This checklist will help to review a bank’s internal control by checking various process and practice controls are in place and working. It has below sections and total 350 questions covering sections below.
Sample -Checklist for Reviewing Internal Controls in Banks
- Policy & supervision review
- Authority & accountability
- Internal Audit
- Segregation of duties
- Required Absences
- Internal controls
- Security Assessment – penetration testing & vulnerability analysis
- Skills requirements
- Agreements
- Scope Questions
- Data collection security
- Encryption methodologies
- Design criteria of Cryptographic Systems
- Change control over the Cryptographic System
- Review of firewalls
- Configurations
- Monitor, Audit & Incident Response
- Training
- Controls testing
- Independent Third-Party service providers
- Storage
- Management reporting system
- Destruction
- Assessment of Telecommunication Security Environment
- Recovery tools and Processes
- Due Diligence
- Contracts
- Ongoing Relationship Management
- Operations management
- Technology Architecture
- Irregularities and Illegal Acts, Investigation
Product ID : KTCP243
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