Cybervergent
Audit Preparation

Prepare for a regulatory examination

Track the regulation in Regulatory Intel, run it as a compliance initiative with named accountability, pre-test it internally, and assemble the examination pack.

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Prepare for a regulatory examination

Overview

Get ready for a supervisor or regulator review across compliance, evidence, and audit assurance.

Step-by-step

  1. 1 In 'Governance' then 'Regulatory Intel', add the regulator and source so changes feed your program.
  2. 2 Run the regulation as a compliance initiative with an accountable owner and a business sponsor.
  3. 3 Confirm controls are answered, evidence is provided, and gaps are remediated or carry approved exceptions.
  4. 4 Run an internal audit engagement over the examinable controls to find issues before the examiner does.
  5. 5 Generate the Working Paper and Final Report as the examination pack.
  6. 6 Brief leadership using 'Report' then 'Executive Overview' so the board understands the position going in.
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