Test whether the documented framework works before the regulator, bank, auditor or incident exposes a gap.
Why this workstream matters
Sample customer files, sanctions decisions, KYT alerts, unusual-activity escalations, access records, reconciliations, management reports and change controls. Findings should be tracked to evidence-based closure.
Principal deliverables
- Assurance and sampling plan
- Mock interviews and system walk-through
- Findings and remediation register
- Closure-evidence review
- Role-based training
- Knowledge checks and management reporting
How it connects to the application
Outputs must be consistent with the ownership structure, product and information flows, providers, business plan, staffing assumptions, policies and system behaviour. Any inconsistency should be resolved before filing or implementation.
Client inputs and dependencies
We confirm required founders, group records, product documentation, vendor information, system access, markets, transaction assumptions and responsible client personnel during scoping. The proposal separates adviser work, client responsibilities and third-party costs.