A questionnaire in Word format will be emailed to you. You are required to fill it out, sign it, and send it back along with the following documents:
Bank account statements (last 12 months)
Demat account statements (last 12 months)
The auditor will also share specific queries related to your bank and demat accounts via email. These queries should ideally be responded to within 5 trading days to ensure timely completion of the audit and submission to the Exchanges.
For virtual audits only, you must additionally share the following:
1. Photo of office name board (outside entrance)
2. Photo of AP notice board displayed at office
3. Photo ID card of AP terminal operator
4. Visitor register
5. Complaint register
All these should be sent to the auditor via email before the scheduled physical/virtual audit.