Audit & Internal Controls Management

Common risk and control libraries and guidance

Guidance, regulations, and controls for industry specific audits and internal controls management

Galvanize's control libraries and guidance help you determine the adequacy of your current controls and fill gaps in these 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.

Included in the Content For Audit & Internal Controls Management

Browse by toolkit

A toolkit is a curated set of tools aimed at addressing one area of risk or compliance.

For example, a toolkit might include a set of data analytics, a risk control framework, and a best practices program.

Banking Audit

Guidance and controls for bank audit teams, including:

  • Safety and Soundness - Allowances to Loans and Lease Losses
  • Safety and Soundness - Capital and Dividends
  • Safety and Soundness - Commercial Loans
  • Safety and Soundness - Corporate and Risk Governance
  • Safety and Soundness - Insider Activities
  • Safety and Soundness - Interest Rate Risk
  • Safety and Soundness - Liquidity
  • Safety and Soundness - Review of Income and Expense
  • FDIC Trust Examination Manual
  • Availability of Funds and Collection of Checks - 12 CFR 229 (FRB Regulation CC)
  • Bank Holding Company Act (BHCA) - 12 CFR 225 (FRB Regulation Y)
  • Bank Secrecy Act/Anti-Money Laundering (FFIEC 2014)
  • BCFP Reg DD - Truth in Savings (12 CFR 1030)
  • BCFP Reg F - Fair Debt Collection Practices Act (12 CFR 1006)
  • BCFP Reg G - S.A.F.E. Mortgage Licensing Act - Federal Registration of Residential Mortgage Loan Originators (12 CFR 1007)
  • BCFP Reg H - S.A.F.E. Mortgage Licensing Act - State Compliance and Bureau Registration System (12 CFR 1008)
  • BCFP Reg M - Consumer Leasing (12 CFR 1013)
  • CANSPAM Act Examination Procedures (FDIC 2014)
  • CFPB Electronic Funds Transfer Act (EFTA) 2013
  • CFPB Unfair, Deceptive, or Abusive Acts or Practices 2012
  • Community Reinvestment Act and Interstate Deposit Production Regulations (12 CFR 25)
  • Community Reinvestment Act (CRA) - 12 CFR 228 (FRB Regulation BB)
  • Debit Card Interchange Fees and Routing - 12 CFR 235 (FRB Regulation II)
  • Debt Collection (CFPB 2012)
  • Debt Collection Practices (15 U.S.C. 1692)
  • Electronic Funds Transfer Act (EFTA) - 12 CFR 1005 (FRB Regulation E)
  • Electronic Signatures in Global and National Commerce (15 USC Ch. 96)
  • Equal Credit Opportunity Act - 12 CFR 1002 (CFPB Regulation B)
  • E-SIGN Act Examination Procedures (FDIC 2014)
  • Fair Credit Reporting Act (CFPB Regulation V)
  • Fair Housing Act (42 U.S.C. 45)
  • Flood Disaster Protection Act (OCC 2017)
  • FRS Reg H - Membership of State Banking Institutions in the Federal Reserve System (12 CFR 208)
  • GLBA Privacy Examination Procedures (CFPB 2016)
  • Gramm-Leach-Bliley Act (CFPB Regulation P)
  • Home Mortgage Disclosure Act (HMDA) - 12 CFR 1003 (CFPB Regulation C)
  • Homeowners Protection Act (12 U.S.C 49)
  • Homeowners Protection Act (FDIC 2015)
  • Interagency Fair Lending (FFIEC 2009)
  • Interagency Truth in Lending Act (CFPB 2018)
  • Interagency Truth in Savings Act (CFPB 2012)
  • Loans to Executive Officers, Directors, and Principal Shareholders of Member Banks (12 CFR 215)
  • Military Lending Act (CFPB 2016)
  • Military Lending Act - Limitations on Terms of Consumer Credit Extended to Service Members and Dependents (32 CFR 232)
  • Minimum Security Devices and Procedures, Reports of Suspicious Activities, and Bank Secrecy Act Compliance Program (12 CFR 21)
  • Mortgage Origination (CFPB 2015)
  • Privacy of Consumer Financial Information (12 CFR 1016)
  • Prohibition on Funding of Unlawful Internet Gambling (12 CFR 233)
  • Real Estate Settlement Procedures Act (RESPA) - 12 CFR 1024 (CFPB Regulation X)
  • Reserve Requirements of Depository Institutions - 12 CFR 204 (FRB Regulation D)
  • Restrictions on use of telephone equipment (47 USC 277)
  • S.A.F.E Act (CFPB 2012)
  • Servicemember Civil Relief Act (50 USC Ch. 50)
  • TCPA Examination Procedures (FDIC 2016)
  • Truth in Lending Act (TILA) - 12 CFR 1026 (CFPB Regulation Z)
  • UIGEA Examination Procedures (FDIC 2010)
  • FFIEC Bank Secrecy Act/Anti-Money Laundering 2014
  • FDIC Equal Credit Opportunity Act Examination Checklist (2015)
  • FDIC Gramm-Leach-Bliley (GLBA) Examination Checklist (2016)
  • FDIC Home Mortgage Disclosure Examination Checklist (2015)
  • FDIC Servicemember Civil Relief Act (SCRA) 2016
  • FinCEN (31 CFR 1010) - General Provisions
  • FinCEN (31 CFR 1020) - Rules for Banks

Financial Services Audit

Guidance and controls for financial services audit teams, including:

