A tool by Firecrawl · uses 7 tools · Finance

Audit planning risk scan for a listed client

Use when an audit senior or audit manager plans the year-end audit of a listed client and needs an outside-in view of where material misstatement risk sits. Reads risk factors and MD&A changes, unusual balance sheet moves, auditor and officer change filings, litigation and short reports, producing a planning memo of risk areas.

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Tools it calls

Each tool's price and track record across every agent today. Empty means the call worked and found nothing.

ToolPriceMedianSuccessEmpty

SEC EDGARSectionsPrice5 creditsMedian393 msSuccess97.6%Empty2.2%
Fiscal.aiBalance sheetPrice15 creditsMedian435 msSuccess100%Empty0%
Fiscal.aiCash flow statementPrice15 creditsMedian457 msSuccess100%Empty1.3%
SEC EDGARConceptPrice5 creditsMedian277 msSuccess99.4%Empty16.3%
SEC EDGARFilingsPrice5 creditsMedian322 msSuccess98%Empty1.2%
CourtListenerSearch docketsPrice5 creditsMedian2.9 sSuccess93.9%Empty34.1%
BenzingaNews searchPrice30 creditsMedian205 msSuccess100%Empty0.3%

Instructions

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# Audit planning risk scan for a listed client

For one listed client. This complements, and never replaces, the engagement team's own risk assessment.

## 1. What changed in the business

1. Read Items 1A and 7 of the latest 10-K and the latest 10-Q with @[SEC · Sections](alexandria:sec-gov/filings/sections) (ticker, items 1A and 7; then form 10-Q). Note new risk factors, new segments, acquisitions and changes in critical accounting estimates.

## 2. Where the numbers moved

2. Read eight quarters of the balance sheet and cash flow with @[Fiscal.ai · Balance sheet](alexandria:fiscal-ai/financials/balance-sheet) and @[Fiscal.ai · Cash flow statement](alexandria:fiscal-ai/financials/cash-flow-statement) (ticker and exchange, periodType quarterly). Flag receivables growing faster than revenue, inventory build, goodwill jumps and operating cash flow lagging net income.
3. Pull one tagged concept across filings where you need the as-filed history, for example receivables, with @[SEC · Concept](alexandria:sec-gov/filings/concept) (ticker, concept AccountsReceivableNetCurrent).

## 3. Governance signals

4. List 8-Ks for 18 months with @[SEC · Filings](alexandria:sec-gov/filings/filings) (forms 8-K) and keep items 4.01 (auditor change), 4.02 (non-reliance) and 5.02 (officer changes, especially the CFO or CAO).

## 4. Outside pressure

5. Search federal dockets naming the client with @[CourtListener · Search dockets](alexandria:courtlistener-com/dockets/search_dockets) (party_name, filed_after 18 months back) for securities, whistleblower or contract disputes that need disclosure.
6. Scan news for short reports or regulator inquiries with @[Benzinga · News search](alexandria:benzinga/news/search) (tickers, dateFrom 12 months back).

## Write the planning memo

- **Risk areas:** account or assertion, the evidence that raised it, and a suggested response.
- **Governance:** auditor, CFO or CAO changes and dates.
- **Litigation and inquiries:** open matters relevant to contingencies.
- **Sources:** cite every point to its filing, period or docket. Say what could not be checked.

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