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- Regulatory Reporting
- Data Model
The tables behind Regulatory Reporting
Regulatory Reporting ships with 15 tables, grouped here by the feature that uses them. Every record your team works with lives in one of them, and you can add fields and tables in Proto.
- Tables
- 15
- Features
- 6, plus shared settings
- Change it
- Add fields and tables in Proto
How the model is organised
Organization and ownership
Organizations, business units, team members and Users establish reporting entities, units and people.
Risk and assessment
Risks and Controls define the control population; Assessments define the period and scope.
Testing and resolution
Assessment tests record results; Findings, corrective actions and Retests carry issues through independent verification.
Package and evidence
Regulatory returns hold packages, while review decisions, record attachments and operation receipts preserve decisions and supporting context.
Every table, by feature
- Assessment Planning6
- Risk and Controls6
- Control Testing5
- Findings and Remediation6
- Regulatory Returns6
- Review and Evidence5
- Shared and settings1
- Assessments
Control assessment engagements with period, scope and lifecycle.
Linked to Organizations, Team members, Business units - Organizations
Reporting entities and their reporting configuration.
- Business units
Business units and branches within an organization.
Linked to Organizations - Risks
Risk register entries with likelihood and impact on a named scale.
Linked to Business units, Team members - Controls
Controls mitigating a risk, with owner and effective date.
Linked to Risks, Team members - Review decisions
Independent review decisions recorded against an assessment revision.
Linked to Assessments, Team members
- Business units
Business units and branches within an organization.
Linked to Organizations - Risks
Risk register entries with likelihood and impact on a named scale.
Linked to Business units, Team members - Controls
Controls mitigating a risk, with owner and effective date.
Linked to Risks, Team members - Team members
Named staff with role scope and platform identity.
Linked to Organizations, Users - Assessments
Control assessment engagements with period, scope and lifecycle.
Linked to Organizations, Team members, Business units - Assessment tests
Individual control tests with sample size, exceptions and result.
Linked to Assessments, Controls
- Assessment tests
Individual control tests with sample size, exceptions and result.
Linked to Assessments, Controls - Assessments
Control assessment engagements with period, scope and lifecycle.
Linked to Organizations, Team members, Business units - Controls
Controls mitigating a risk, with owner and effective date.
Linked to Risks, Team members - Findings
Control testing findings with severity and remediation status.
Linked to Assessments, Controls - Record attachments
Evidence files attached to an assessment.
Linked to Assessments, Team members
- Findings
Control testing findings with severity and remediation status.
Linked to Assessments, Controls - Corrective actions
Remediation actions assigned against a finding.
Linked to Team members, Findings - Retests
Independent retests that verify remediation of a finding.
Linked to Team members, Findings - Assessment tests
Individual control tests with sample size, exceptions and result.
Linked to Assessments, Controls - Assessments
Control assessment engagements with period, scope and lifecycle.
Linked to Organizations, Team members, Business units - Controls
Controls mitigating a risk, with owner and effective date.
Linked to Risks, Team members
- Regulatory returns
Regulatory return packages prepared for review and approval.
Linked to Assessments, Organizations - Assessments
Control assessment engagements with period, scope and lifecycle.
Linked to Organizations, Team members, Business units - Organizations
Reporting entities and their reporting configuration.
- Review decisions
Independent review decisions recorded against an assessment revision.
Linked to Assessments, Team members - Findings
Control testing findings with severity and remediation status.
Linked to Assessments, Controls - Operation receipts
Durable receipts for guarded operations with stable operation keys.
Linked to Assessments
- Review decisions
Independent review decisions recorded against an assessment revision.
Linked to Assessments, Team members - Record attachments
Evidence files attached to an assessment.
Linked to Assessments, Team members - Operation receipts
Durable receipts for guarded operations with stable operation keys.
Linked to Assessments - Assessments
Control assessment engagements with period, scope and lifecycle.
Linked to Organizations, Team members, Business units - Regulatory returns
Regulatory return packages prepared for review and approval.
Linked to Assessments, Organizations
Keys and references
Assessments is the central parent for assessment tests, review decisions, record attachments, operation receipts and regulatory returns. Findings refer to Assessments and Controls. Corrective actions and Retests refer to Findings. Risks belong to business units, Controls belong to Risks, and team members supply the owner and reviewer references. A return also refers directly to Organizations, which lets the team compare its reporting entity with the assessment’s entity.
Migration order
- Identity. Load Organizations, business units, Users and team members.
- Control population. Load Risks and Controls with their owners and business-unit references.
- Assessment work. Create Assessments, then assessment tests and record attachments.
- Issues and decisions. Load Findings, corrective actions, Retests and review decisions.
- Reporting and operations. Create regulatory returns and retain operation receipts for guarded actions.
Set up Regulatory Reporting your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.