AR
Things spotted that may need a fix

Findings

Every we've found is linked back to the test that caught it, the it relates to, the behind it, and the risk it puts on the firm. Change status or severity here — each edit is recorded in the .

Scope of coverage — Findings raised from in-scope monitoring tests and ingested regulatory items only. See what's in scope.

Open
8
High / critical
4
Spotted by AI
0
Closed
0

Findings

  • 8a23fc54
    Exceptions observed in Data Quality monitoring sample — control evidence incomplete in 3 of sampled files.
    Priority
    High priority· high severity · open · escalation flagged
    Severity
    Status
    Treatment
    Consequence
    L
    F
    R
    Domain
    FATCA_CRS
  • 5dca02e5
    Exceptions observed in Account Identification monitoring sample — control evidence incomplete in 4 of sampled files.
    Priority
    High priority· high severity · open · escalation flagged
    Severity
    Status
    Treatment
    Consequence
    L
    F
    R
    Domain
    FATCA_CRS
  • dfa93d38
    Exceptions observed in PEP Ongoing Monitoring monitoring sample — control evidence incomplete in 5 of sampled files.
    Priority
    High priority· high severity · open · escalation flagged
    Severity
    Status
    Treatment
    Consequence
    L
    F
    R
    Domain
    AML_PEP
  • e7ac39c8
    Exceptions observed in Beneficial Ownership monitoring sample — control evidence incomplete in 4 of sampled files.
    Priority
    High priority· high severity · open · escalation flagged
    Severity
    Status
    Treatment
    Consequence
    L
    F
    R
    Domain
    AML_CDD
  • c4a702d7
    Exceptions observed in Tipping-Off Controls monitoring sample — control evidence incomplete in 4 of sampled files.
    Priority
    Elevated· open · escalation flagged
    Severity
    Status
    Treatment
    Consequence
    L
    F
    R
    Domain
    AML_REPORTING
  • 6e4c4d00
    Exceptions observed in Regulatory Returns monitoring sample — control evidence incomplete in 2 of sampled files.
    Priority
    Elevated· open · escalation flagged
    Severity
    Status
    Treatment
    Consequence
    L
    F
    R
    Domain
    PRUDENTIAL
  • d6b0ad26
    Exceptions observed in Business Risk Assessment monitoring sample — control evidence incomplete in 5 of sampled files.
    Priority
    Elevated· open · escalation flagged
    Severity
    Status
    Treatment
    Consequence
    L
    F
    R
    Domain
    AML_CFT
  • a187615f
    Exceptions observed in Reliance on Third Parties monitoring sample — control evidence incomplete in 2 of sampled files.
    Priority
    Elevated· open · escalation flagged
    Severity
    Status
    Treatment
    Consequence
    L
    F
    R
    Domain
    AML_CDD