What do audit & assurance services in capital markets include?

They typically involve evaluating the design and effectiveness of internal controls, verifying compliance with financial reporting and disclosure obligations, reviewing governance and risk oversight, assessing market conduct compliance, and identifying control or operational gaps.

Why is governance & risk oversight audit important?

Good governance and risk oversight ensure accountability, proper escalation of issues, board and management involvement, and that policies and procedures are actively enforced and reviewed — all of which help in reducing regulatory, financial and reputational risk.

How does gap analysis and remediation planning work?

A gap analysis compares actual practices and controls with legal/regulatory or best practice standards. Once gaps are identified, a remediation plan is developed, outlining actions, responsibilities, timelines and needed resources, and monitoring is usually performed to ensure execution.

What is assured in financial reporting & disclosure assurance?

It includes checking that financial statements and disclosures are accurate, complete, compliant with applicable accounting and regulatory standards, that any material information is disclosed properly, and that reporting obligations to regulators and stakeholders are met.

How often should operational and process reviews be conducted?

Such reviews are usually done at least annually, or more frequently if there are significant regulatory changes, business process changes, incidents or if risk assessments indicate elevated risk in certain processes.

Capital Market Audits | Compliance & Assurance Services

Our Audit & Assurance services are designed to provide organizations with independent, objective evaluations of their systems, processes, and controls. These services not only ensure compliance with legal and regulatory requirements but also strengthen governance, risk management, and operational resilience.

We offer specialized audits that address critical compliance and governance areas

AML Audit – A thorough review of an organization’s Anti-Money Laundering framework, assessing the adequacy and effectiveness of policies, procedures, and monitoring systems in preventing and detecting illicit financial activities.
Safeguard Audit – An examination of measures in place to protect assets, data, and operations, ensuring that security protocols and control mechanisms meet regulatory standards and industry best practices.
Governance & Risk Management Audit – An in-depth assessment of corporate governance structures and risk management strategies, ensuring risks are properly identified, assessed, and mitigated to protect organizational value.
Independent Internal AML Audit – A fully impartial, internal review of AML systems and controls, conducted separately from operational functions to verify compliance, identify gaps, and recommend enhancements.

Through these services, we help organizations achieve regulatory compliance, enhance operational efficiency, safeguard stakeholder interests, and build a robust control environment that withstands evolving risks.