AuditsCompliance-in-a-Box: The Startup Guide to Audit-Ready DocsSVSid Varma · 12 min readFor finance teams who own the policies behind the controls: expenses, purchasing, delegation of authority and the code for financial officers. Each one approved, sent to the people it covers, and on record by person and by version.
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acknowledged version 3.1
Controls run on policies. Each one reaches the people who spend, approve or sign.
What is reimbursed and how it is evidenced, for everyone who spends.
Who can approve what, and up to how much, for every manager who signs.
How suppliers are chosen, quoted and approved, for the people who buy.
The standard for the people who prepare and sign the accounts.
What is kept and for how long, in step with each country’s rules.
How to report a concern about the accounts, where every employee can find it.
Wherever you operate, auditors, tax authorities and boards ask the same question: is the rule written, approved and known to the people it governs.
COSO Internal Control, Principles 1 and 12
Standards of conduct set the tone, and control activities are put in place through policies that say what is expected, and procedures that put them into action.
17 CFR 229.406
Public companies disclose whether they have a code of ethics for their principal executive, financial and accounting officers.
26 CFR 1.62-2
Reimbursements stay out of wages when the plan requires a business connection, substantiation within a reasonable period and the return of excess amounts.
Wherever you have an entity
Each country sets its own rules for expenses, records and approvals. Each gets its own supplement beside the group policy.
Your region’s laws, the standards your customers ask for, and your own house rules. Write each one as a policy, approve it, and send it to the people it covers.
Built for controllers and finance leads who show control to auditors, boards and tax authorities.
Everyone who spends or approves has acknowledged the current version.
Managers get delegation of authority, buyers get purchasing, everyone who travels gets expenses.
Each approval is logged with the person and the date, ready for the auditor.
Employees and other viewers are unlimited and free. You pay for the people who write.
A revised policy is approved, then everyone it covers is asked again, automatically.
Filter the record by date, person or policy and export a PDF or CSV.
Tag people by role and entity. Each policy reaches only the people it covers, and new managers get theirs on day one.
Show the auditor who has acknowledged which version, with the time and the statement they agreed to.
Finance writes the policy. Leadership approves it, and everyone who spends follows it.
Add the chief financial officer as the first approval step. The policy waits for them.
Bring HR in as approvers on expenses, travel and anything that touches pay.
Add directors as approvers on the delegation of authority and the code for financial officers.
Finance edits finance’s policies. HR, IT and Safety edit theirs, side by side in one place.
Give an auditor a one-time code to open the policy they are testing.
Invite your outside accountant or adviser as an external user to draft and review.
Auditors, boards and tax authorities ask the same thing in different words: the current rule, who approved it and who knows it.
Export the record as a PDF or CSV, or let an auditor open the document directly.
Need help writing the policies? Find a consultant for your standard.
No. They read, acknowledge and sign as viewers, free of charge.
Both are available. Choose for each policy when you send it. e-sign is an add-on on the Scale plan.
The new version is approved, then sent to everyone it applies to, who are asked again.
Yes. Add them as a one-time viewer and they open that document with a one-time code.
Only when a policy changes or expires. If nothing changed at review, the date moves and no one is asked again.
Yes. Each department edits its own policies, and tags decide who reads them.
Their completed acknowledgments stay on record.
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