Author: CA Shiva Chaudhari
Publisher: Notion Press
ISBN: 1947498657
Category : Business & Economics
Languages : en
Pages : 273
Book Description
There are many literatures on banking, banking laws, internal audit system and their applications in the banking sector, with each book focusing on a specific area. A Guide to Risk-Based Internal Audit System in Banks covers everything about banks, their operations, business, compliances and areas to be covered in risk-based audits and audit processes, in the form of guidance. This book will help company managements to implement the internal audit system in banks and at the same time, it explains the role and responsibilities of internal auditors whether in-house or outsourced. Why this book? v Written in simple and clear language using appropriate flowcharts and diagrams v Focuses on practical aspects of internal audit system in banks v Explains the evolution of the banking sector from traditional to modern v Explains laws governing the banking sector in India v Provides practical guidance on auditing each areas of banking operations and the assets and liabilities based on risk v Serves as a guide to auditors, students, academicians and bankers to understand and apply the risk-based internal audit concept in banks
A Guide to Risk Based Internal Audit System in Banks
Author: CA Shiva Chaudhari
Publisher: Notion Press
ISBN: 1947498657
Category : Business & Economics
Languages : en
Pages : 273
Book Description
There are many literatures on banking, banking laws, internal audit system and their applications in the banking sector, with each book focusing on a specific area. A Guide to Risk-Based Internal Audit System in Banks covers everything about banks, their operations, business, compliances and areas to be covered in risk-based audits and audit processes, in the form of guidance. This book will help company managements to implement the internal audit system in banks and at the same time, it explains the role and responsibilities of internal auditors whether in-house or outsourced. Why this book? v Written in simple and clear language using appropriate flowcharts and diagrams v Focuses on practical aspects of internal audit system in banks v Explains the evolution of the banking sector from traditional to modern v Explains laws governing the banking sector in India v Provides practical guidance on auditing each areas of banking operations and the assets and liabilities based on risk v Serves as a guide to auditors, students, academicians and bankers to understand and apply the risk-based internal audit concept in banks
Publisher: Notion Press
ISBN: 1947498657
Category : Business & Economics
Languages : en
Pages : 273
Book Description
There are many literatures on banking, banking laws, internal audit system and their applications in the banking sector, with each book focusing on a specific area. A Guide to Risk-Based Internal Audit System in Banks covers everything about banks, their operations, business, compliances and areas to be covered in risk-based audits and audit processes, in the form of guidance. This book will help company managements to implement the internal audit system in banks and at the same time, it explains the role and responsibilities of internal auditors whether in-house or outsourced. Why this book? v Written in simple and clear language using appropriate flowcharts and diagrams v Focuses on practical aspects of internal audit system in banks v Explains the evolution of the banking sector from traditional to modern v Explains laws governing the banking sector in India v Provides practical guidance on auditing each areas of banking operations and the assets and liabilities based on risk v Serves as a guide to auditors, students, academicians and bankers to understand and apply the risk-based internal audit concept in banks
Audit Analytics in the Financial Industry
Author: Jun Dai
Publisher: Emerald Group Publishing
ISBN: 1787431738
Category : Business & Economics
Languages : en
Pages : 185
Book Description
Split into six parts, contributors explore ways to integrate Audit Analytics techniques into existing audit programs for the financial industry. Chapters include topics such as fraud risks in the credit card sector, clustering techniques, fraud and anomaly detection, and using Audit Analytics to assess risk in the lawsuit and payment processes.
Publisher: Emerald Group Publishing
ISBN: 1787431738
Category : Business & Economics
Languages : en
Pages : 185
Book Description
Split into six parts, contributors explore ways to integrate Audit Analytics techniques into existing audit programs for the financial industry. Chapters include topics such as fraud risks in the credit card sector, clustering techniques, fraud and anomaly detection, and using Audit Analytics to assess risk in the lawsuit and payment processes.
Bank Internal Auditing Manual
Author: Anthony Ciliberti
Publisher:
ISBN: 9780791323243
Category :
Languages : en
Pages :
Book Description
Publisher:
ISBN: 9780791323243
Category :
Languages : en
Pages :
Book Description
External Audit Arrangements at Central Banks
Author: Mr.Atilla Arda
Publisher: International Monetary Fund
ISBN: 1484375505
Category : Business & Economics
Languages : en
Pages : 42
Book Description
This paper takes stock of external audit arrangements at central banks. Its focus is on the annual audit of central bank financial statements, as well as legal and institutional measures that support audit quality and independence. The paper outlines good practices in these areas and provides a summary of actual practices observed based on a review of audited financial statements and central bank legislation. While the audit frameworks for central banks differ depending on their legal and institutional circumstances, central banks’ external audits increasingly follow international standards. Most of them are audited by auditors with international affiliations and embrace modern governance structures that provide for audit oversight. However, the paper also notes that a sizeable number of central banks do not publish the audit results in a timely manner, which leaves room for improvement in transparency practices.
