Finance / Banking / Insurance: Complete Audit Plan (all 7 tabs)
Guide, Risk Assessment, Annual Plan, Audit Programs (112 procedures), Assumptions, Monthly Summary and Special Compliance. 46 audits planned by month with hours and cost budget.
What you get
- Guide
- Risk Assessment
- Annual Plan
- Audit Programs
- Assumptions
- Monthly Summary
- Special Compliance
Sample from the file
The first procedures, as they appear in the file.
| Ref | Audit procedure | Evidence to obtain | Sample |
|---|---|---|---|
| D01-01 | Test credit approvals on a sample of loans: complete application, analysis, risk rating, approval within authority and committee minutes. | Credit files, committee minutes | 30 items |
| D01-02 | Verify borrowers' financial statements, income proof and repayment capacity against external sources (credit bureau, salary transfer). | Credit bureau reports, income proof | 25 items |
| D01-03 | Review exceptions to the credit policy and overrides: reasons, approvers and repeated exceptions by officer or branch. | Exception report | 100% of population |
Compare with the Complete Audit Plan
| This file | Complete Audit Plan | |
|---|---|---|
| Price | $99 | $99 |
| Guide | ✓ | ✓ |
| Risk Assessment | ✓ | ✓ |
| Annual Plan | ✓ | ✓ |
| Audit Programs | ✓ | ✓ |
| Assumptions | ✓ | ✓ |
| Monthly Summary | ✓ | ✓ |
| Special Compliance | ✓ | ✓ |
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