Treasury, Forex & Depositories Audits
Treasury, Forex, and depositories audits are critical for financial institutions to ensure accuracy, compliance, and risk management in trading, foreign exchange, and securities operations. Our service helps banks, NBFCs, and financial institutions assess their treasury operations, forex transactions, and depository activities to maintain operational efficiency and regulatory compliance.
We provide detailed auditing and advisory support to identify discrepancies, manage financial risks, and strengthen internal controls. Our audits enable timely corrective actions, safeguard assets, and support informed decision-making by management and regulators.
About This Service
Our service includes auditing treasury operations, including investments, fund management, derivatives, and liquidity management, to ensure proper accounting, risk mitigation, and compliance with internal and regulatory guidelines.
We conduct audits of foreign exchange transactions, including spot, forward, and derivatives contracts, ensuring compliance with FEMA regulations, RBI guidelines, and internal policies.
We also audit depository operations, including securities settlement, record maintenance, and reconciliation processes, to validate accuracy, control, and regulatory adherence.
We prepare comprehensive audit reports highlighting findings, discrepancies, risk exposures, and recommendations. These reports serve as tools for management, auditors, and regulators to enhance governance, compliance, and operational performance.
Key Features / Scope of Work
- Audit of treasury operations including investments, derivatives, and liquidity management
- Review of foreign exchange transactions (spot, forward, and derivatives) for compliance with FEMA and RBI guidelines
- Audit of depository operations, securities settlements, and record maintenance
- Assessment of risk management, internal controls, and operational efficiency
- Identification of discrepancies, errors, or regulatory non-compliance
- Advisory on corrective actions and process improvements
- Preparation of detailed audit reports with findings, risks, and recommendations
- Support for management, regulators, and auditors in decision-making and governance
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