Authorized Person Audit Firm for Compliance & Investor Protection
At JVB & Co., a trusted Authorized Person Audit Firm in Mumbai, we offer specialized AP audit services to help trading members and their representatives maintain robust compliance with exchange regulations and SEBI guidelines. With increasing scrutiny in capital markets, periodic audits of APs are essential to ensure that front-end trading practices align with operational, ethical, and regulatory expectations. As an experienced audit firm, we bring sector-specific expertise to assess AP activities across branches and business models.
Our audit covers critical areas such as voice log maintenance for order placement, segregation of client funds and securities, cash dealing restrictions, document issuance protocols, and advertising compliance. We also assess the AP’s involvement in any unauthorized activities such as fund-based schemes, unregistered intermediaries, or unapproved marketing. The goal is to identify red flags early, provide management with assurance, and recommend corrective actions to strengthen investor protection.
Backed by a meticulous approach and deep understanding of capital markets, JVB ensures that AP operations are not just compliant but also transparent and well-documented. Our audit reports help brokerages and trading members demonstrate strong governance to regulators while safeguarding against reputational and financial risks. With JVB as your audit partner, you gain more than compliance you gain confidence.