consulting
  • Tax Compliance
  • Business Consulting
  • Compliance
  • Corporate Law
  • Risk Management
  • Financial Services Tax

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