- Audits an SoA against minimum disclosure obligations including mandatory licensee disclosures, AR information and appropriate disclaimers
- Audit of structural soundness of document, focussing on existence of compliance attributes such as the basis of advice, replacement advice and reasoning.
- Validation of licensees' specific disclosure obligations
- Review of existence of fees, commissions and other disclosable costs expressed in dollar terms
The Audit is based on information contained within the SoA itself. We aim to do what an auditor would do in the absence of supporting information.