Audit Workspace
In ProgressFinversal AMC -- FY 2025-26 -- Statutory + Internal Audit
Progress
75%
Checkpoints
214/285
Findings
25
Team Hours
690/1060h
Days Left
34
Due: 30 Apr 2026
Audit Timeline
Planning
15 Jan - 31 Jan
Interim Audit
01 Feb - 28 Feb
3
Year-End Testing
01 Mar - 31 Mar
4
Reporting
01 Apr - 20 Apr
5
Sign-Off
21 Apr - 30 Apr
Audit Progress by Area
| # | Audit Area | Type | Assigned To | Progress | Findings | Status | Action |
|---|---|---|---|---|---|---|---|
| 1 | NAV Computation & Valuation | Statutory | Arjun Kumar | 22/30 (73%) | 3 | In Progress | View Details |
| 2 | Investment Restrictions | Statutory | Priya Sharma | 28/28 (100%) | 2 | Completed | View Details |
| 3 | TER & Expense Ratio | Statutory | Priya Sharma | 18/22 (82%) | 1 | In Progress | View Details |
| 4 | Fund Accounting | Statutory | Sneha Patel | 15/24 (63%) | 0 | In Progress | View Details |
| 5 | AML & KYC | Statutory | Rahul Mehta | 20/20 (100%) | 4 | Completed | View Details |
| 6 | Custody & Settlement | Statutory | Sneha Patel | 10/18 (56%) | 1 | In Progress | View Details |
| 7 | Investment Process | Internal | Deepak Gupta | 12/22 (55%) | 2 | In Progress | View Details |
| 8 | Operations & Process | Internal | Ananya Reddy | 20/24 (83%) | 3 | In Progress | View Details |
| 9 | Risk Management | Internal | Rahul Mehta | 8/20 (40%) | 0 | Not Started | View Details |
| 10 | IT & Cybersecurity | Internal | Vikram Singh | 18/18 (100%) | 5 | Completed | View Details |
| 11 | Outsourced Activities | Internal | Ananya Reddy | 5/14 (36%) | 0 | In Progress | View Details |
| 12 | Governance & Conduct | Internal | Arjun Kumar | 10/10 (100%) | 1 | Completed | View Details |
| 13 | Personal Trading Code | Compliance | Priya Sharma | 12/12 (100%) | 2 | Completed | View Details |
| 14 | Compliance Calendar | Compliance | Priya Sharma | 8/8 (100%) | 0 | Completed | View Details |
| 15 | Tax Compliance | Statutory | Meera Krishnan | 8/15 (53%) | 1 | In Progress | View Details |
Engagement Team
| Name | Role | Assigned Areas | Hours Budget | Hours Spent | Utilization | Status |
|---|---|---|---|---|---|---|
AK Arjun Kumar | Engagement Partner | Overall / NAV Review | 120h | 85h | 71% | Active |
PS Priya Sharma | Manager | Compliance + TER | 200h | 150h | 75% | Active |
RM Rahul Mehta | Senior | AML/KYC + Risk | 180h | 120h | 67% | Active |
SP Sneha Patel | Associate | Fund Accounting + Recon | 160h | 100h | 63% | Active |
VS Vikram Singh | IT Specialist | IT Audit + Cybersecurity | 80h | 45h | 56% | Active |
AR Ananya Reddy | Associate | Operations + RTA | 140h | 90h | 64% | Active |
DG Deepak Gupta | Associate | Investment Process | 120h | 70h | 58% | Active |
MK Meera Krishnan | Tax Specialist | Tax Compliance | 60h | 30h | 50% | Active |
Recent Findings
| ID | Severity | Area | Title | Assigned | Status | Date |
|---|---|---|---|---|---|---|
| F-2026-001 | Critical | AML/KYC | Structuring pattern detected in Folio MF2847291 -- split transactions below Rs 10L | Rahul Mehta | Open | 24 Mar 2026 |
| F-2026-002 | High | IT Security | Privileged access not reviewed for 3 system admin accounts in last 90 days | Vikram Singh | Open | 22 Mar 2026 |
| F-2026-003 | Critical | NAV | Debt security valued using incorrect spread matrix -- Rs 2.3Cr impact | Arjun Kumar | In Review | 20 Mar 2026 |
| F-2026-004 | High | AML/KYC | PEP identification gap -- 2 politically exposed persons not flagged | Rahul Mehta | Open | 18 Mar 2026 |
| F-2026-005 | Medium | TER | GST impact on TER exceeds slab limit for 1 debt scheme by 2bps | Priya Sharma | In Review | 17 Mar 2026 |
| F-2026-006 | High | IT Security | API rate limiting not enforced on 4 investor-facing endpoints | Vikram Singh | Open | 15 Mar 2026 |
| F-2026-007 | Medium | Operations | SIP processing delayed by 1 day for 47 folios in Feb batch | Ananya Reddy | Resolved | 14 Mar 2026 |
| F-2026-008 | High | NAV | Corporate action (bonus) not applied timely for Reliance Industries | Arjun Kumar | Resolved | 12 Mar 2026 |
| F-2026-009 | Medium | Investment | Research report consumption not documented for 3 buy decisions | Deepak Gupta | Open | 10 Mar 2026 |
| F-2026-010 | Low | Governance | Board attendance tracker has minor formatting discrepancy | Arjun Kumar | Resolved | 08 Mar 2026 |
Upcoming Deadlines
9d
Interim Audit Report to Partner
05 Apr 2026|Priya Sharma
14d
AML STR Filing for Q4 findings
10 Apr 2026|Rahul Mehta
IT Audit Report Finalization
15 Apr 2026|Vikram Singh
24d
Draft Audit Report to Management
20 Apr 2026|Arjun Kumar
34d
Final Report Sign-Off
30 Apr 2026|Arjun Kumar