Control and regulatory compliance
Regulatory compliance is a second line activity. It is good practice for internal audit to provide assurance over the activities of second line functions. However, in some organisations internal audit may be required to provide compliance assurance in relation to first line activities.
Regulation is a vast, wide-ranging topic.
The guidance and resources on this page should be considered as a start point to your learning journey.
IPPF links | Guidance | Additional resources | Relevant position papers
Data Protection | A-Z
Main IPPF links
Core Principles3. Is objective and free from undue influence (independent). |
|
| 2050 Coordination and reliance | Implementation guidance |
| 2130 Control | Implementation guidance |
Guidance
Control
| Chartered IIA | ||
| Control | ||
| IIA Global | ||
| Auditing the control environment |
Data protection including GDPR
| Chartered IIA | ||
| Data protection | Key changes in the new GDPR | GDPR as BAU: processes in place? |
| Data breach incidents and response plans | ||
| IIA Global | ||
| Tips for auditing data privacy | ||
| Data ethics | ||
A-Z
Additional resources
Codes of practice | financial services, private and third sector
Need help to find what you are looking for? ask the resources team
Chartered IIA Position Papers
Internal audit and corrupt practices
