AR
Designed · operating · tested

Controls

Every links to obligations, risks, and tests. Re-assess design and operating effectiveness inline — each change stamps last_assessed_at and lands in the . The CRA tile shows how many compliance domains are currently outside — the signal that should drive control testing priority.

Controls registered
190
Operating effectively
153
Awaiting assessment
0
Domains outside appetite (CRA)
6

Controls

  • SEED-CTL-0001
    Customer Identification & Verification: Onboarding CDD checklist completed
    preventive · 16 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    preventive
    Obligations
    16
  • SEED-CTL-0002
    Customer Identification & Verification: Independent QA review of CDD files
    detective · 16 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    16
  • SEED-CTL-0003
    Customer Identification & Verification: Periodic CDD refresh tracked to deadline
    detective · 16 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    16
  • SEED-CTL-0004
    Beneficial Ownership: Onboarding CDD checklist completed
    preventive · 16 obligations
    Priority
    Workload · Elevated
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    preventive
    Obligations
    16
  • SEED-CTL-0005
    Beneficial Ownership: Independent QA review of CDD files
    detective · 16 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    16
  • SEED-CTL-0006
    Beneficial Ownership: Periodic CDD refresh tracked to deadline
    detective · 16 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    16
  • SEED-CTL-0007
    Source of Funds & Wealth: Onboarding CDD checklist completed
    preventive · 16 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    preventive
    Obligations
    16
  • SEED-CTL-0008
    Source of Funds & Wealth: Independent QA review of CDD files
    detective · 16 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    16
  • SEED-CTL-0009
    Source of Funds & Wealth: Periodic CDD refresh tracked to deadline
    detective · 16 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    16
  • SEED-CTL-0010
    Enhanced Due Diligence: Onboarding CDD checklist completed
    preventive · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    preventive
    Obligations
    15
  • SEED-CTL-0011
    Enhanced Due Diligence: Independent QA review of CDD files
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0012
    Enhanced Due Diligence: Periodic CDD refresh tracked to deadline
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0013
    Ongoing Monitoring: Onboarding CDD checklist completed
    preventive · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    preventive
    Obligations
    15
  • SEED-CTL-0014
    Ongoing Monitoring: Independent QA review of CDD files
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0015
    Ongoing Monitoring: Periodic CDD refresh tracked to deadline
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0016
    Periodic Review: Onboarding CDD checklist completed
    preventive · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    preventive
    Obligations
    15
  • SEED-CTL-0017
    Periodic Review: Independent QA review of CDD files
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0018
    Periodic Review: Periodic CDD refresh tracked to deadline
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0019
    Reliance on Third Parties: Onboarding CDD checklist completed
    preventive · 15 obligations
    Priority
    Workload · Elevated
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    preventive
    Obligations
    15
  • SEED-CTL-0020
    Reliance on Third Parties: Independent QA review of CDD files
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0021
    Reliance on Third Parties: Periodic CDD refresh tracked to deadline
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0022
    Trust & Foundation Structures: Onboarding CDD checklist completed
    preventive · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    preventive
    Obligations
    15
  • SEED-CTL-0023
    Trust & Foundation Structures: Independent QA review of CDD files
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0024
    Trust & Foundation Structures: Periodic CDD refresh tracked to deadline
    detective · 15 obligations
    Priority
    Workload · Low
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    detective
    Obligations
    15
  • SEED-CTL-0025
    Business Risk Assessment: Board-approved AML/CFT framework in force
    preventive · 15 obligations
    Priority
    Workload · Elevated
    Owner
    Design / Operating
    /
    Last assessed
    4/29/2026
    Type
    preventive
    Obligations
    15