CA Articleship – Internal Audit and SEBI Compliance

Internal audit of SEBI-registered intermediaries SEBI and stock exchange regulations Risk assessment and internal controls Process reviews and regulatory gap identification Audit documentation and reporting Capital market operations and compliance Client coordination and professional communication Internal Audit: Assist with internal audits of SEBI-registered intermediaries and review relevant processes. SEBI and Stock Exchange Compliance: Gain exposure to regulatory requirements and compliance procedures applicable to capital market intermediaries. Process and Internal Control Reviews: Examine business processes and internal controls to identify potential weaknesses. Risk Assessment: Help identify risks, control gaps and regulatory discrepancies. Audit Reporting: Prepare audit observations, working papers and reports documenting findings. Capital Markets: Develop an understanding of capital market processes and applicable regulations. Client Coordination: Work with experienced professionals and clients on audit and compliance assignments.

Cleared both groups of CA Intermediate and eligible to register for articleship under ICAI rules