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External Confirmation Audit

External Confirmation Audit Template for Germany

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Key Requirements PROMPT example:

External Confirmation Audit

"I need an External Confirmation Audit document for our German subsidiary's bank account balances and credit facilities, to be sent to Deutsche Bank as part of our March 2025 fiscal year-end audit, with specific focus on foreign currency transactions and outstanding guarantees."

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Document background
The External Confirmation Audit document is a crucial tool in German statutory audits, designed to obtain independent verification of information from third parties about an audit client's business relationships, balances, and transactions. This document type is specifically structured to comply with German audit regulations, including the Handelsgesetzbuch (HGB) and IDW Prüfungsstandards, while incorporating EU audit requirements and GDPR considerations. External Confirmation Audits are typically used during annual statutory audits, special purpose audits, or when specific verification of material accounts or transactions is required. The document includes formal authorization from the client, specific information requests, and standardized response formats to ensure consistent and reliable third-party confirmations.
Suggested Sections

1. Header Information: Auditor's letterhead, date, reference numbers, and document identification

2. Addressee Details: Full details of the third party being asked to provide confirmation

3. Introduction: Identification of the audit client, purpose of the confirmation request, and audit reference period

4. Authority Statement: Reference to the client's authorization to request information (including attached authorization letter)

5. Confirmation Request Details: Specific information being requested for confirmation, presented in a clear, structured format

6. Response Instructions: Clear guidelines on how to complete and return the confirmation, including deadline

7. Data Protection Notice: GDPR-compliant statement about data handling and privacy protection

8. Contact Information: Auditor's contact details for queries or clarifications

9. Signature Block: Professional signature with relevant credentials and firm information

Optional Sections

1. Balance Reconciliation Section: Include when requesting confirmation of complex account balances or transactions requiring detailed reconciliation

2. Legal Proceedings Declaration: Optional section requesting information about any ongoing legal proceedings, when relevant to the audit

3. Contingent Liabilities Section: When confirmation of contingent liabilities or off-balance-sheet items is required

4. Multiple Currency Section: When dealing with accounts or transactions in multiple currencies

5. Special Instructions: For complex confirmations requiring specific procedures or explanations

Suggested Schedules

1. Authorization Letter: Client's formal authorization for the auditor to request information

2. Account Statement: Detailed statement of accounts or transactions requiring confirmation

3. Reply Form: Structured form for the respondent to complete and return

4. Return Envelope: Pre-addressed envelope for returning the confirmation

5. Transaction List: Detailed list of specific transactions requiring confirmation, if applicable

6. Data Privacy Statement: Detailed GDPR-compliant privacy notice and data handling procedures

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

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alex.den.21@genieai.co
Relevant legal definitions
Audit Client
Auditor
Confirmation Date
Confirmation Provider
Cut-off Date
External Confirmation
Material Information
Professional Standards
Reporting Period
Response Deadline
Scope of Confirmation
Statement Date
Third Party
Verification Request
Authorized Representative
Confirmation Instructions
Data Protection Laws
IDW Standards
Professional Secrecy
Relevant Information
Supporting Documentation
Wirtschaftsprüfer
Audit Engagement
Confirmation Letter
Direct Communication
Relevant Industries

Banking & Financial Services

Manufacturing

Retail

Professional Services

Technology

Healthcare

Real Estate

Construction

Energy

Transportation & Logistics

Insurance

Telecommunications

Public Sector

Non-Profit Organizations

Relevant Teams

Audit

Finance

Accounting

Legal

Compliance

Treasury

Risk Management

Internal Control

Data Protection

Corporate Governance

Relevant Roles

Audit Partner

Senior Auditor

Audit Manager

Compliance Officer

Financial Controller

Chief Financial Officer

Accounting Manager

External Auditor

Internal Audit Director

Risk Manager

Legal Counsel

Data Protection Officer

Treasury Manager

Accounts Receivable Manager

Accounts Payable Manager

Industries
Handelsgesetzbuch (HGB) §§ 316-324: German Commercial Code sections governing statutory audits, including requirements for external confirmations and auditor independence
Wirtschaftsprüferordnung (WPO): German Public Accountant Act regulating the profession of public accountants and auditors, including their professional obligations and responsibilities
IDW Prüfungsstandard 302: German Auditing Standard specifically dealing with external confirmations, their requirements, and procedures
EU Regulation No 537/2014: European Union regulation on specific requirements regarding statutory audit of public-interest entities
Datenschutz-Grundverordnung (DSGVO): German implementation of GDPR, governing the handling of personal data in audit procedures and external confirmations
IDW Prüfungsstandard 200: German Auditing Standard on general principles and responsibilities for audits of financial statements
Berufsatzung für Wirtschaftsprüfer/vereidigte Buchprüfer (BS WP/vBP): Professional Charter for Public Accountants defining professional ethics and conduct requirements
Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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