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Financial Services

9 standards, regulations and schemes in this family. A financial services requirement. Each page explains what it is, who has to follow it, what to write down, and who checks it.

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What is in this family

A financial services requirement. Examiners ask for the written program, the person responsible for it, and evidence of the annual review. Typically assessed by: peer reviewers under the AICPA Peer Review Program; Examiners from the institution's functional regulator: OCC; National competent authorities for each entity type. Most asked about here: AICPA SQMS No.1, BSA/AML, DORA.

AICPA SQMS No.1Peer reviewers under the AICPA Peer Review Program (a qualified CPA firm and team captain approved by the…BSA/AMLExaminers from the institution's functional regulator: OCC, FDIC, Federal Reserve, and NCUA for depository…DORANational competent authorities for each entity type (for example BaFin, the CSSF, the Central Bank of…FFIECFederal and state bank and credit union examiners (OCC, FDIC, Federal Reserve, NCUA, state banking…FINRA 3110 WSPsFINRA Member Supervision examiners conduct cycle and cause examinations; SEC Division of Examinations…IRS WISP/Pub 4557No routine inspection or certification. The FTC enforces the Safeguards Rule; Form W-12 warns that false or…SEC 206(4)-7SEC Division of Examinations staff conduct examinations; state securities regulators examine state-registered…SOX ICFRManagement performs the 404(a) assessment. The 404(b) attestation must be issued by a public accounting firm…SWIFT CSPAn independent assessment by either an internal second or third line of defense function (risk, compliance…

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