Skills Compliance

Assembling an evidence pack for an external body

An information request from a regulator or auditor is not a reporting task. The difference is the standard: every number has to be reproducible by a stranger, every definition stated, and every gap disclosed by you rather than discovered by them.

ComplianceEvidence and auditPlaybookAny helpdeskRead-only
Installnpx rulebase-skills install cx-regulatory-reporting-pack

When to use it

Reach for this when someone says any of these — they are the phrases the skill itself triggers on:

  • the regulator has asked for
  • prepare an audit pack
  • evidence request from compliance

How it works

The method, in the order the skill runs it. The full procedure — tables, worked examples and the edge cases — is in the skill itself.

  1. Read the request as written

    Requests are drafted precisely and read loosely. Before extracting anything.

  2. The standard for every figure

    For each number in the pack, record — in the pack, not in a side document: The definition, in plain language, The population and the exclusions, with counts for each exclusion, The source systems, and the extract date, The query or method, reproducible, The figure, with absolute counts alongside any percentage, Known limitations.

  3. Reconcile to the systems of record before submitting

    Every figure that also exists elsewhere must tie to it, or the difference must be explained in the pack: Complaint counts against the complaints system, Customer and account counts against the CRM or ledger, Any financial figure against finance's own numbers.

  4. Disclose the gaps yourself

    The section that most improves how a pack is received, and the one most often left out. Be specific: Channels not covered, Records not retrievable, Known data quality issues in the fields you relied on, Manual steps in the extraction, and who performed them.

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