Regulator Inspection Findings: How to avoid common pitfalls in audit files

In-house course

1 Day
Attendance at this seminar will secure 6.5 hour/s verifiable CPD points including other professional bodies (SAICA, SAIBA, SAIT, SAIPA , ACCA, IACSA & IRBA).
LYNETTE BADENHORST   lynette@probetatraining.co.za

Purpose of the Course:

The purpose of this course is to provide delegates with a clear and practical understanding of the typical findings raised by regulators during inspections.


During this course we will:

  • Go through each section of the audit file.
  • Explain the common mistakes auditors make.
  • Demonstrate the correct way of performing the required procedures.
  • Highlight what regulators specifically expect to see on an audit file.
  • Q&A and Case Discussions

By analyzing real inspection findings, delegates will learn how to spot potential weaknesses, improve audit quality, and prepare audit files that meet regulator expectations.

  • Audit engagement team members.
  • File reviewers.
  • Engagement managers and senior auditors.
  • Anyone responsible for reviewing and signing off audit files.