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The asset management industry plays a pivotal role in India's financial services and overall economy. It fuels the growth of fintech, enhances investment opportunities, and broadens digital financial services, fostering innovation and economic expansion.
Notwithstanding its remarkable growth, the industry grapples with operational challenges, such as limited market penetration, a constrained investor base, distribution channel complexities, heightened regulatory oversight, increased compliance expenses, and a deficit of investor commitment and trust, among other issues.
Our comprehensive governance solutions cover a wide range of services, including internal audits, process reviews, ICOFR/IFC development and assessments, SOX audits, SOP development, as well as specialised risk management reviews focused on ERM and model validation.
We excel in delivering both quantitative and qualitative risk management solutions, along with governance solutions such as ERM and model validation reviews. Our customised solutions, coupled with unwavering professional support, are designed to enhance your success.
Leveraging our expertise, strong relationships with regulatory bodies, and extensive experience in regulatory frameworks and guidelines, we assist your organisation in fostering a culture of compliance. Our services include compliance assessments, compliance testing, regulatory reporting reviews, compliance dashboarding, and regulatory remediation reviews.
Throughout the fund lifecycle, from conceptualisation to winding up, we provide a wide array of services to fund managers and funds, covering regulatory approvals, valuations, due diligence, and compliance.
Our accounting experts assist funds in financial statement preparation, investor reports, audit support, capital call and distribution notices, partner's capital account statements, management fee calculations, NAV, incentive, and waterfall workings.
In an increasingly regulated environment, our corporate intelligence (CI) / integrity due diligence (IDD) evaluates the integrity, market reputation, and performance track record of individuals, management groups, or corporate entities.
Providing enterprise applications advisory solutions and technology strategy advisory services.
Our expert team offers services including Security Audit Posture, IS Audit based on SEBI circulars and ISO 27001 Audit, Vulnerability Assessment, Penetration Testing, and SOC 2 Compliance.
Conducting a forensic review of equity, derivative, and debt trades on 15+ fraud parameters, we identify potential cases of front running and insider trading within the investment function. For flagged cases, enhanced investigations are carried out.
The Board of Directors’ overall roles and responsibilities in fraud risk management, enhance internal control frameworks, and ensure compliance with principles of natural justice.
The survey, in collaboration with Fintech Association for Consumer Empowerment (FACE), will assess the risk perception of various stakeholders, including customers in digital lending.
ECL Model Maturity Assessment Tool from Grant Thornton Bharat
