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What is in this family
A financial services requirement. Examiners ask for the written program, the person responsible for it, and evidence of the annual review. Typically assessed by: peer reviewers under the AICPA Peer Review Program; Examiners from the institution's functional regulator: OCC; National competent authorities for each entity type. Most asked about here: AICPA SQMS No.1, BSA/AML, DORA.
AICPA SQMS No.1Peer reviewers under the AICPA Peer Review Program (a qualified CPA fiBSA/AMLExaminers from the institution's functional regulator: OCC, FDIC, FedeDORANational competent authorities for each entity type (for example BaFinFFIECFederal and state bank and credit union examiners (OCC, FDIC, Federal FINRA 3110 WSPsFINRA Member Supervision examiners conduct cycle and cause examinationIRS WISP/Pub 4557No routine inspection or certification. The FTC enforces the SafeguardSEC 206(4)-7SEC Division of Examinations staff conduct examinations; state securitSOX ICFRManagement performs the 404(a) assessment. The 404(b) attestation mustSWIFT CSPAn independent assessment by either an internal second or third line o
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