Audit engagements

Financial audits of wealth management applications — from first onboarding packs to periodic suitability refreshes.

Our desk in Bangkok reviews the financial substance of wealth management applications before accounts open or when files come up for renewal. Each engagement produces a written findings memo your operations and compliance colleagues can action without deciphering jargon.

Full Application Audit

End-to-end financial review of a wealth management application pack — identity of assets, source-of-wealth narrative, risk profile, fee acknowledgements, and mandate wording.

5–10 business days per pack
From THB 45,000 per application
Bangkok office or remote document review

View scope

Suitability File Review

Focused audit of risk scores, investment objectives, and product alignment inside an existing wealth management suitability file.

3–6 business days
From THB 28,000 per file
Remote across Thailand; Bangkok meetings optional

View scope

Fee & Mandate Consistency Check

Side-by-side audit of fee exhibits, rebate disclosures, and mandate clauses inside wealth management application packs.

2–4 business days
From THB 18,000 per pack
Bangkok or remote

View scope

Pre-Onboarding Document Audit

Early-stage check of supporting exhibits for a wealth management application before the full pack is assembled.

2–5 business days
From THB 15,000 per prospect file
Remote; Bangkok drop-in optional

View scope