Publisher: International Monetary Fund
ISBN: 1484375505
Category : Business & Economics
Languages : en
Pages : 42
Book Description
This paper takes stock of external audit arrangements at central banks. Its focus is on the annual audit of central bank financial statements, as well as legal and institutional measures that support audit quality and independence. The paper outlines good practices in these areas and provides a summary of actual practices observed based on a review of audited financial statements and central bank legislation. While the audit frameworks for central banks differ depending on their legal and institutional circumstances, central banks’ external audits increasingly follow international standards. Most of them are audited by auditors with international affiliations and embrace modern governance structures that provide for audit oversight. However, the paper also notes that a sizeable number of central banks do not publish the audit results in a timely manner, which leaves room for improvement in transparency practices.
Revenue Audit in Banks: A Practical Approach
Author: Sahan Malakar
Publisher: Independently Published
ISBN: 9781797837802
Category : Business & Economics
Languages : en
Pages : 72
Book Description
This book is a practical guide about how to do revenue audit at branches of banks. This book elaborates methods to detect revenue leakage/short recovery at branches of bank. Detection of revenue leakage is an important part of concurrent audit in banks. This book will be very helpful doing concurrent audits in banks also. It consists of 62 practical examples which will be very helpful for auditors to understand how to find out revenue leakage. This book will also be very helpful for bank/financial institution employees to detect revenue losses and maximize income of their branches. This book focuses on practical case studies instead of theoretical approach, so it will be beneficial for auditors to use discussed methods during branch audit. Topics covered in the book-1) Review Charges, 2) Calculation of review Charges, 3) Inspection Charges, 4) Processing Charges, 5) Commitment Charges, 6) Mortgage Creation Charges, 7) Substitution of Title Deed, 8) Interest Rate, 9) Modification Charges, 10) Deviation Charges, 11) Revalidation of Sanction Charges, 12) Escrow A/c and Retention A/c Opening & Operating Charges, 13) Agreement in Principle, 14) Interchangeability, 15) TOD Charges, 16) Guarantee Commission, 17)Penal Interest, 18) Solvency Certificate, 19) LC Commission, 20) Deposit.
Publisher: Independently Published
ISBN: 9781797837802
Category : Business & Economics
Languages : en
Pages : 72
Book Description
This book is a practical guide about how to do revenue audit at branches of banks. This book elaborates methods to detect revenue leakage/short recovery at branches of bank. Detection of revenue leakage is an important part of concurrent audit in banks. This book will be very helpful doing concurrent audits in banks also. It consists of 62 practical examples which will be very helpful for auditors to understand how to find out revenue leakage. This book will also be very helpful for bank/financial institution employees to detect revenue losses and maximize income of their branches. This book focuses on practical case studies instead of theoretical approach, so it will be beneficial for auditors to use discussed methods during branch audit. Topics covered in the book-1) Review Charges, 2) Calculation of review Charges, 3) Inspection Charges, 4) Processing Charges, 5) Commitment Charges, 6) Mortgage Creation Charges, 7) Substitution of Title Deed, 8) Interest Rate, 9) Modification Charges, 10) Deviation Charges, 11) Revalidation of Sanction Charges, 12) Escrow A/c and Retention A/c Opening & Operating Charges, 13) Agreement in Principle, 14) Interchangeability, 15) TOD Charges, 16) Guarantee Commission, 17)Penal Interest, 18) Solvency Certificate, 19) LC Commission, 20) Deposit.
The Why and How of Auditing
Author: Charles Hall
Publisher:
ISBN: 9780578519739
Category :
Languages : en
Pages :
Book Description
This book assists auditors in planning, performing, and completing audit engagements. It is designed to make auditing more easily understandable.
Publisher:
ISBN: 9780578519739
Category :
Languages : en
Pages :
Book Description
This book assists auditors in planning, performing, and completing audit engagements. It is designed to make auditing more easily understandable.
Company Law Procedures
Author: Bloomsbury Publishing
Publisher: Bloomsbury Publishing
ISBN: 9354353835
Category : Law
Languages : en
Pages : 1184
Book Description
A Corporate Professional is required to equip himself with regard to corporate compliances on day- to-day basis. There are number of compliances which are required to be complied with depending on the event , whether it is incorporation / conversion / change , etc., not only from Company Law point of view but also from SEBI Regulations point of view (in case of a listed company). To assist the professional in this endeavour, this book is yet another attempt to provide all related procedures at one place along with the resolutions to make it handy and easy to use. The Book has been divided into two parts. Division-I contains Company Law Procedures of more than 115 events. Each procedure has been divided into following heads: - Applicable Section of the Companies Act, 2013 - Applicable Company Rule - Applicable Regulation in case of listed company - SEBI (Listing Obligations and Disclosure Requirements ) Regulations, 2015 - Synopsis (giving background of the section of the Companies Act, 2013) - Procedure (step by step, including various Government approvals and filing of Forms, etc.) - Compliance by a listed company in accordance with SEBI (LODR ) Regulations, 2015 - Draft Board resolutions - Draft General Meeting resolutions (Special/Ordinary resolution) Division-II contains updated Company Rules as issued by the Ministry of Corporate Affairs from time to time and which are referred under various procedures of the Book.
