Audit & Risk Advisory

At FinPracto, our Audit and Risk Advisory Services are designed to help individuals, families, and businesses achieve complete financial transparency, compliance, and long-term stability. We conduct independent reviews of financial records, processes, and risk exposures to ensure that your investments and financial structures are secure, compliant, and optimised for future growth.

Our approach combines thorough auditing practices, strategic financial insights, and robust risk-management frameworks, ensuring that every client receives solutions tailored to their financial goals.

What We Offer

1. Comprehensive Financial Audits

We conduct detailed audits of your financial statements, investment records, and documentation to ensure:

  • Accuracy and completeness
  • Compliance with regulatory standards
  • Correctness in reporting and record-keeping
  • Identification of errors, discrepancies, or inefficiencies

These audits help clients understand their true financial position and make informed decisions.

2. Risk Assessment & Mitigation Planning

Our team analyses all potential risks surrounding your finances — including regulatory, operational,
investment, tax, and compliance-related exposures. We then prepare a risk-mitigation roadmap that includes:

  • Prevention strategies
  • Internal control strengthening
  • Documentation improvements
  • Compliance tracking mechanisms

This ensures long-term stability and reduces the chances of future disputes or financial irregularities.

3. Compliance Review & Advisory

We help clients stay fully compliant with Indian financial regulations, including those issued by:

  • SEBI (Securities and Exchange Board of India)
  • RBI (Reserve Bank of India)
  • MCA (Ministry of Corporate Affairs)
  • Income Tax Department

Our team ensures your documents, filings, accounts, and processes meet the required standards.

4. Process Improvement & Internal Controls

We review existing systems and recommend stronger internal controls, improved financial workflows,
and better reporting mechanisms. This helps reduce errors, prevent fraud, and ensure smoother
financial operations.

5. Investment Portfolio Review

We analyse your investment portfolio — including shares, mutual funds, bonds, and other assets — to identify:

  • Underperforming holdings
  • Risk concentration
  • Missing documentation
  • Compliance gaps
  • Opportunities for restructuring

Our advisory ensures your portfolio is secure, compliant, and aligned with your goals.

6. Risk Consulting for Families, NRIs & Trusts

We assist high-net-worth families, Non-Resident Indians (NRIs), and private trusts in identifying
financial, inheritance, and compliance risks. Our services include:

  • Succession-related risk planning
  • Estate documentation audits
  • KYC (Know Your Customer) & FATCA (Foreign Account Tax Compliance Act) compliance review
  • Risk exposure evaluation for overseas assets

Why FinPracto?

  • Strong domain expertise across financial management, compliance, taxation, and investment recovery
  • Streamlined processes ensuring accuracy, transparency, and timely completion
  • End-to-end support from audit to implementation of recommendations
  • Client-focused approach with customised advisory based on your financial profile

FAQs

An audit is an independent examination of financial records to ensure accuracy, transparency, and compliance with regulatory standards. It helps identify errors, discrepancies, and risks in your financial documentation.

Risk Advisory helps you understand the financial, regulatory, operational, and investment-related risks that may affect your assets. It also provides strategies to minimise future disputes, non-compliance, and financial losses.

FinPracto conducts various audits such as:

  • Financial statement audits
  • Investment audits
  • Compliance audits
  • Process and internal control audits
  • Portfolio documentation audits

Yes. We assist with compliance requirements related to SEBI, RBI, MCA, and the Income Tax Department. We review documents, filings, and processes to ensure full compliance.

Absolutely. We review your shares, mutual funds, bonds, and other investments to identify risks such as concentration issues, compliance gaps, underperformance, and missing documentation.

Yes. FinPracto offers specialised Audit and Risk Advisory services for NRIs, including documentation audits, KYC checks, FATCA compliance, and succession-related risk assessment.

Yes. Unlike traditional auditors, FinPracto provides end-to-end support. We not only highlight risks and gaps but also assist in solving issues, updating documentation, and strengthening internal controls.

Ideally once a year. Regular audits help maintain financial discipline, avoid non-compliance, and keep your investment documentation updated.

Yes. We review old financial records, historical investments, physical share certificates, and outdated documentation to identify gaps and bring everything up to compliant and updated standards.

Yes. Every audit and advisory plan is tailored based on the client’s financial structure, asset size, investment profile, and risk exposure.
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