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    Honey Vicky
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    Hari S. And ASSOCIATES Chartered Accountants have audited the following areas during the month of April, 2010. As per our observations and as per the Information provided by the Auditee, the details of the transactions are as follows: S.No Audit areas Sample (In actual numbers) Account opening Account modifications Account closure initiated by BO Account closure initiated. By DP Dematerialization Off market On market Inter-depository Early pay in instructions Pledge Unpledge Confiscation Instructions.

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    1st part

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    Hari S. And ASSOCIATES Chartered Accountants have audited the following areas during the month of April, 2010. As per our observations and as per the Information provided by the Auditee, the details of the transactions are as follows: S.No Audit areas Sample (In actual numbers) Account opening Account modifications Account closure initiated by BO Account closure initiated. By DP Dematerialization Off market On market Inter-depository Early pay in instructions Pledge Unpledge Confiscation Instructions.

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    Скачайте в формате DOC, PDF, TXT или читайте онлайн в Scribd
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    22 просмотров4 страницы

    1st Part

    Загружено:

    Honey Vicky
    Hari S. And ASSOCIATES Chartered Accountants have audited the following areas during the month of April, 2010. As per our observations and as per the Information provided by the Auditee, the details of the transactions are as follows: S.No Audit areas Sample (In actual numbers) Account opening Account modifications Account closure initiated by BO Account closure initiated. By DP Dematerialization Off market On market Inter-depository Early pay in instructions Pledge Unpledge Confiscation Instructions.

    Авторское право:

    Attribution Non-Commercial (BY-NC)
    Скачайте в формате DOC, PDF, TXT или читайте онлайн в Scribd
    Отметить как неприемлемый контент
    из 4

    Hari S.

    & ASSOCIATES
    Chartered Accountants

    Head Office: 3228, Sector 15-D, Chandigarh- 160015


    e-mail: Rajnish.khattar@competent.biz

    Date: 9th May, 2010

    Mr. Abhay Kohli,

    Manager Compliance,

    Competent Finman Private Limited,

    201-203, Sector 34,

    Chandigarh

    Dear Sir,

    Ref: Concurrent Audit & Internal Audit Report


    Please find enclosed herewith the Combined Concurrent and Internal
    Audit Report for the month of April, 2010.

    Yours faithfully,

    For Hari S. & Associates

    Chartered Accountants

    Akhil Jindal

    Partner

    Copy To:
    S. No. Particulars

    1 Mr. Parveen Kumar, Manager


    Hari S. & ASSOCIATES
    Chartered Accountants

    Head Office: 3228, Sector 15-D, Chandigarh- 160015


    e-mail: Rajnish.khattar@competent.biz

    TIME STATISTICS

    Audit Report No. : 01/ 2010 – 11

    DP ID : 12047900

    SEBI Reg. No. : IN –DP-CDSL-381-2006

    Period of Coverage : 1st April, 2010 to 30th April, 2010

    Date of Discussion with the Auditee : 8th May, 2010

    Date of Submission of the Final : 9th May, 2010


    Audit Report
    Hari S. & ASSOCIATES
    Chartered Accountants

    Head Office: 3228, Sector 15-D, Chandigarh- 160015


    e-mail: Rajnish.khattar@competent.biz

    Competent Finman Private Limited

    Combined Concurrent and Internal Audit Report


    Key Audit Areas:
    We have audited the following areas during the month of April, 2010. As
    per our observations and as per the Information provided by the Audited,
    the details of the transactions are as follows:

    S.No Audit areas Sample Sample (In


    (In actual %)
    numbers)

    1 Account opening 71 100%

    2 Account modifications 12 100%

    3 Account closure initiated by 34 100%


    BO

    4 Account closure initiated by Nil ---


    DP

    5 Dematerialization 71 100%

    6 Off market 3348 100%

    7 On market 2403 100%

    8 Inter-depository 1073 100%

    9 Early pay in instructions 4655 100%

    10 Pledge 21 100%

    11 Unpledge 03 100%

    12 Confiscation Instructions 17 100%

    13 Rematerialisation Nil ---


    Hari S. & ASSOCIATES
    Chartered Accountants

    Head Office: 3228, Sector 15-D, Chandigarh- 160015


    e-mail: Rajnish.khattar@competent.biz

    Instructions

    14 Transmissions Nil ---

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