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Regulatory Reporting · Available now

Carry control evidence into a reviewed regulatory return.

Regulatory Reporting organizes a reporting entity’s control assessments and return packages around a defined period. A Control Owner records scope, the business unit and the controls under review.

Start now Download Proto
  • No per-user fees
  • Manual work is free
  • Configure it in Proto
OverviewAssessments in review
Regulatory Reporting · Assessments

Assessments in review

Assessments in one list

New assessment
Assessments in view
6
Review
3
Approved
3
Record numberSubjectStatusPeriod startPeriod endOwner
ASS-73714Q3 payment controls assessmentReview12 Oct21 OctNadine Okoro
ASS-673412026 customer disclosure reviewApproved29 Oct07 NovTessa Morgan
ASS-26864Vendor oversight annual reviewReview19 Oct26 OctMariam El-Sayed
ASS-79671Quarterly access control testingApproved29 Oct04 NovBilal Hussain
ASS-718852026 incident response assessmentReview13 Oct15 OctKenji Watanabe
6 of 6 records
Q3 payment controls assessmentAssessments · ASS-73714
Review
Period start12 Oct
Period end21 Oct
OwnerNadine Okoro
Revision450
Review assessmentASS-73714 · Q3 payment controls assessment

Independent Assurance Reviewer decides on the assessment revision.

Waiting for Independent Assurance Reviewer
ApproveReturn
Example screen with sample data
Tables, ready to use
15
Saved views
12
Roles with set permissions
6
Reports and dashboards
8
Features

See the reporting cycle

Every feature works on the same records. Pick one to see the screen your team works in.

Assessment Planning

Set the reporting period, business-unit scope and test plan before work begins.

  • Entity and branch
  • Period and scope
  • Plan and revision
  • Assessments
  • Organizations
  • Business units
  • Risks
  • Controls
  • Review decisions
Explore assessment planning
OverviewMy assessments
Regulatory Reporting · Assessment Planning

My assessments

Assessments

New
Record numberSubjectStatusPeriod startPeriod endOwner
ASS-54186Q3 payment controls assessmentDraft30 Oct08 NovKenji Watanabe
ASS-549312026 customer disclosure reviewPlanned31 Oct09 NovDarius Cole
ASS-62834Vendor oversight annual reviewTesting04 Nov08 NovAdrian Solis
ASS-72403Quarterly access control testingReview02 Nov05 NovEli Navarro
ASS-389442026 incident response assessmentApproved24 Oct29 OctBilal Hussain
6 of 6 records
Q3 payment controls assessmentAssessments · ASS-54186
Draft
Period start30 Oct
Period end08 Nov
OwnerKenji Watanabe
Example screen with sample data
Process

From control test to return

Assessment to reviewed return ships ready to use. 2 steps need a named approval before the work moves on: Review assessment (Independent Assurance Reviewer) and Review return (Independent Assurance Reviewer).

Drag a card to another stage, or focus it and use the arrow keys. It updates to match the stage.

  1. Define scope

    Set the entity, period and controls in scope.

    Q3 payment controls assessmentASS-73714 · Control Owner
    Define scopeBy Control Owner

  2. Test controls

    Record samples, exceptions, results and evidence.

    Q3 payment controls assessmentASS-73714 · Control Tester
    Test controlsBy Control Tester

  3. Review assessment

    A separate reviewer decides on the tested revision.

    Q3 payment controls assessmentASS-73714 · Independent Assurance Reviewer
    Review assessmentBy Independent Assurance Reviewer
    ApprovalIndependent Assurance Reviewer decides on the assessment revision.

  4. Resolve findings

    Assign corrective work and document a retest.

    Q3 payment controls assessmentASS-73714
    Resolve findings

  5. Review return

    An independent reviewer decides on the submitted package.

    Q3 payment controls assessmentASS-73714 · Independent Assurance Reviewer
    Review returnBy Independent Assurance Reviewer
    ApprovalIndependent Assurance Reviewer decides on the submitted return.

  6. Verify completion

    Check receipts and linked effects before closing the cycle.

    Q3 payment controls assessmentASS-73714 · Reporting Analyst
    Verify completionBy Reporting Analyst

Start with Scope and Testing

Inside a record

Connect the sources you use

Open any assessment to see its assessment tests, the roles that work on it, its process stages and its approvals on one page.

  1. 1
    Record details

    Period start, Period end, Owner and Revision.

  2. 2
    Assessment tests

    Each line is linked to this assessment.

  3. 3
    Who works on it

    Admin, Control Owner and Control Tester, each with their own permissions.

  4. 4
    Process stages

    Define scope and Confirm test plan, with the role that acts.

  5. 5
    Approvals

    Review assessment and Review return, with who decides.

