Baker Tilly International Go/No Go Check List

Audit

Not scored

#	Question	Details
8	What sort of audit opportunity is it?	[insert details]
9	How many locations involved in this opportunity?	[insert details]
10	List any locations included in this opportunity where we do not have a Baker Tilly firm.	[optional]
11	Where is the client HQ?	[insert details]
12	Who is the competition?	[insert details]

If you answer yes, you will score 1 point, if you answer no you will score 0 points

#	Question	Answer Options	Details
14	What is the client's business and industry?	—	[insert details]
15	There have been no significant changes in the client's business operations or structure recently?	Yes / No	[if no insert details]
16	Does the sector and/or client come with a reputation which we are comfortable that Baker Tilly is associated with?	Yes / No	—
17	Are there any previous audit reports or findings that need to be considered?	Yes / No	[if yes insert details]

If you answer yes, you will score 1 point, if you answer no you will score 0 points

#	Question	Answer Options	Details
19	Has the client provided financial statements or balance sheet?	Yes / No	[insert details if needed]
20	Are the client's financial statements complete and accurate?	Yes / No	[if yes insert details]

If you answer yes, you will score 1 point, if you answer no you will score 0 points

#	Question	Answer Options	Details
22	Does the client comply with all relevant regulatory requirements and standards?	Yes / No	[if no insert details]
23	The client has no pending legal or regulatory issues that you know of that could impact the audit?	Yes / No	[if no insert details]
24	The client has been subject to no regulatory investigations or penalties?	Yes / No	[if no insert details]

If you answer yes, you will score 1 point, if you answer no you will score 0 points

#	Question	Answer Options	Details
26	There are no key risks associated with the audit?	Yes / No	[if no insert details]
27	Have you completed a conflict check?	Yes / No	[insert details]
28	Are you and other BTI member firms independent withi the meaning of local and IESBA rules?	Yes / No	[if no insert details]

If you answer yes, you will score 1 point, if you answer no you will score 0 points

#	Question	Answer Options	Details
30	What resources are required for the audit (personnel, time, budget)?	—	[insert details if available]
31	Does your firm have the scale, seniority and degree of expertise available at the riht time to report in accordance with the client's schedule?	Yes / No	[insert details if needed]

If you answer yes, you will score 1 point, if you answer no you will score 0 points

#	Question	Answer Options	Details
33	Do we understand reporting rules, regulatory environment and stakeholder expectations?	Yes / No	[insert details if needed]

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