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Similaire à Chapter 10 control self-assessment (20)
Chapter 10 control self-assessment
- 2. Declaration
Copyright © 2021 CapitaLogic Limited.
All rights reserved. No part of this presentation file may be
reproduced, in any form or by any means, without written
permission from CapitaLogic Limited.
Authored by Dr. LAM Yat-fai (林日辉),
Chief Data Scientist, CapitaLogic Limited,
Adjunct Professor of Finance, City University of Hong Kong,
Doctor of Business Administration,
CFA, CAIA, CAMS, CFE, FRM, PRM, MCSE, MCNE.
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- 3. Control self-assessment
A business unit assesses its operations and
activities against a list of control procedures
extracted from a procedural document
Internally driven and often incorporates
checklists and/or workshops to identify the
potential risks facing the business unit
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- 4. Self-assessment of control procedures
Compliance level
Control procedure Full Partial Not N/A
The dept. should do this *
The dept. should do that *
The dept. should not do this *
The dept. should not do that *
The dept. should … *
The dept. should not … *
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- 5. Supplementary information
Fully compliant
Why compliant?
Partially compliant
Which part not
complaint?
Which part complaint?
Why compliant?
Not compliant
Not applicable
Why?
Supporting document
Title
Version date
Author
Reviewer
Approval authority
Attachment
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- 6. For partially or not compliant
control procedures
Corrective action plan
Action items
Completion date
Justification of not to compliant
Cost out weights materially the benefit
Alternative control procedure in placed already
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- 7. CSA summary by subsidiary banks
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- 8. CSA summary by control procedures
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- 9. CSA summary by subsidiary banks
and control procedures
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