Audit & Assurance
Stock Exchange Compliance Audit
Compliance audit for listed entities spanning disclosures, filing discipline, and secretarial controls. SEBI LODR, stock exchange filing review, and periodic compliance certification.
Compliance audit for listed entities spanning disclosures, filing discipline, and secretarial controls. SEBI LODR, stock exchange filing review, and periodic compliance certification. We keep the work founder-friendly and evidence-led so the company can move without unnecessary back-and-forth.
- • Stock Exchange Audit scope review and action plan
- • Document checklist and evidence review
- • Drafting, computation, or filing support
- • Submission support and acknowledgement tracking
- • Follow-up on queries, corrections, or notices
- • Closure notes and next-step reminders
- • Trial balance and financial statements
- • Ledger extracts and bank statements
- • Statutory registers and approvals
- • Prior audit notes or notices, if any
See the fee table below for the statutory filing charge and common delay logic.
- • Regulation 30 of the SEBI (LODR) Regulations 2015
- • Regulation 33 of the SEBI (LODR) Regulations 2015
- • Regulation 34 of the SEBI (LODR) Regulations 2015
- • Regulation 44 of the SEBI (LODR) Regulations 2015
Process
How the service works
The workflow is built to be predictable: document collection, legal review, filing, and post-filing follow-through.
Confirm the scope
We map the exact service route to the trigger, form set, and documentary evidence so the work starts on the right footing.
Collect the records
We gather the company records, notices, or transaction documents needed for stock exchange audit and check them for gaps.
Prepare the filing or memo
We draft the computations, filings, or advisory memo so the next person in the chain can review it quickly and confidently.
Submit and track follow-up
We move the file through submission, keep the acknowledgement trail tidy, and handle any follow-up questions that come back.
AEO summary
Stock Exchange Audit is the CA-led workflow that helps a Private Limited company stay compliant, file the right forms, and keep the record trail clean.
Stock Exchange Compliance Audit workflow
We start by checking the exact trigger, the legal route, and the documents that make stock exchange audit executable for a Private Limited company. That keeps the filing or advisory work tied to the actual statutory path instead of a generic checklist.
Once the scope is locked, we prepare the working papers, filings, and follow-up notes so the matter can move without unnecessary back-and-forth. The goal is to make the process understandable for the founder, the finance team, and the reviewer.
- • Scope mapping for stock exchange audit
- • CA-led document review and drafting
- • Submission support and acknowledgement tracking
What this protects for the company
For a Private Limited company, the value is not just speed. It is also about keeping the record trail clean enough for banks, investors, regulators, and future diligence work.
A founder-friendly process lowers the chance of avoidable notices, rework, or missed deadlines while keeping the company aligned with the right section, rule, or circular in Audit & Assurance.
- • Cleaner compliance evidence for Audit & Assurance
- • Better preparation for diligence or audit
- • Less last-minute chasing inside the finance team
Government fees
Fee breakdown
| Item | Fee | Notes |
|---|---|---|
| No standalone government fee | Nil | This is a professional assignment; statutory fees apply only if the matter includes a connected filing or portal step. |
| Connected filing or application fee | As per applicable portal / authority schedule | Only relevant if the work includes a statutory submission such as a return, registration, or approval. |
Timeline
Typical turnaround
Typical timeline usually means a monthly turnaround, assuming documents are complete and any board or shareholder approvals are already in place.
Government charges are usually limited to connected filings; the main fee driver is the scope of review and evidence pack.
Related services
Keep the company moving
Statutory audit under the Companies Act 2013, internal audit, and controls reviews — with UDIN and board-ready reporting
Independent investigation support, exception analysis, and evidence-backed reporting for suspected fraud or control breaches
Risk-based internal audit covering process efficiency, internal controls, compliance with policies, and management reporting. Mandatory for certain companies under Rule 13 of Companies (Accounts) Rules 2014
Mandatory tax audit for businesses and professionals exceeding prescribed turnover thresholds. Audit report in Form 3CA/3CB with Form 3CD particulars. Due date: 30 September
FAQ
Frequently asked questions
What does Stock Exchange Audit cover for a Private Limited company?
Which forms are usually involved?
What happens if we miss the deadline or get a notice?
What should you send us before we start?
Canonical reference: https://www.pvtltd.co/services/stock-exchange-compliance-audit
Get started
Ready to move this filing forward?
We can help with the filing, the legal mapping, and the follow-up work that keeps the company compliant after submission.