Account audit: what gets checked and reported?

What is an audit?

An audit is a documented review of an account with the stored status “published”, over a stated period and against the active checklist; for this service that stored status defines audit scope and must not be confused with current public visibility or current method readiness. Here, “independent” means the assigned auditor is not the account manager and cannot audit their own account; the label does not establish that the auditor is an external firm or that the report is a statutory audit or regulatory approval. The audits page lists the active checklist and published reports with their period and validity date; open a report to see the auditor and findings.

How an audit differs from Sanjesh and current readiness

An audit concerns evidence from a past period; Sanjesh is the separate authorization path for one account and one proprietary method. An audit result—including “passed”—does not create or renew GAMM, CAMM, DAMM or SAMM authorization, prove that a method connection is currently online, or replace the account’s current state in the account catalogue. For a new join or request, check the account’s current public visibility and the readiness of that exact path on the account page. A historical report can remain valid for its own period even if the account or one of its methods is not currently offered.

What is checked?

The current list is shown on the audits page and is the authoritative scope for review. The checklist can be updated; a published report retains the items and findings for that audit. The default items cover:

A result is limited to the evidence, period and checklist items recorded in the report. Do not treat it as confirmation of every trade, a licence or a guarantee of future results.

How should I read the result?

• Passed: every active checklist item was confirmed without discrepancy.
• Passed with notes: no material discrepancy was reported, but findings remain to be read.
• Failed: at least one checklist item failed.
• Inconclusive: there was not enough evidence to reach a conclusion.

Every result—including failed or inconclusive—is published with its findings; the requester agrees to this in advance. A published report is not edited. If false evidence is discovered, it is publicly revoked with a reason. Check the validity date too: an expired report does not describe the account’s current state.

The fee pays for review work; it does not determine the result, rank or placement. An audit is not investment advice or a promise of profit, and applies only to the period reviewed.

For account managers

1. Request an audit for one of your own accounts shown as eligible in My audits.
2. Read the checklist and audit terms, and add a note to the request if relevant.
3. Pay the fee shown in the form and consent to publication of any result.
4. Once an auditor is assigned, clarify the review period. If requested, provide evidence such as a complete broker statement or read-only access through an agreed channel; the auditor records the period in the report.
5. After the review, the report and findings are published on the public audits page and linked to the account record. Check whether that account or any method is currently available for a new join separately on its TAM account page; publication of a historical report does not by itself prove a current offer.