Reuse evidence~14 h / month
One monthly reserve report, three regulators
C-RES-11 already produces an accountant-examined reserve report. The same pack satisfies the NYDFS monthly attestation and the California DFAL disclosure.
Opportunities
Ways to do less compliance work without covering less. Nothing changes until a named person accepts.
Duplicated controls
14
Reuse evidence
12
Automate manual tests
9
Retire obsolete controls
5
Get ahead of incoming rules
6
6 recommendations awaiting review · 0 accepted · illustrative category totals
Consolidate~9 h / month
Three KYC refresh controls test the same data
C-AML-07, C-AML-12 and C-SEC-31 read the same identity provider. Merge them into one control with three obligation links.
Automate~22 h / month
Quarterly access review is still screenshots
Connect the identity provider and the ledger database so the review runs weekly with signed evidence.
Retire~6 h / month
Controls for rules that no longer bite
Two controls still test a safeguarding rule that was rescinded. Retire them with a sealed record of why.
Get ahead~8 h / month
Comment on the Treasury GENIUS rule, and pre-draft the controls
The proposed rule introduces new reserve and operational obligations. Prepare mappings for owner review before the deadline.
Get ahead~5 h / month
1099-DA: cost basis starts with 2026 trades
Store purchase cost alongside trade events so reporting can be assembled from signed source records.