Assessments in reviewQ3 payment controls assessment
Regulatory Reporting · Assessments

Q3 payment controls assessment

Review

Log activity
1
Record details
Period start12 Oct
Period end21 Oct
OwnerNadine Okoro
Revision450
2
Assessment tests

Q3 payment controls assessment

ParentControlTested at
Vendor oversight annual reviewDisclosure template approval15 Oct
Data retention control reviewQuarterly access certification19 Oct
Q3 payment controls assessmentIncident notification escalation12 Oct
Assessment tests
6
Total sample size
3,230
3

Who works on it

  • AdminManage Organizations, business units, team members, Users
  • Control OwnerManage Risks, Controls, Assessments, regulatory returns
  • Control TesterManage assessment tests, record attachments, Findings
4

Process stages

  • Define scopeControl Owner
  • Confirm test planIndependent Assurance Reviewer
5

Approvals

  • Review assessmentIndependent Assurance Reviewer
    Approved
  • Review returnIndependent Assurance Reviewer
    Waiting
Example screen with sample data
Approvals

Keep decisions with the evidence

The Reporting Analyst prepares the return, the Control Owner submits it, and an Independent Assurance Reviewer decides.

OverviewApprovals
Regulatory Reporting · Overview

Approvals

Signed in as Independent Assurance Reviewer

Waiting for you

4 To review1 Overdue2 Decided todayOnly mine
0 selectedApproveReturn
  • RR-70213State banking department
    Q3 payment controls assessmentRequested by Admin
    Submitted1dActions
  • RR-24985Payments oversight board
    Regulatory return readiness reviewRequested by Admin
    Submitted3dActions
  • RR-67929Financial conduct office
    2026 customer disclosure reviewRequested by Admin
    Submitted3dActions
  • RR-97572Consumer finance authority
    Q4 client file samplingRequested by Admin
    Submitted3dActions

Who approves what

DecisionApprover
Review assessmentA separate reviewer decides on the tested revision.Independent Assurance Reviewer
Review returnAn independent reviewer decides on the submitted package.Independent Assurance Reviewer
2 approval rules · set per role in Proto
Example screen with sample data
Who can approve what
Roles

A workspace for each role

Everyone opens Regulatory Reporting to the work that is theirs. Pick a role to see what it starts with.

Admin

Owns organization setup and access to the reporting workspace.

  • Manage Organizations, business units, team members, Users
  • View Assessments, regulatory returns, operation receipts

Roles and permissions

Reports

Answer from linked records

Answer reporting questions from assessments, tests, findings and returns.

Overview
Regulatory Reporting · Overview

Regulatory Reporting dashboard

This quarter

Regulatory returns in view
6
Total reported amount USD
2,870
Submitted
6
Period end within 14 days
2

Assessments by status

How far records got this quarter

StageReachedStep
Draft34
Planned1647%
Testing1063%
Review550%

Revision by status

Sample totals per stage

10.0k0
3.0kDraft
7.0kPlanned
9.0kTesting
10.0kReview
6.0kApproved
Example screen with sample data
  1. 01Assessment lifecycle by period

    Group assessment status by reporting period and organization.

  2. 02Control test outcomes

    Compare pass, fail and inconclusive results with sample size and exception count.

  3. 03Findings by severity and state

    Show open and closed findings by severity and assessment.

  4. 04Corrective actions due

    List assigned actions by due date, owner and status.

  5. 05Retest outcomes by finding

    Trace each finding to its independent retest result and evidence.

  6. 06Return decision register

    List returns by authority, period, revision, decision date and status.

  7. 07Assessment review history

    Trace decisions and reviewers to the parent assessment revision.

  8. 08Operation exceptions

    List failed or needs-review receipts with operation keys and failure reasons.

All reports and dashboards

Who it's for

Fit your reporting team

See how Regulatory Reporting fits your kind of team.

Multi-branch Entities

Keep branch-level risk and assessment scope tied to one reporting organization.

Assurance Teams

Review assessment revisions, test evidence and findings with clear ownership.

Central Reporting Teams

Prepare reviewed return packages across reporting entities and periods.

Controls

Review every exception

Each stage of assessment to reviewed return names the role that acts and the status it records, so a change is never anonymous.

OverviewAssessment to reviewed return
Regulatory Reporting · Process

Assessment to reviewed return

Each stage, the role that acts and the status it records

Process stages
10
Approval steps
2
Roles involved
4
Tables touched
12
Define scope
Control Owner
StatusDraft → Planned
RecordsBusiness units, Organizations, Assessments
Test controls
Control Tester
StatusPlanned → Testing
RecordsAssessment tests, Assessments, Controls
Review assessmentApproval
Independent Assurance Reviewer
StatusTesting → Review
RecordsAssessments
Assessment to reviewed return
  1. Start
    Define scopeDraft → Planned
    Business units
  2. Step
    Test controlsPlanned → Testing
    Assessment tests
  3. Approval
    Review assessmentTesting → Review
    Assessments
  4. Step
    Assign corrective workOpen → action planned
    Corrective actions
  5. Step
    Retest the findingRetest → Closed
    Findings
Example screen with sample data

See each stage in detail

AI agent

Bring the case to the reviewer

Use Proto to prepare records and surface decisions for the responsible people.

