Our Services | Mark and Associates LLP

Audit & Assurance Services

Audit and assurance services play a crucial role in providing independent validation of an organization’s financial statements, internal controls, and regulatory compliance. These services are essential for businesses across all sectors that seek to enhance credibility, build investor confidence, and fulfill statutory requirements.

The firm provides comprehensive audit and assurance solutions through professionals who follow stringent quality standards and recognized frameworks. Financial records, operational procedures, and compliance systems are assessed objectively to identify discrepancies, evaluate risks, and recommend improvements. Beyond numbers, business processes and controls are examined to empower better decision-making.

Expertise spans internal audits, system audits, and compliance reviews, all driven by a risk-based audit approach focused on critical areas. A deep understanding of regulations and industry-specific challenges ensures that reporting aligns with both local mandates and global best practices.

Building Financial Credibility Through Independent Assurance: By delivering transparent audits and strengthened controls, clients are better positioned for business excellence and regulatory confidence.

Audit of Stock Broker Agencies/Authorized Persons

This audit ensures stock brokers and authorized persons comply with SEBI and exchange norms by reviewing trading practices, client funds, and margins. It is essential for brokers registered with NSE, BSE, or MCX to maintain regulatory compliance. These audits are carried out with deep domain knowledge and a process-driven approach to highlight control gaps and ensure transparency through its network of branch offices and channel partners.

Compliance Audit

A compliance audit checks if the company is following applicable laws, regulations, and internal policies. This is vital for businesses across sectors to avoid penalties and strengthen governance. A thorough compliance review is provided to detect non-conformities and support effective corrective action.

SOX Audit

SOX (Sarbanes-Oxley) audits test internal financial controls to ensure accuracy and prevent fraud in financial reporting. This is mandatory for listed companies and subsidiaries of US entities. These audits are delivered using a structured methodology, supporting adherence to US compliance standards and internal risk management.