Swiss Financial Market Supervisory Authority FINMA
List of recognised Self-Regulatory Bodies
PolyReg General Self-Regulatory Organisation
 
Regulations of PolyReg
Statutes Statutes
Regulations Regulations
Cost of membership Member's Fees
 
Federal Acts and Regulations
MLA Money laundering act
Ordinance 955.071 Ordinance 955.071
 
Forms
Link Application for membership
Link Report changes
Link Declaring Inactivity
Link Documentation
Link Deferred Audit
Link Form A
Link Form K
Link Form E
Link Training registration
Link Audit expenses report
Link Audit report
Link Report to MROS

Audit report

All accredited inspection bodies of SRO PolyReg as well as the member-specific inspection bodies must draw up their inspection report for the attention of the SRO using "Audit report" form. All inspection bodies are requested to use only the form in the present new version with immediate effect.

PDF Audit report for audit firms (PDF, Version 09.2019)

DOC Audit report for audit firms (DOC, Version 09.2019)

Sample working papers for carrying out the examination:

PDF Working paper for audit firms (PDF)

DOC Working paper for audit firms (DOC)

(Adapted: 29 December 2019)