Publisher: Bloomsbury Publishing
ISBN: 9354353835
Category : Law
Languages : en
Pages : 1184
Book Description
A Corporate Professional is required to equip himself with regard to corporate compliances on day- to-day basis. There are number of compliances which are required to be complied with depending on the event , whether it is incorporation / conversion / change , etc., not only from Company Law point of view but also from SEBI Regulations point of view (in case of a listed company). To assist the professional in this endeavour, this book is yet another attempt to provide all related procedures at one place along with the resolutions to make it handy and easy to use. The Book has been divided into two parts. Division-I contains Company Law Procedures of more than 115 events. Each procedure has been divided into following heads: - Applicable Section of the Companies Act, 2013 - Applicable Company Rule - Applicable Regulation in case of listed company - SEBI (Listing Obligations and Disclosure Requirements ) Regulations, 2015 - Synopsis (giving background of the section of the Companies Act, 2013) - Procedure (step by step, including various Government approvals and filing of Forms, etc.) - Compliance by a listed company in accordance with SEBI (LODR ) Regulations, 2015 - Draft Board resolutions - Draft General Meeting resolutions (Special/Ordinary resolution) Division-II contains updated Company Rules as issued by the Ministry of Corporate Affairs from time to time and which are referred under various procedures of the Book.
The Politics of Financial Risk, Audit and Regulation
Author: Atul K. Shah
Publisher: Routledge
ISBN: 9781138042353
Category : Bank failures
Languages : en
Pages : 0
Book Description
Kicking It All into the Long Grass - The Financial Reporting Council (FRC) -- Andrew Tyrie MP - Political Challenger -- Conclusion and Implications for Regulatory Enforcement -- 6. Findings and Implications for Finance Teaching and Research -- Bibliography -- Index
Publisher: Routledge
ISBN: 9781138042353
Category : Bank failures
Languages : en
Pages : 0
Book Description
Kicking It All into the Long Grass - The Financial Reporting Council (FRC) -- Andrew Tyrie MP - Political Challenger -- Conclusion and Implications for Regulatory Enforcement -- 6. Findings and Implications for Finance Teaching and Research -- Bibliography -- Index
Cloud Audit Toolkit for Financial Regulators
Author: Asian Development Bank
Publisher: Asian Development Bank
ISBN: 9292692097
Category : Computers
Languages : en
Pages : 78
Book Description
This cloud audit toolkit is designed to support the work of financial regulators in developing member countries of the Asian Development Bank. It aims to assist and accelerate the uptake of cloud computing technologies and digital tools to improve the efficiency and efficacy of financial regulators' work processes. Drawing on existing practices observed by leading regulators from across the globe, the toolkit provides a comprehensive framework for improving supervisory work processes. It also includes a checklist to help regulators conduct an initial review of their existing oversight mechanisms.
Publisher: Asian Development Bank
ISBN: 9292692097
Category : Computers
Languages : en
Pages : 78
Book Description
This cloud audit toolkit is designed to support the work of financial regulators in developing member countries of the Asian Development Bank. It aims to assist and accelerate the uptake of cloud computing technologies and digital tools to improve the efficiency and efficacy of financial regulators' work processes. Drawing on existing practices observed by leading regulators from across the globe, the toolkit provides a comprehensive framework for improving supervisory work processes. It also includes a checklist to help regulators conduct an initial review of their existing oversight mechanisms.
The U.S. Banking System
Author: Felix I. Lessambo
Publisher: Springer Nature
ISBN: 3030347923
Category : Business & Economics
Languages : en
Pages : 328
Book Description
The U.S. banking system differs from many countries both in the range of services supplied and the complexity of operations. Meanwhile, the U.S. financial markets have become the attraction of worldwide investors. This book explains the three key aspects of the industry: the laws governing the banking institutions, the regulations thereof, and their economics and financial statements in a manner not covered by any competitive publications, of interest to both professionals and scholars who want to better grasp this industry. Auditing a bank and/or liquidating a bank require a set of rules not always well understood. The book provides such an overview.
Publisher: Springer Nature
ISBN: 3030347923
Category : Business & Economics
Languages : en
Pages : 328
Book Description
The U.S. banking system differs from many countries both in the range of services supplied and the complexity of operations. Meanwhile, the U.S. financial markets have become the attraction of worldwide investors. This book explains the three key aspects of the industry: the laws governing the banking institutions, the regulations thereof, and their economics and financial statements in a manner not covered by any competitive publications, of interest to both professionals and scholars who want to better grasp this industry. Auditing a bank and/or liquidating a bank require a set of rules not always well understood. The book provides such an overview.