PublicatioPublications

Committee Publications

The Committee has issued a number of publications for the benefit of members – Technical Guides, e-Learning Modules and others. This section provides pertinent details and a brief synopsis of the coverage of these publications to enable members to benefit from them. Please select relevant publication from the following sections to get further details ........

Information Systems Audit (ISA) PQC Prospectus

Prospectus for the Post Qualification Course (PQC) on Information Systems Audit (ISA) provides pertinent information to members wishing to pursue this course. This prospectus also contains “ISA Prospectus CD” which includes a softcopy of the Background Material for the course, to enable members to start their study of the course immediately after getting the prospectus, apart from useful resources and a soft copy of the prospectus ........

Technical Guides

The Committee has issued two useful Technical Guides for the benefit of members such that they can offer value added services of IS Audit in general and to Stock Brokers in particular. These Technical Guides also include a CD giving a soft copy of the guide and typical reports, which can be readily adopted for typical requirements........

Data Analysis for Auditors- Practical Case studies on using CAATs

The Committee has released this publication on “Data Analysis for Auditors - Practical Case Studies on using CAATs” to provide good illustrative use of Computer Assisted Audit Techniques for financial analysis and reporting, such that members can make better use of these tools for their professional requirements. The use of Computer Assisted Audit Techniques (CAATs) is steadily gaining greater popularity considering the large volumes and varieties of transactions now being processed through the computer and hence ready availability of data for analysis and reporting........

WHAT DO YOU WANT TO DO?

Technical Guide on Systems Audit of Stock Brokers

Introduction

Committee on Information Technology of the Institute has come out with this excellent Technical Guide to enable ISA Members to offer IS Audit Services which are mandatory for NSE Stock Brokers and recommendatory for BSE Stock Brokers, and that it is going to organize workshops on Systems Audit of Stock Brokers CTCL facility.

This guide take the readers from A to Z of the Systems Audit of Stock Brokers – Offer Letter giving scope of audit, to the processes/ procedures to be followed till the draft audit report formats, apart from a ready compilation of NSE and BSE Circulars

This material aims to facilitate ISA members in practice to undertake systems audit of stock brokers which is compulsory for NSE and recommendatory for BSE Stock Brokers.

This guide aims to provide the necessary introduction to the CTCL Facility of Stock Brokers, concern areas, processes/ procedures to be followed and access to relevant circulars of NSE and BSE, apart from the required audit reports that can be directly used in providing IS Audit services.

Contents

  • Introduction ( Recent Developments, System Audit Requirements of Stock Broking Industry)
  • Trading Patterns ( Capital Market Segment, Futures & Options Segment)
  • IS Architecture ( Total Information Systems, NSE Trading Network, Stock Broking Activities)
  • CTCL Trading Facility
  • IS Environment in CTCL
  • CTCL Audit Preparation
  • Audit Procedure
  • Systems Audit Report
  • NSE and BSE Circulars

This technical guide also contains a companion CD which contains e-book of this guide and checklist and NSE/BSE circulars.

Price Rs.200/-

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