Audit engagement
Client Asset Safeguarding Audit
Independent testing of custody reconciliations, segregation of client money, and the records investors and supervisors expect to see intact.
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Focus
Digital wealth advisors, brokers, and platforms that hold or arrange client assets. We test whether bank and custodian statements reconcile to internal ledgers, how breaks are aged, and whether segregation language in policies matches account structures in practice.
Included
- Sample reconciliation testing across an agreed period
- Review of trust or client-money account mandates
- Interviews with finance and operations owners
- Findings ranked for board and diligence audiences
Out of scope
Valuation methodology opinions and investment-suitability assessments — those belong with specialised advisory firms.
Ready to scope this engagement?
Tell us your licence type, examination window, and where your control evidence currently lives. We reply within two business days.
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