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Cash Deposit Services - Risk Control Matrix (August 2017)

Name

Cash Deposit Services - Risk Control Matrix (August 2017)

Description

Retail banking risk control matrix with the following columns:

  • Ownership and Management
  •  Process 
  • Organization
  • Risk Assessment
  • Control Definition
  • Control Assessment
  • Financial Statement Assertions
  • Functions
  • Unit Department
  • Ownership
  • Client Segment and/or Functional Segment
  • Product Class
  • Product Name
  • Activity
  • Process
  • Process Stage
  • Organization
  • Risk Type
  • Risk Description
  • Likelihood
  • Impact
  • Classification
  • Risk Assessment
  • Control Objective
  • Control Ref
  • Control Definition
  • Control Description
  • Key Control
  • Zero Tolerance
  • Control Definition
  • Operating Level (Entity / Activity)
  • Operational Approach (Automated / Manual)
  • Operational Frequency
  • Control Effect (Preventive / Detective / Corrective)
  • Control Definition
  • Internal Control Over Financial Reporting?
  • Occurrence
  • Completeness
  • Accuracy
  • Authorization
  • Cutoff
  • Classification and Understandability
  • Existence
  • Rights and Obligations
  • Valuation and Allocation
  • Financials

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Standard (Non-IT) Audit Program

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Language

English