Regulatory Audit KPMG KY | KPMG | GLOBAL

Regulatory Audit

Regulatory Audit

Our Audit practice assists with a range of compliance obligations by conducting independent audits and reviews of financial information and data.

Our Audit practice assists with a range of compliance obligations.

Many organizations are obliged to obtain independent verification of financial and other information reported to regulators. Others voluntarily seek independent verification to avoid factual errors and the risk of non-compliance.

 

Regulatory audits include but are not limited to financial statements audits. A major role of the auditor is to assist regulators with the prudential supervision exercised by the regulatory bodies. Additional involvement may also be requested to answer specific needs. 

Banks

  • Banks and Fiduciary Services - Banks and Trust Companies Act, 1990, Company Management Act, 1990 and the Regulatory Code, 2009.

Funds

  • Funds - Securities and Investment Business Act, 2010, Mutual Funds Regulations, 2010 and the Regulatory Code, 2009.

Insurance / reinsurance companies

  • Insurance - Insurance Act, 2008, Insurance Regulations, 2009 and the Regulatory Code, 2009.

Through the regular training delivered to our staff and our involvement in a number of industry events, we keep abreast of latest regulatory changes and best practices in the banking, funds and insurance/reinsurance industries. 

How we can help 

Our firm’s Audit practice assists clients fulfill a range of compliance obligations by conducting independent audits and reviews of financial information and other data. We help our clients identify incidences of non-compliance and increase confidence in the integrity of the information, systems and processes under review.

We seek to build and preserve the trust, respect and confidence of our clients by providing clear, relevant and timely advice.

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