The Introduction

Parag Dave & Co - the firm is promoted by CA Parag Dave, having 18 years of experience and having specialization in the fields of Securities and Commodity Market Compliance, DP Audits, Operation Review , System Audits and Inspection Handling.


As the business world changes in response to globalization and economic realities, the firm has also adopted policy to match with clients' demand and extended our role into that of a comprehensive firm, providing all kinds of professional services that satisfy clients' demands.


The team comprises of professionals having vast and diversified experience in the area of finance, accounts, tax, auditing, securities and commodity market compliances and operations, secretarial compliances, and so forth

Services

Securities Market Compliances

Internal Audit, assurance and compliance advisory services to stock brokers.

Commodities Market Compliances

Internal Audit, assurance and compliance advisory services to commodity brokers.

Depository Participants Compliances

Audit, assurance and advisory to CDSL and NSDL DPs.

Broking Operation Review

Reviewing operational procedures of stock and commodity brokers and identifying gaps and providing advisory on filling those gaps.

Information System Audit

Conducting Prior Approval, Periodic System Audit of CTCL/IML/ETI/IBT/STWT/ALGO/SOR/DMA Facility, Cyber Security Audit of Stock Broker & Depository Participants, CCA-ASP Audit of eKYC facility, Vulnerability Assessment and drafting of IT Policies.

Regulatory Inspection Handling

Conducting mock inspection and handling regulatory inspection of SEBI, FMC, Stock Exchanges and DP.

PMS Compliance Audit

Performance Audit & Internal Compliance Audit of SEBI registered Portfolio Managers and certification of Disclosure Document including drafting of PMS Agreement and Disclosure Document.

RA & IA Compliance Audit

Annual Internal Compliance Audit of SEBI registered Research Analyst and Investment Adviser. Drafting of Client Agreement for RA and IA Activity.