21 July 2026
Preparing a pack so the audit stays on calendar
A short checklist for operations teams sending wealth management applications to an external financial audit desk.
Field Notes
Practical notes on reviewing wealth management applications — exhibits, mandates, and the quiet errors that stall accounts.
9 June 2026
Beneficial-owner charts and the missing intermediate company
Multi-entity wealth management applications stumble when ownership annexes skip a company that still appears in the bank statements.
18 May 2026
Fee pages that age badly inside application packs
Superseded fee schedules left in wealth management applications create awkward signing moments — and awkward audits.
2 April 2026
Risk scores that disagree with the mandate draft
A recurring finding in suitability-linked wealth management applications: the questionnaire says one thing, the mandate another.
12 March 2026
When source-of-wealth narratives drift from the statements
How auditors compare narrative paragraphs in a wealth management application with the bank statements sitting in the same folder.