Capital Markets Audits

Our firm provides consulting, risk assessments, and internal audits to financial services companies, including: banks, members of the stock exchange, mutual fund companies, asset management services         , provident funds, companies that issue index-linked notes, structured products, and income trusts, by utilizing our vast experience and broad knowledge base.

Among our clients are: Excellence Nessuah, Menorah Mivtachim Finance, Migdal Capital Markets, Har-El Financial, Clal Batucha, Tachlit Index-Linked Notes, the Bank Igud Trust Company, and the Ernst and Young Trust Company.

Among other services, we offer the following:

Risk Surveys

A comprehensive risk survey points to potential processes and events that could hurt the corporation’s activities.  To ensure the careful and appropriate management of those risks, rules and policies that are clear, easy to measure, and easy to control and manage, must be established.  The risk survey is a tool that allows management to assess and quantify the potential risks facing the corporation, and calculate the probability of them materializing, and appraise the effectiveness of existing control mechanisms.

The results of the risk survey will be used for both on-going activities (including updating corporate policies, work processes, manuals, control systems, risk minimization), and for setting internal audit objectives and prioritizing issues for the multi-year plan.

Documentation

We document work procedures that align work processes within different capital markets organizations, including: brokerage, investment portfolio management, income trust management, underwriting, issuance of index-linked notes, and more. 

We start the documentation process by studying existing processes and assessing their applicability to relevant regulations.  Only then do we write the new procedures. The final product is a set of procedures that is customized to the needs of the organization and its work processes, and guarantees compliance with regulation.