It can

  • Control Owner: Summarize an assessment's period, scope, linked controls and outstanding findings before the reviewer handoff.
  • Control Tester: List pending tests and the sample details needed for each result.
  • Remediation Owner: Show assigned corrective actions, due dates and the findings they address.
  • Independent Assurance Reviewer: Bring together tests, attachments, findings and the current assessment revision for a decision.

Stays with a person

  • A person decides whether evidence supports an approval, whether a retest passes and whether a return is ready.
  • The assistant can assemble the linked records and point out inconsistencies, but the named reviewer records the decision and reason.
  • Ask it to show the source record behind a conclusion, especially when a receipt needs reconciliation.

Set up an agent

Integrations

Connects to the tools you use

Set up connections through ERP.AI and Proto workflows, with every change logged.

  • Regulatory Reporting
  • Source calculation
  • Filing destination
  • Evidence storage
  • Identity source
Data model

Your data, in tables you can change

Every record lives in a table you can see, extend and export. Add fields or whole tables in Proto.

Browse all 15 tables
15tables
  • Assessment Planning6
  • Risk and Controls6
  • Control Testing5
  • Findings and Remediation6
  • Regulatory Returns6
  • Review and Evidence5
Implementation

Roll out one team at a time

Start with one team and one process, then add the rest once the basics are running.

  1. Define the reporting entity

    Enter the organization, business units, team members and their user identities. Agree on currency, time zone and branch codes.

  2. Establish the control population

    Record risks with the chosen scoring scale and controls with owners, effective dates and states.

  3. Rehearse an assessment

    Select a period, scope and planned tests; have a tester record samples, results and evidence.

  4. Resolve an exception

    Assign a corrective action for a finding and have a different reviewer record a retest.

  5. Review a return

    Have the Reporting Analyst prepare a package for the same entity and period, the Control Owner submit it and the Independent Assurance Reviewer record the decision.

Read the implementation plan

Pricing

$0per user

The base account and everyday work in the ERP.AI app are free, for every user.

  • No per-user or per-seat fees
  • Viewing, editing, approving and exporting records in the app is free
  • Pay only for machine work: API calls, imports, workflows and AI agents
  • Prepaid credits from $5. Purchased credits never expire

Pricing details

Machine work rate card Included per $1 of credit

Machine work rate card
UsagePer $1
Record reads (list, filter, get)20,000
Search or aggregate queries4,000
Record writes4,000
Imported or synced records200,000
Workflow runs2,000
AI agent runs2,000
Scheduled jobs or webhooks20,000
File uploads (MB)2,000
CSV or PDF exports100
FAQ

Questions, answered

Scope, rollout and pricing for Regulatory Reporting.

All questions
How do I get started?

Click Get started, then use Proto to configure Regulatory Reporting for your business. Start with one organization, one business unit, a reporting period and a control assessment. Rehearse a test, independent decision and return package before expanding the scope.

What does an assessment cover?

An assessment records the organization, business unit, period, scope statement, owner and planned tests. Its linked tests and decisions describe the work completed for that scope.

How is a control test documented?

The tester links a test to an assessment and control, then records the tested date, sample size, exception count, result and evidence reference. Supporting files can be attached to the assessment.

How are failed tests handled?

A failed test can become a finding with severity, description and links to the same assessment and control. A named owner receives a corrective action, and an independent reviewer records a retest.

Who decides whether an assessment is approved?

The Independent Assurance Reviewer records a decision and reason against the assessment revision. The team can identify the version that was reviewed if the scope later changes.

What belongs in a regulatory return?

A return links to an organization and parent assessment. It carries authority, period end, reported amount in US dollars, submission receipt, revision, decision date and status.

Can a rejected return be corrected?

Yes. The reporting team can correct the package, and the Control Owner can submit its new revision for another independent decision. Keep the earlier decision and its reason understandable.

Where are evidence files kept?

Record attachments belong to an assessment. Each has a title, evidence type, uploader, upload date and internal or shared visibility.

How do we investigate a failed operation?

Use the operation receipt's key, expected revision, result state, failure reason and effect references. Compare them with the records actually present before deciding the next action.

How can we see work awaiting review?

Operations Overview shows pending decisions, findings and failed operations. The working views also include Assessments in review, Actions submitted for verification and Returns awaiting decision.

Set up Regulatory Reporting your way.

Start free, then use Proto to change fields, steps and approvals before your team goes live.

Start now Download Proto

How to get started

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