Supporting service
Stock audit, concurrent audit, ROC compliance, NGO advisory.
Engagements scoped against a specific terms of reference: bank audits, SOP documentation, Company Law and ROC filings, 12A, 80G and FCRA work.
Who it is for
Banks and NBFCs; companies needing SOPs or ROC support; NGOs needing 12A, 80G or FCRA work.
Cycle
Case by case.
You receive
The engagement-specific deliverable: audit report, SOP manual, ROC filing pack, NGO certification.
01 · DefinitionWhat it is
Each engagement is scoped against the lender’s, regulator’s or trustee’s terms of reference, with the calendar and reporting designed to fit.
02 · TriggerWhen to consider it
- A lender requires a stock or concurrent audit.
- A finance, procurement or operations function has no written SOPs.
- The annual ROC filing pack is late, or a beneficial-ownership filing is missing.
- An NGO needs registration, renewal or FCRA reporting.
03 · RiskWhat goes wrong without it
Template proposals produce template audits. A stock audit that does not follow the lender’s terms of reference is paid for twice.
04 · MethodHow we do it
- Bank auditsStock and concurrent audits built around the lender’s terms, monthly reporting, quarterly close-out.
- SOPsEnd-to-end process documentation, often as a follow-on to an assurance review.
- Company LawAnnual ROC pack (AOC-4, MGT-7 or 7A, DIR-3 KYC, beneficial ownership, deposit returns), board and committee documentation, incidental advisory.
- NGO12A and 80G registration and renewal, FCRA registration and reporting, NGO audit, the recurring compliance calendar.
05 · OutputWhat you receive
- Audit report to the lender’s format.
- SOP manual.
- ROC filing pack.
- NGO certification and calendar.
06 · EvidenceNotes and cases
Book a conversationStart with a conversation.
Questions
Asked before the first call.
Do you do SOPs without an audit?
Yes. SOP and RCM drafting is also part of Risk Advisory, where the process carries real risk.
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