QULDEXSolutions · By industry
Compliance audit software for banking and financial services
Which frameworks apply to banks and financial firms?
Financial firms usually answer to a home regulator, a payments standard and one or more international standards. Each card opens its guide.
For banks and other entities regulated by the Reserve Bank of India.
Read the guide →IndiaSEBI CSCRFFor entities regulated by India's securities market regulator.
Read the guide →Saudi ArabiaSAMA CSFFor financial institutions regulated by the Saudi Central Bank.
Read the guide →European UnionDORAICT risk and resilience rules for EU financial entities.
Read the guide →United StatesNYDFS 23 NYCRR 500Cybersecurity rules for firms licensed in New York.
Read the guide →PaymentsPCI DSSFor anyone that stores, processes or transmits payment card data.
Read the guide →United StatesSOX ITGCIT general controls behind financial reporting for US-listed companies.
Read the guide →SingaporeMAS TRMTechnology risk guidelines for financial institutions in Singapore.
Read the guide →GlobalISO 27001The certifiable information security management system standard.
Read the guide →GlobalISO 22301Business continuity management.
Read the guide →Which of these apply depends on where you operate and what you handle. Browse all 51 frameworks →
What makes compliance audits hard in financial services?
Several regulators ask for the same control
Access reviews, logging and incident response are tested again for each regulator and each standard.
With QULDEX: one test is mapped to every framework it satisfies.
Evidence is scattered
Screenshots and exports sit in email and shared drives, with no record of who saw them.
With QULDEX: evidence is encrypted, linked to its control and every view is logged.
Findings outlive the audit
Corrective actions are tracked in spreadsheets and slip between audit cycles.
With QULDEX: each action has an owner, a due date and escalation until closure is verified.
Which QULDEX modules do financial services teams use most?
The same platform as every other QULDEX customer, set up for the frameworks above.
Who uses QULDEX in banking and financial services?
Security, risk, compliance and internal audit teams, and the audit firms that serve them.
Banking & Financial Services compliance: common questions
What is banking compliance audit software?
Software that plans and runs audits against banking regulations and security standards, holding the controls, evidence, findings and reports in one system.
Can we run several of these frameworks in one audit?
Yes. Controls are mapped across frameworks, so one test and one piece of evidence can count towards each framework it applies to.
Which financial services frameworks have a QULDEX guide?
RBI cybersecurity directions, SEBI CSCRF, SAMA CSF, DORA, NYDFS 500, PCI DSS, SOX ITGC, MAS TRM, ISO 27001 and ISO 22301.
Can external auditors and regulators see our evidence?
Only if you grant access. Access is role-based, evidence can be view-only and every view is recorded.
Does QULDEX itself hold these certifications?
This page describes how QULDEX helps you run audits against these frameworks. It makes no claim about QULDEX's own certifications; ask us for the current position.
Related
Run every regulator's audit from one control set
A walkthrough against your own frameworks, team and audit calendar.