FLIORE for SRO audits: client files that pass sampling
Updated: 2026-11
An SRO or SO audit draws samples and asks, per file, for identification, beneficial owners, risk rating, clarifications and evidence. FLIORE keeps these elements per mandate with a continuous audit trail, shows due reviews directly on the mandate and stores signed forms with version history in the encrypted document vault.
Before many audits the same search begins: where is the signed Form A, which version applied in the audited year, when was the file last reviewed and where is the reasoning for the risk rating? The answers are scattered across mail folders, spreadsheets and drives.
Audits rarely object to missing controls; they object to missing evidence. A control that was performed but not documented does not count.
How it works
- 01
Structure mandates and people
People, companies, trusts and foundations are recorded per mandate and linked, including roles and their history.
- 02
Assess beneficial owners by jurisdiction
Each person is assessed under the rules of their own jurisdiction; politically exposed persons and due reviews become visible per mandate.
- 03
Store evidence with versions
Signed forms and evidence sit with the mandate in the encrypted vault, with a visible status instead of scattered copies.
- 04
Run periodic reviews
Due reviews appear on the mandate instead of in a separate deadline list; every completion is recorded in the audit trail.
- 05
Answer samples
For a sampled file, identification, rating, clarifications and evidence can be presented in one place.
Why it fits here
FLIORE is built for running family offices, fiduciaries and asset managers, not just reporting, so KYC, documents and mandate structure live in the same system.
Database and documents are stored in Switzerland, with tenant isolation via row level security at database level, the foundation for files containing personal and wealth data.
FLIORE replaces neither the SRO’s regulation nor the compliance function’s judgement. It makes their work demonstrable.
FAQ
Does FLIORE create the institution’s risk assessment?
No. The institution-wide risk assessment remains the organisation’s document. FLIORE maps rating and clarifications per mandate.
Can I migrate existing files?
Yes. A CSV export from spreadsheets or other tools is enough; FLIORE maps the columns automatically.
Where is the data?
In Switzerland, in the Zurich area, with row level security and organisation-wide enforceable two-factor authentication.
FLIORE
FLIORE is built for running family offices, fiduciaries and asset managers, not just reporting, so KYC, documents and mandate structure live in the same system.
Database and documents are stored in Switzerland, with tenant isolation via row level security at database level, the foundation for files containing personal and wealth data.
FLIORE replaces neither the SRO’s regulation nor the compliance function’s judgement. It makes their work demonstrable.