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expand_moreAudit & Internal Controls
Common risk and control libraries and guidance
Guidance, regulations, and controls for industry specific audits and internal controls management
Diligent's control libraries and guidance help you determine the adequacy of your current controls and fill gaps with the most effective controls
to implement in your organization to better illuminate risks. Implement controls testing faster in your organization with common industry frameworks.
Audit & Internal Controls Management content includes:
Banking / Financial Services
REGULATIONS
Office of the Comptroller of Currency (OCC)
- Title 12 Chapter I (Parts 1 to 34) - Comptroller of the Currency (2022)
- Title 12 Chapter I (Parts 35 to 199) - Comptroller of the Currency (2022)
Federal Reserve System (FRS)
- Title 12 Chapter II Subchapter A (Parts 200 to 223) - Federal Reserve System (2022)
- Title 12 Chapter II Subchapter A (Parts 224 to 249) - Federal Reserve System (2022)
- Title 12 Chapter II Subchapter A (Parts 250 to 269) - Federal Reserve System (2022)
- Title 12 Chapter II Subchapter B (Parts 270 to 281) - Federal Reserve System (2022)
- Title 12 Chapter II Subchapter C (Parts 290 to 299) - Federal Reserve System (2022)
Federal Deposit Insurance Corporation (FDIC)
- Title 12 Chapter III Subchapter A (Parts 300 to 313) - Federal Deposit Insurance Corporation (2022)
- Title 12 Chapter III Subchapter B (Parts 323 to 340) - Federal Deposit Insurance Corporation (2022)
- Title 12 Chapter III Subchapter B (Parts 341 to 390) - Federal Deposit Insurance Corporation (2022)
National Credit Union Administration (NCUA)
- Title 12 Chapter VII - National Credit Union Administration (2022)
Consumer Financial Protection Bureau (CFPB)
- Title 12 Chapter X - Bureau of Consumer Financial Protection (2022)
Federal Financial Institutions Examination Council (FFIEC)
- Title 12 Chapter XI - Federal Financial Institutions Examination Council (2022)
- FFIEC BSA/AML Examination Procedures (2021) Compliance Map - Parts 1 to 26
- FFIEC BSA/AML Examination Procedures (2021) Compliance Map - Parts 27 to 56
- FFIEC BSA/AML Examination Procedures (2021) Framework
Financial Crimes Enforcement Network (FINCEN)
- Title 31 Chapter X – Financial Crimes Enforcement Network (2022)
Other regulations
- Title 31 Chapter X - Financial Crimes Enforcement Network (2022)
- Title 32 Part 232 - Limitations on Terms of Consumer Credit Extended to Service Members and Dependents (2022)
GUIDANCE AND EXAMINATIONS
- Debt Collection Examiner Procedures (CFPB 2012) Framework
- E-SIGN Act Examiner Procedures (FDIC 2014) Framework
- GLBA Privacy Examiner Procedures (CFPB 2016) Framework
- Interagency Fair Lending Examiner Procedures (FFIEC 2009) Framework
- Interagency FDPA Examiner Procedures (FFIEC 2019) Framework
- Interagency TILA Examiner Procedures (FFIEC 2018) Framework
- MLA Examiner Procedures (CFPB 2016) Framework
- TCPA Examiner Procedures (FDIC 2016) Framework
Safety and Soundness
- Safety and Soundness – Allowances to Loans and Lease Losses (OCC 1998) Framework
- Safety and Soundness – Capital and Dividends (OCC 2018) Framework
- Safety and Soundness – Commercial Loans (OCC 1998) Framework
- Safety and Soundness – Corporate and Risk Governance (OCC 2016) Framework
- Safety and Soundness – Insider Activities (OCC 2013) Framework
General
- COBIT® 5 Compliance Map (2012)
- COSO® Internal Control Framework (2013)
- International Standards for the Professional Practice of Internal Auditing (IPPF) (IIA® 2017)
- ITAF™: A Professional Practices Framework for IS Audit/Assurance, 3rd Edition (ISACA 2015)
- SOX Audit and IT General Controls Frameworks
- SOX Storyboard Toolkit
Government
- AGA® Subrecipient Risk Assessment Monitoring Tool 2009 Framework
- Generally Accepted Government Auditing Standards (GAGAS) 2018
- OMB Circular A-123 (2014)
Higher Education
- AGA® Subrecipient Risk Assessment Monitoring Tool 2009 Framework
- Generally Accepted Government Auditing Standards (GAGAS) 2018
- OMB Circular A-123 (2014)
security
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