Upcoming Internal Audits and Evaluations over the next three fiscal years

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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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