Due Date for full compliance of the Report – (15 days from the date of submission)




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CANARA BANK INSPECTION WING, H O: BANGALORE
Quarterly Concurrent Audit Report


Date of Submission of Report




Due Date for full compliance of the Report – (15 days from the date of submission)




Please ensure 100% compliance within

the due date:






From:

To:









Dear Sir,

Sub: Concurrent Audit Report of

We enclose the subject audit report. Please attend to the findings expeditiously and furnish replies to Inspection Follow-up Section, Circle Office, Chennai within 15 days i.e. on or before 10th May 2014

.

Yours faithfully,


Signature


Name




Designation




Membership No.





Place: Chennai

Date:

1)

1. ACKNOWLEDGEMENT OF REPORT/CERTIFICATE BY BRANCH:
Received a copy of the Concurrent Audit Report referred above after discussion with the Auditor/inspecting Officer on the findings/observations.
We confirm that all the observations pertaining to this report will be attended and reply will be sent to IF Section of our Circle Office on or before

We note to comply with the observations on KYC / AML norms immediately.
We note to ensure recovery of income leakage reported in Annexure 8 before _______________________ (all recovered).
We note to place those sanctions/loan papers reported in Annexure 2 before the auditor during next month for his verification and review.
We undertake to submit prompt and correct replies to all the observations in the Monthly jotting sheets / Executive Summary and Quarterly Concurrent Audit Report.
For Canara Bank,

Name




Designation




SP No.





Place: Chennai

Date:
2. AUDITOR’S CERTIFICATE


  1. We have covered all the areas of branch functioning during the concurrent audit within stipulated periodicity.




  1. The observations recorded in the report have been discussed with the Branch in charge.




  1. Matters susceptible to fraud or fraudulent activity or deviation against guidelines in any transaction are reported by way of Special Report /Part B.




  1. Instances of violation of laid down systems and procedures, which may put the Bank’s interest in jeopardy, are detailed in Special Report/ Part B.




  1. The major discrepancies identified by us during the course of audit were informed to the Branch in Charge for immediate rectification.




  1. We have reviewed earlier reports and remarks are furnished as cumulative residual observations at the end of the quarter by way of number of observations.




  1. The accounts have been properly classified under appropriate category under Priority/Non Priority and under Performing Assets/Non Performing Assets.




  1. During the Quarter, we have carried out the concurrwent audit in this branch on the days as below (not applicable to internal auditors. They shall submit mandays sheet in the existing format with particulars of leave availed etc.)




Name of the month

No. of days concurrent audit was conducted

Out of which, the Chartered Accountant partner/proprietor attended the branch





























For

Chartered Accountants

INDEX

Sl. No

Particulars

Page No

INTRODUCTION

01

Branch/Business Profile




02

Executive Summary




03

Persisting Irregularities




Chapters - AUDIT AREAS

01

Chapter 1 – Deposits




02

Chapter 2 – Advances – Credit Sanctions




03

Chapter 3 – Advances – Documentation




04

Chapter 4 – Credit Monitoring




05

Chapter 5 – Bills Purchased Including BULC




06

Chapter 6 – Non Fund Based Limits




07

Chapter 7 – Foreign Exchange Business




08

Chapter 8 – Foreign Exchange – Remittances, Returns and Others




09

Chapter 9 – General Matters.




10

Chapter 10 – Inspection Follow-up Matters




11

Chapter 11 – Income Audit.




12

Chapter 12 – Fraud Prone Areas




13

Chapter 13 – Information Systems Audit Areas




14

Chapter 14 – Quality Audit Report (Half Yearly)




ANNEXURES

01

Annexure 1 – Loans/Advances permitted/disbursed during the quarter




02

Annexure 2 – Loan papers pending for verification




03

Annexure 3 – Securities verified by the Auditor during the Quarter




04

Annexure 4 – Pending Security Verification by the Auditor at the end of the quarter




05

Annexure 5 – Certificate for verification of Export Declaration Forms







Annexure 5 (a) – Certificate for Forms A1 & A2




06

Annexure 6 – PART B – Observations (Matters Requiring Immediate Attention)




07

Annexure 7 – Reconciliation on pending observations on Concurrent Audit




08

Annexure 8 – Income Leakage detected during the quarter




09

Annexure 9 - Statistics on Systems and Control Feedback




10

Annexure 10 – Compliance to Policy Guidelines on KYC/AML norms for the quarter.




11

Annexure 11 – Preventive Vigilance Committee functioning Certificate




12

Annexure 12 – Pending Remarks of the previous quarters.




13

Annexure 13 – Details of accounts in which overdue ADHOC Credit facility/TODs/Emergency Powers permitted by the branch.




14

Annexure 14 – Details of borrowers who have not submitted the stock statements for more than Two Months.




15

Annexure 15 – Details of accounts which are overdue for Godown Inspection/Stock Audit as at the end of the quarter.




16

Annexure 16 – Securities verified by the auditor during the quarter.




17

Annexure 17 – List of limits expired but not renewed for more than two months as at the end of the quarter.



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