112 lines
4.1 KiB
Markdown
112 lines
4.1 KiB
Markdown
# Baker Tilly International Go/No Go Check List
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## Audit
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### Score Legend
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| Color | Points | Decision |
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|-------|--------|----------|
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| 🟢 Green | 10+ Points | GO |
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| 🟡 Yellow | 5-9 Points | Speak to SL or SSL leadership |
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| 🔴 Red | 1-5 Points | NO GO |
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---
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### Basic Information
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| Field | Value |
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|-------|-------|
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| **Client Name:** | |
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| **Client Contact:** | |
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| **Lead Firm Name:** | |
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| **Lead Firm Contact:** | |
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---
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## 1. Opportunity Details
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| # | Question | Details |
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|---|----------|---------|
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| 8 | What sort of audit opportunity is it? | [insert details] |
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| 9 | How many locations involved in this opportunity? | [insert details] |
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| 10 | List any locations included in this opportunity where we do not have a Baker Tilly firm. | [if no insert details] |
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| 11 | Where is the client HQ? | [insert details] |
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| 12 | Who is the competition? | [insert details] |
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---
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## 1. Client Background and History
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> *If you answer yes, you will score 1 point, if you answer no you will score 0 points*
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| # | Question | Yes / No / Not applicable | Insert details |
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|---|----------|---------------------------|----------------|
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| 14 | What is the client's business and industry? | | [insert details] |
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| 15 | There have been no significant changes in the client's business operations or structure recently? | - | [if no insert details] |
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| 16 | Does the sector and/or client come with a reputation which we are comfortable that Baker Tilly is associated with? | - | |
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| 17 | Are there any previous audit reports or findings that need to be considered? | | [if yes insert details] |
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---
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## 2. Financial Information
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> *If you answer yes, you will score 1 point, if you answer no you will score 0 points*
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| # | Question | Yes / No / Not applicable | Insert details |
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|---|----------|---------------------------|----------------|
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| 19 | Has the client provided financial statements or balance sheet? | - | [insert details if needed] |
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| 20 | Are the client's financial statements complete and accurate? | - | [insert details if needed] |
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---
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## 3. Regulatory Compliance
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> *If you answer yes, you will score 1 point, if you answer no you will score 0 points*
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| # | Question | Yes / No / Not applicable | Insert details |
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|---|----------|---------------------------|----------------|
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| 22 | Does the client comply with all relevant regulatory requirements and standards? | - | [if no insert details] |
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| 23 | The client has no pending legal or regulatory issues that you know of that could impact the audit? | | [if no insert details] |
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| 24 | The client has been subject to no regulatory investigations or penalties? | - | [if no insert details] |
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---
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## 4. Risk Assessment
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> *If you answer yes, you will score 1 point, if you answer no you will score 0 points*
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| # | Question | Yes / No / Not applicable | Insert details |
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|---|----------|---------------------------|----------------|
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| 26 | There are no key risks associated with the audit? | - | [if no insert details] |
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| 27 | Have you completed a conflict check? | - | [insert details] |
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| 28 | Are you and other BTI member firms independent with the meaning of local and IESBA rules? | - | [if no insert details] |
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---
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## 5. Resource Allocation
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> *If you answer yes, you will score 1 point, if you answer no you will score 0 points*
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| # | Question | Yes / No / Not applicable | Insert details |
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|---|----------|---------------------------|----------------|
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| 30 | What resources are required for the audit (personnel, time, budget)? | - | [insert details if available] |
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| 31 | Does your firm have the scale, seniority and degree of expertise available at the right time to report in accordance with the client's schedule? | | [insert details if needed] |
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---
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## 6. Reporting Requirements
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> *If you answer yes, you will score 1 point, if you answer no you will score 0 points*
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| # | Question | Yes / No / Not applicable | Insert details |
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|---|----------|---------------------------|----------------|
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| 33 | Do we understand reporting rules, regulatory environment and stakeholder expectations? | - | [insert details if needed] |
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---
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## 7. Additional comments to support this decision
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| Comments |
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|----------|
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