New Zealand Law Society - Audit Assistant - FAQs

Audit Assistant - FAQs

What is Audit Assistant?

Audit Assistant is a cloud-based auditing tool that the Law Society’s Inspectorate will use to conduct trust account reviews. This tool is also used by Chartered Accountants, AML consultants and other entities performing regulatory audits and reviews.

Is the system secure?

Yes. The Law Society’s IT team have conducted a security review to ensure the portal is secure. Additionally, the databases are located in Australasia and meet the Australian and New Zealand governments’ expecations. For more information please click here.

Who has access to my information?

Information obtained for a trust account review is collected for a regulatory purpose and only accessible to members of the Law Society who have a regulatory purpose to review it. It is secured in a restricted area that only members of the Inspectorate may access. Information is only shared outside of the Inspectorate if elements of regulation 33 of the Lawyers and Conveyancer Act (Trust Account) Regualtions 2008 are met.

Why are we introducing Audit Assistant?

The Inspectorate was established as part of the Financial Assurance Scheme. Its role is to detect and discourage the improper handling of client funds and assets entrusted to law firms. The Inspectorate operates a risk-based approach to reviews and the new tool will assist in detection and enforcement by increasing the number of reviews that can be conducted. This is because it will streamline the receipt of documents and information required for a review.

What if something goes wrong?

At the top of the form is the email address of the sender whom you may contact for assistance. Alternatively there are links under each button that direct you to the Audit Assistant knowledge base for help on each topic.

Will we be required to have a login?

No. The link will take you to an online form. A new link is generated with each new review. You will be prompted to confirm the identity of the person completing the form. If you are directed to a connected page and return to the main form, you will be asked to confirm your name again. Once you have marked the form as completed the link will no longer be accessible. If you wish to make changes please contact the Inspector allocated to the review.

Do I have to complete the form all at one time?

No. You may save and exit the form and return at another time by using the same link in the original email.

How do I upload the requested information?

An “Attachment” button will show as an option. You can then choose the file you need to upload. You may change the name of the document, so it makes sense to the Inspector. If you are struggling there is a “See support article on attachments” option which will open a new webpage and take you to a tutorial on how to upload documents which can also be found here.

What if I run a manual trust account, how do I upload information?

You may scan the requested documentation and upload it the same way as someone uploading Microsoft Excel or other information.

Can I continue to provide information by email or other methods?

Generally no. However, if you are having difficulties the Inspector can talk you through the process and at that time other options may be discussed.

Who do I contact if I have difficulty or questions?

You will have been contacted by a member of the Inspectorate before receiving a link and should have their contact information. You should contact them directly with your questions and they will be happy to help.

The sender’s contact email will show at the top of the form along with the instructions on how to complete the form. Alternatively, if they cannot be reached you can email