4 docs tagged with "audit prep"

Planning and preparing for a compliance audit, including timelines, scoping, stakeholder identification, gap analysis, and audit firm selection

How to define the system scope for a compliance audit, including services, systems, Trust Services Categories, and subservice organizations

A gap analysis compares your organization's current controls and processes against the regulations and standards you are targeting, and identifies where the shortcomings are you examine the current implementation, identify areas of concern, and produce a corrective action plan that is reviewed, agreed upon, and approved so remediation has clear guidance.

Identifying the people in your organization responsible for control design, evidence collection, policies, and the system description during an audit