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- Regulatory Reporting
- Implementation
How a Regulatory Reporting rollout works
Set up a reporting entity, rehearse its control cycle and review a return.
Define the reporting entity
Enter the organization, business units, team members and their user identities. Agree on currency, time zone and branch codes.
Establish the control population
Record risks with the chosen scoring scale and controls with owners, effective dates and states.
Rehearse an assessment
Select a period, scope and planned tests; have a tester record samples, results and evidence.
Resolve an exception
Assign a corrective action for a finding and have a different reviewer record a retest.
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.
Check the receipt trail
Compare the package decision and operation receipts with the actual linked records before completion.
What the customer provides
Provide the reporting entity and branch names, the period to rehearse, risk scoring conventions, control owners, test evidence and the person who will make independent decisions. Identify where the amount and filing receipt originate. A practical pilot uses one assessment with a real control and a return package whose source can be checked end to end.
Changing it afterwards
When a scope or package changes, use the revision to distinguish the new work from a prior decision. Retain the earlier review reason. Review organization mapping and ownership when staff or branches change. For a new reporting period, copy the operating practice, then check the current controls, owners and authority details before preparing the next package. See roles and the data model for the ownership and reference structure.
Set up Regulatory Reporting your way.
Start free, then use Proto to change fields, steps and approvals before your team goes live.