Fulfil auditor evidence requests without losing provenance
Assign each test request to the system owner, capture extraction date and approval, and reconcile revised samples before release. Auditors receive traceable evidence while control owners can explain exceptions.
A reviewed requirement changes, an operating event occurs or an applicable obligation becomes due.
People in the process
- IInternal AuditProcess Owner
- FFinanceParticipating Team
- TTechnologyParticipating Team
- BBusiness OperationsParticipating Team
Records it works with
Applicable requirement and reviewed interpretation- Entity, location, product or transaction details
- Current permissions, evidence and prior submissions
The process is a starting point.The standards are yours.
Configure for the bank or lender’s category, permissions and applicable RBI directions. Outsourcing, customer conduct, recovery and reporting controls use the institution’s approved interpretation and delegated authority.
Industries
Industries