Wealth Mandate Application Audit
Our flagship engagement — a structured financial audit of how wealth management mandates are applied across selected client books.
Who it is for
Private banking desks, independent wealth advisors, and family office stewards who need an independent financial audit of how wealth management applications — the mandates, fee rules, and reporting practices behind client relationships — are actually applied.
Result you can expect
A written findings pack that maps stated mandate language to sampled trades, fee accruals, and client reports. Partners receive prioritized recommendations, not a generic checklist.
Scope included
- Kickoff scoping call to select books, periods, and sample sizes
- Review of investment policy statements and discretionary authority letters
- Sampling of trades and overrides against mandate boundaries
- Cross-check of fee schedules against client statements for the sample
- Review of portfolio reports clients received in the same period
- Draft findings workshop with your nominated leads
- Final written report suitable for internal risk or partner review
Scope excluded
- Investment performance attribution or market forecasting
- Formal regulatory examination on behalf of a supervisor
- Legal opinions or litigation support (available only by separate written brief)
- Ongoing outsourced compliance staffing
How we work
- Scope call — Confirm books, period, access to documents, and confidentiality terms.
- Document intake — Receive IPS files, fee letters, trade extracts, and reporting packs.
- Field sampling — Test application of wealth management rules against the sample.
- Findings workshop — Walk through draft observations before the report hardens.
- Delivery — Issue the final report and optional follow-up clarification call.
Timeline and delivery
Most engagements complete in four to eight weeks after full document access. Work can be based at Level 15, 28 Ratchadaphisek Road, Din Daeng, Bangkok 10400, with secure remote review when files allow.
Preparation
Nominate a single coordinator for document requests. Provide redacted samples if needed; we agree redaction rules before intake. Restrict access lists so only engagement staff see client identifiers.
Pricing basis
Quoted after scoping. Fees reflect book count, sample depth, and whether on-site days in Bangkok are required. See the fees page for starting ranges.
Next step
Request a scope call and tell us which books and periods you want examined.