Compliance Audits

These template covers the requirements of SAE 3100 (Compliance Engagements) and ISAE (NZ) 3000 (Assurance Engagements other than Audits or Reviews of Historical Financial Information).

The base version is appropriate for testing compliance with terms of grants, trust deeds etc. It contains engagement letters, options of various kinds of Limited Assurance and Reasonable Assurance reports, plus other relevant letters and reports.

This base version forms the foundation for a Body-Corp, Real Estate Trust Account and PTE Trust Account Audit versions.

The templates cover full planning, engagement letter, trial balance upload (optional), risk assessment, internal control analysis, testing pages, analytical review, audit reports, management letters and more. 

Compliance Audits - international standards

  • Compliance Engagement - Base version - for the audit of compliance with terms of grants, trust deeds etc. Based on SAE 3100 (Compliance Engagements) and ISAE (NZ) 3000 (Assurance Engagements other than Audits or Reviews of Historical Financial Information). 

Compliance Audits - current NZ standards

  • Compliance Engagement - Real Estate Trust Account - for the audit of compliance in terms of the requirements of the the NZ Real Estate Act (2008) and Real Estate Agents (Licensing) Regulations 2009. Based on SAE 3100 (Compliance Engagements) and ISAE (NZ) 3000 (Assurance Engagements other than Audits or Reviews of Historical Financial Information).
  • Compliance Engagement - PTE Trust Audits - For use in the audit of compliance with terms of Private Training Establishment trust deeds. Based on SAE 3100 (Compliance Engagements) and ISAE (NZ) 3000 (Assurance Engagements other than Audits or Reviews of Historical Financial Information).
  • Compliance Engagement - Body Corp - For use in the audit of compliance in terms of the requirements of the the Unit Titles Act 2010 and Unit Titles Regulations 2011. Based on SAE 3100 (Compliance Engagements) and ISAE (NZ) 3000 (Assurance Engagements other than Audits or Reviews of Historical Financial Information).

Compliance Audits - Samoa

  • For use in the audit of compliance in terms of the requirements of the the Lawyers and Legal Practice Act (2014) - Samoan legislation. Based on SAE 3100 (Revised) and ISAE (NZ) 3000 (Revised).

 

Have more questions? Submit a request

Comments