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A. All upcoming Internal Audits over the next three fiscal years| 1. Name of Internal Audit |
2. Internal Audit Type |
3. Status |
4. Expected Completion Date |
|---|
| Supervision Sector: Deposit-Taking Group – Non-Conglomerates |
Risk Assessment & Intervention |
In Progress |
Q1 2014/15 |
| Regulation Sector: Actuarial Division |
Risk Assessment & Intervention |
In Progress |
Q1 2014/15 |
| Regulation Sector: Private Pension Plans Division |
Risk Assessment and Intervention (Supervision) |
2014-2015 Planned |
Q4 2014/15 |
| Corporate Services Sector: Regulatory (formerly FRFI) Data Management |
Information Security |
2014-2015 Planned |
Q4 2014/15 |
| Supervision Sector: Supervision Support Group – Credit Risk Division |
Supervisory Support |
2014-2015 Planned
Moved up from 2015-16 |
Q4 2014/15 |
| Office of the Chief Actuary – IT Models and Data Management |
Information Management |
2014-2015 Planned |
Q4 2014/15 |
| Supervision Sector: Supervision Support Group – Operational Risk Division |
Supervisory Support |
2015-2016 Planned |
Q4 2015/16 |
| Supervision Sector: Supervision Support Group – Practices |
Supervisory Support |
2015-2016 Planned |
Q4 2015/16 |
| Supervision Sector: Property & Casualty Group Mortgage Insurance |
Risk Assessment & Intervention |
2015-2016 Planned |
Q4 2015/16 |
| Supervision Sector: Life-Insurance Group – Non-Conglomerates |
Risk Assessment & Intervention |
Deferred from 2014-15 -
2015-2016 Planned |
Q4 2015/16 |
| Regulation Sector: Approvals and Precedents |
Precedents |
2015-2016 Planned |
Q4 2015/16 |
| Corporate Services Sector: Regulatory (formerly FRFI) Data Management |
Information Management |
Deferred from 2014-15 -
2015-2016 Planned |
Q4 2015/16 |
| Supervision Sector: Deposit-Taking Group Conglomerates |
Risk Assessment & Intervention |
2016-2017 Planned |
Q4 2016/17 |
| Supervision Sector: Supervision Support Group – Corporate Governance |
Supervisory Support |
Deferred from 2015-16 -
2016-2017 Planned |
Q4 2016/17 |
| Regulation Sector: Legislation and Policy Initiatives |
Rule-Making |
2016-2017 Planned |
Q4 2016/17 |
| Corporate Services Sector: Information Management / Information Technology |
Information Management |
2016-2017 Planned |
Q4 2016/17 |
| Corporate Services Sector: Corporate Planning and Risk Management |
Corporate Planning and Risk Management |
2016-2017 Planned |
Q4 2016/17 |
Audits identified as “planned” may be subject to change due to shifting of priorities based on the annual evaluation of risk elements. The Audit Committee approves OSFI’s Annual Audit Plan two years ahead. The most recent Audit Plan and Audit Reports are available on OSFI’s website: (http://www.osfi-bsif.gc.ca/Eng/osfi-bsif/rep-rap/iar-rvi/Pages/default.aspx).
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