About financial internal audit

Hello.

This is Narumi from the Shinjuku head office of Support Administrative Scrivener Corporation.

Recently, we have been receiving many inquiries from financial instruments business operators regarding internal audit support.

In the financial instruments business, supervisory guidelines and business method manuals of each company include:

An internal audit department that is independent from other departments is established and is required to conduct internal audits on a regular basis.

However, in reality, even if you decide to conduct an internal audit, you may not know what to do or how to do it.

There are many troubling voices, such as concerns about whether or not they are checking properly.

Therefore, at our support administrative scrivener corporation,

We provide support for implementing internal audits for financial instruments business operators.

Specifically, in the following process, together with the person in charge of internal auditing of the financial instruments business operator,

We are conducting internal audits.

<Flow>

① Formulation of internal audit plan 　

　↓

②Preliminary investigation (preliminary check of some documents) 　　

    ↓

③On-site visit (hearing, document check, on-site check, brief general review) 　

　↓

④Delivery of internal audit report 　

　↓

⑤Commentary meeting/future proposals

Recently, in addition to financial instruments traders, we have also received requests from real estate brokers, construction companies, and travel agencies.

There is also an increasing number of requests for internal audits to be conducted in accordance with industry laws and standards.

If you have any questions regarding internal auditing, regardless of the field, please contact us.

Please feel free to contact Support Administrative Scrivener Corporation. (The first consultation is free)

Well, then, I'm looking forward to working with you.