Swiss Financial Market Supervisory Authority FINMA
List of recognised Self-Regulatory Bodies
PolyReg General Self-Regulatory Organisation
 
Regulations of PolyReg
Federal Acts and Regulations
Forms

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)