SERVICES
Audit and regulator data requests answered from controlled sources, not rebuilt manually.
Audit and regulator data requests answered from controlled sources, not rebuilt manually through a controlled, source-linked workflow.
Overview
This capability organises data/evidence requests from auditors, regulators or authorised compliance providers and ties responses to approved source records and review history.
Below Regulatory Reporting; distinct from the financial-statement audit support page because it can include regulatory examinations/data queries.
Why it matters
Ad hoc requests create risk when teams rebuild datasets without lineage or consistent review.
Common operating challenges
- Requests fragmented.
- No source/field lineage.
- Different responses across teams.
- Deadline/status unclear.
What we deliver
| Capability | What it covers |
|---|---|
| Request intake | Create case and owner. |
| Source mapping | Identify approved data/evidence. |
| Response pack | Prepare requested data/documentation. |
| Review | Route authorised validation. |
| Tracking | