Preparing Your FinTech Startup for External Audit
This workshop includes:
- Live Q&A sessions on December 8-9th, 2020
- Sample Internal Audit Plan (usually external audit starts with a review of your internal audit work)
- Sample documents and policies you must have in place, such as a description of your Governance and Internal Controls, Code of Conduct, Segregation of Duties, responsibilities of the Board, etc. + Video guide on how to use the templates (14 min recording walking you through all documents section)
- Code of Conduct and Governance Charter Template (covering governance policies related to code of conduct, conflict of interest, segregation of duties, BOD responsibilities, internal controls, internal audit, and other core governance areas
- List of document you must have ready to prepare for AML Audit
- List of documents you must have ready to prepare for operational (risk, transactional review, customer fund segregation, data security audit focus)
During the workshop, I will also teach you how to prepare for the audit demo and how to select the samples you show during the audit demo.
If you attend this workshop LIVE, we will have two Q&A sessions during the 2 days of the workshop (and their recordings for those who cannot attend live) to cover the most common audit questions and possible answers.
AGENDA:
Day 1:
Scoping the audit before it starts. “Independent assurance audit” vs “findings and recommendations audit”. The business overview, client profile overview, internal controls, and governance overview.
Day 2:
Preparing samples and disclosures related to AML, onboarding, high-risk customers, complaints and disputes, relationships with partners, management approvals, discussing findings and deficiencies.
Sign up HERE!