Audit Process
How a financial audit of wealth management applications moves from scope call to findings workshop and final report.
Financial audit work on wealth management applications follows a steady sequence. The goal is fewer surprises at the end — and clearer ownership of each finding.
The path of an engagement
Scope call
We confirm which books, periods, and engagement type fit your question. Confidentiality terms and access lists are agreed before any files move.
Document intake
Investment policy statements, fee letters, trade extracts, and client reporting packs arrive in an agreed structure. Incomplete packs pause the clock until gaps are closed.
Sampling and testing
We test how wealth management rules were applied: discretionary boundaries, fee accruals, and what clients were shown. Interviews clarify context; documents remain the evidence.
Findings workshop
Draft observations are walked through with your nominated leads. Wording is sharpened; facts are challenged while there is still room to adjust.
Final report
You receive a written pack with prioritized recommendations. One clarification call is included. Remediation support, if wanted, is scoped separately.
What we need from you
A coordinator who can answer document questions within two business days, and a decision-maker who will attend the findings workshop. Without both, timelines stretch.
Where work happens
On-site days are available at Level 15, 28 Ratchadaphisek Road, Din Daeng, Bangkok 10400. Secure remote review is used when packs are complete and access controls are clear.
Ready to begin?
Browse engagement types or request a scope call with the books and periods you have in mind.