Audit engagement
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.
Who this is for
Relationship managers, onboarding teams, and family-office coordinators who need an independent financial audit of a wealth management application before custody or advisory accounts go live.
Result
You receive a structured findings memo covering completeness, internal consistency, and material financial gaps — plus a short call to walk through priority items before your internal acceptance meeting.
What is included
- Line review of the application form, risk questionnaire, and source-of-wealth / source-of-funds statements
- Cross-check of declared holdings against supporting statements provided in the pack
- Review of fee schedule acknowledgements against the proposed mandate
- Flagging of unsigned pages, conflicting dates, and missing beneficial-owner exhibits
- Written findings ranked by severity (blocking, should-fix, observe)
- One 45-minute clarification call with your designated contact
What is excluded
- Legal opinions on Thai or foreign regulation
- Credit decisions or investment advice
- Rewriting client narratives on your behalf (we note gaps; your team amends)
- On-site visits outside Greater Bangkok unless separately scoped
Provider and process
Senior auditors at Mind Cache Path lead each Full Application Audit. After intake, we confirm the product line (discretionary, advisory, custody-only, or multi-entity) and the documents we expect. You upload or courier the pack; we acknowledge receipt and share a target delivery date.
Timeline and location
Typical packs clear in five to ten business days depending on page volume and language mix (Thai / English). Work is performed from our Ploenchit office or via secure remote review. In-person walkthroughs at Level 11, 91 Ploenchit Road, Lumphini, Bangkok 10330 are available by appointment.
Preparation
Please send: the completed application, risk profile, KYC identity copies already on file, asset statements used to support the application, draft mandate, and fee exhibits. Mark any known open items — we will still verify them independently.
Constraints
We audit the financial content of the application as submitted. We do not contact the end client unless you expressly arrange an introduction. Packs above 250 pages or involving more than four related entities may require an extended timeline quoted before work begins.
Pricing basis
From THB 45,000 per application for a standard private-banking pack. Multi-file retainers and rush windows are available — see Rates or request a scope call.
Next step
Contact the Bangkok desk with the product type, number of files, and your custody or committee deadline.
Discuss this engagement
Share the product line and how many application files need review.
Request a scope call