Engagement path
How a financial audit of a wealth management application moves from first call to findings memo.
A clear path keeps custody dates and committee calendars honest. Here is how we typically run a wealth management application audit.
- Inquiry. You tell us the product line, file count, languages, and deadline via the contact form or phone. We confirm whether a Full Application Audit or a narrower check fits.
- Estimate & letter. We send a written estimate and engagement letter covering confidentiality, deliverables, and refund terms.
- Intake. Documents arrive by secure upload or courier to Level 11, 91 Ploenchit Road, Lumphini, Bangkok 10330. We acknowledge the inventory within one business day.
- Review. Auditors read the application, exhibits, fee pages, and mandate. Queries go to your designated contact — not to the end client — unless you arrange otherwise.
- Findings memo. You receive a ranked list of blocking issues, should-fix items, and observations, plus a scheduled clarification call.
- Optional re-check. After your team amends the pack, a light re-check of changed pages can be scoped (often a fraction of the original fee).
What we need from you
A single owner for questions, a realistic committee or custody date, and complete copies of what the client has already signed or is about to sign. Partial packs are fine for Pre-Onboarding Document Audits; Full Application Audits need the near-final set.
What you can expect from us
Named engagement lead, no surprise upsells mid-review, and findings written for operations and compliance readers. Browse audit types or request a scope call when you have a live file.