  • FinCEN (31 CFR 1010) - General Provisions
  • FinCEN (31 CFR 1021) - Rules for Casinos and Card Clubs
  • FinCEN (31 CFR 1022) - Rules for Money Services Businesses
  • FinCEN (31 CFR 1023) - Rules for Brokers or Dealers in Securities
  • FinCEN (31 CFR 1024) - Rules for Mutual Funds
  • FinCEN (31 CFR 1025) - Rules for Insurance Companies (31 CFR 1025)
  • FinCEN (31 CFR 1026) - Rules for Futures Commission Merchants and Introducing Brokers in Commodities
  • FinCEN (31 CFR 1027) - Rules for Dealers in Precious Metals, Precious Stones, or Jewels
  • FinCEN (31 CFR 1028) - Rules for Operators of Credit Card Systems
  • FinCEN (31 CFR 1029) - Rules for Loan or Finance Companies
  • FinCEN (31 CFR 1030) - Rules for Housing Government Sponsored Enterprises
  • FinCEN (31 CFR 1060) - Provisions Relating to the Comprehensive Iran Sanctions, Accountability, and Divestment Act of 2010
  • Bank Secrecy Act/Anti-Money Laundering (FFIEC 2014)
  • BCFP Reg F - Fair Debt Collection Practices Act (12 CFR 1006)
  • BCFP Reg G - S.A.F.E. Mortgage Licensing Act - Federal Registration of Residential Mortgage Loan Originators (12 CFR 1007)
  • BCFP Reg H - S.A.F.E. Mortgage Licensing Act - State Compliance and Bureau Registration System (12 CFR 1008)
  • BCFP Reg M - Consumer Leasing (12 CFR 1013)
  • CFPB Electronic Funds Transfer Act (EFTA) 2013
  • CFPB Unfair, Deceptive, or Abusive Acts or Practices 2012
  • Debt Collection (CFPB 2012)
  • Debt Collection Practices (15 U.S.C. 1692)
  • Equal Credit Opportunity Act - 12 CFR 1002 (CFPB Regulation B)
  • Fair Credit Reporting Act (CFPB Regulation V)
  • GLBA Privacy Examination Procedures (CFPB 2016)
  • Gramm-Leach-Bliley Act (CFPB Regulation P)
  • Interagency Truth in Lending Act (CFPB 2018)
  • Military Lending Act (CFPB 2016)
  • Military Lending Act - Limitations on Terms of Consumer Credit Extended to Service Members and Dependents (32 CFR 232)
  • Truth in Lending Act (TILA) - 12 CFR 1026 (CFPB Regulation Z)
  • Fair Housing Act (42 U.S.C. 45)
  • Flood Disaster Protection Act (OCC 2017)
  • CANSPAM Act Examination Procedures (FDIC 20Electronic Signatures in Global and National Commerce (15 USC Ch. 96)14)
  • E-SIGN Act Examination Procedures (FDIC 2014)
  • Homeowners Protection Act (12 U.S.C 49)
  • Homeowners Protection Act (FDIC 2015)
  • Mortgage Origination (CFPB 2015)
  • Restrictions on use of telephone equipment (47 USC 277)
  • Servicemember Civil Relief Act (50 USC Ch. 50)
  • TCPA Examination Procedures (FDIC 2016)
  • UIGEA Examination Procedures (FDIC 2010)
  • FDIC Home Mortgage Disclosure Examination Checklist (2015)
  • FDIC Servicemember Civil Relief Act (SCRA) 2016

Federal Government Audit

Guidance and controls for federal government audit teams, including:

  • AGA® Subrecipient Risk Assessment Monitoring Tool 2009
  • GAGAS 2011
  • GAGAS Agreed Upon Procedures (GAO 2011)
  • GAGAS Financial Audit (GAO 2011)
  • GAGAS Performance Audit (GAO 2011)

State & Local Government Audit

Guidance and controls for state and local government audit teams, including:

  • AGA® Subrecipient Risk Assessment Monitoring Tool 2009
  • GAGAS 2011
  • GAGAS Agreed Upon Procedures (GAO 2011)
  • GAGAS Financial Audit (GAO 2011)
  • GAGAS Performance Audit (GAO 2011)

Federal Government Internal Controls

Guidance and controls for federal government internal controls, including:

  • AGA® Subrecipient Risk Assessment Monitoring Tool 2009
  • GAGAS 2011
  • GAGAS Agreed Upon Procedures (GAO 2011)
  • GAGAS Financial Audit (GAO 2011)
  • GAGAS Performance Audit (GAO 2011)

Audit Starter Toolkit

Guidance and controls for audit teams, including:

  • COBIT® 5 Framework (Limited Content)
  • COSO® Internal Control Framework 2013
  • IIA® International Standards 2017
  • ISACA® ITAF™ (3rd Edition)
  • SOX Audit COSO 2013 Control Framework
  • SOX Audit COSO 2013 Control Framework

Internal Controls Starter Toolkit

Guidance and controls for internal controls, including:

  • SOX Audit COSO 2013 Control Framework
  • SOX IT General Controls Review Framework
  • COBIT® 5 Framework (Limited Content)
  • COSO® Internal Control Framework 2013

Not what you were looking for? Explore more content suites

Security & IT Compliance

  • IT Risk and Compliance
  • Data Privacy Compliance
  • ISO 2700X Toolkit

Regulatory Compliance

  • Banking Compliance
  • Financial Services Compliance
  • Federal Government Compliance

Robotics

  • Resources
  • Pre-built Data Integration Robots
  • Pre-built Analysis Robots

Rsam Integrated Content

  • Rsam Regulatory Guidance

Risk Management

  • Banking Risk Management
  • Enterprise Risk Libraries