Regulatory Audit Regulatory Audit Regulatory Audit

Many organisations 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:

• audit or review of prudential ratio of securities companies under the requirement of the State Securities Commission.
• assurance on internal control of credit institutions and foreign bank branches under the requirement of the State Bank of Vietnam.
• engagement to perform agreed upon procedures on financial and non-financial information according to specific requirements of intended users to meet relevant regulatory requirements.

How we can help

• KPMG’s Audit practice assists clients fulfill a range of compliance obligations by conducting independent assurance engagements, 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 provide relevant services for Vietnam affiliates of companies, issuing and registering securities in the US, that are required to comply with the Sarbanes-Oxley Act.

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