AuditNet® Bank Audit





The following resources are available for auditing banks and financial institutions. (Subscribers must login and access these through the Bank Audit Resource Center link from the Subscribers page.)

AUDIT PROGRAMS, ICQ, CHECKLISTS

 

  1. ACH ICQ
    Authentication in an Electronic Banking Environment Electronic
  2. Bank Branch Audit
    Bank Items Processing Audit Program
  3. Bank Insurance Audit Program
  4. Banking - FX Revaluation Audit Program
  5. Bank Risk Assessment Questionnaire
  6. Banking Work Program
  7. Conducting an eBanking Audit
  8. Credit Card Administration Audit Program
  9. Credit Card Security Audit Program
    Deposit Accounts ICQ
    Electronic Banking White Paper
  10. Electronic Banking Questionnaire
  11. Electronic Banking Work Program
    EFT Wire Transfer Audit Program
    EFT Questionnaire
    E-Banking Examination Procedures
    Insider Lending ICQ
  12. Interest Rate Swaps
    Information Technology General Work Program
    Loan Review - Authorization and Reporting
  13. Loan Review - Compliance
  14. Loan Review - Data Integrity
  15. Loan Review - General Audit Requirements
  16. Loan Review - Other Real Estate Owned
  17. Loan Review - Physical Safeguards
  18. Loan Review - Reconciliation
  19. Risk Management Principles for Electronic Banking
  20. Useful Guidelines - Guidance on Electronic Banking
  21. Safety deposit boxes Questionnaire
    Wire Room ICQ


 More Bank Audit Programs

 

  1. Actuarial Reserves
  2. Bank Investments
  3. Bank Operations
  4. Bank Secrecy Act and Anti-money Laundering
  5. Bond Operations
  6. Business Impact Analysis
  7. Business Impact Analysis Disaster Recovery Plan
  8. Commercial Lending
  9. Credit Card
  10. Credit Card Loan
  11. Deferred Acquisition Costs
  12. Deposit Operations
  13. Derivative Risk Management
  14. Fixed Assets
  15. Human Resources Payroll
  16. Indirect Loads
  17. Life Insurance
  18. Privacy Review
  19. Telecommunications Security

 

AUDIT GUIDES AND MANUALS

 

  1. Internal Audit Manual for Small Banks
  2. BSA Manual from the FRB
  3. FDIC Electronic Banking Examination Procedures
  4. FDIC DOS Manual of Exam Policies
  5. FDIC Information Systems Examination Handbook
  6. FDIC Resources for Bankers
  7. FFIEC IS Examination Handbook
  8. I.R.S. Guide for Auditing Commercial Banks
  9. Trust Examination Manual

 

AUDIT WORK PROGRAMS FROM THE F.F.I.E.C.

 

Information Systems Examination Handbook (the following programs are from the F.F.I.E.C. Information Technology Examinations Handbook Audit and are subject to availability from their website)

- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations


Business Continuity Planning

- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations
- Non-regulatory Resources

 

Development and Acquisition
- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations


E-Banking

- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- E-Banking Request Letter Items - Generic word-processing version
- E-Banking Request Letter Items - Microsoft Word 2000 version
- Presentations


FedLine

- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations


Information Security

- Printable version of booklet
- Low resolution version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations


Management

- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations


Operations

- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations


Outsourcing Technology Services

- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations


Retail Payment Systems

- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations
- Non-regulatory Resources


Supervision of Technology Service Providers

- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations


Wholesale Payment Systems
- Printable version of booklet
- On-line version of booklet
- work program - Generic word-processing version
- work program - Microsoft Word 2000 version
- Presentations

Internal/External Audit work program 
Management work program 
Corporate Contingency Planning work program
MIS Review work program 
Systems Development and Programming work program
Operations work program
Security – Physical and Data work program
Networking – Client/Server work program 
End-User Computing work program 
Document Imaging work program 
Wholesale EFT work program
FedLine EFT work program
Retail EFT (ATM and POS) work program
Automated Clearing House (ACH) work program 
IS Servicing – Provider work program
IS Servicing – Receiver work program 
Community Financial Institution IS Examination work program

 



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