ST0535DOJDOJ

ST0535

Internal Audit – What is the process for determining where and how frequently internal audit will undertake an audit, and what is the rationale behind that process? How are audits carried out? What types of audits would have identified issues relevant to the misconduct? Did those audits occur and…

Assess my company

Plain-language summary

What it actually means.

to be determined

Plain-language summary forthcoming. Source text below.

Source text

As written.

Internal Audit – What is the process for determining where and how frequently internal audit will undertake an audit, and what is the rationale behind that process? How are audits carried out? What types of audits would have identified issues relevant to the misconduct? Did those audits occur and what were the findings?

Assessed by HEXDI

What HEXDI assesses.

  • M11

    1 — AUDITS AND ASSESSMENTS

    Program requires both internal and external audits to confirm whether procedures are performed as written and to determine effectiveness of…

  • M11

    2 — AUDITS AND ASSESSMENTS

    Program requires unit/functional level audits.

  • M11

    3 — AUDITS AND ASSESSMENTS

    Program requires program level audits.

  • M11

    4 — AUDITS AND ASSESSMENTS

    Program requires regular ongoing feedback, testing, and/or quality control assessments of processes on a regular basis outside of the audit…

  • M11

    1 — AUDITS AND ASSESSMENTS

    The scope and frequency of audits are determined based on the company’s ongoing risk analysis and identification.

  • M11

    3 — AUDITS AND ASSESSMENTS

    Program requires audits on at least an annual basis.

Related

Other DOJ standards.

Source & revisions

First mapped
Jun 8, 2022
Last updated
May 26, 2026 (14m ago)
Source
Evaluation of Corporate Compliance Programs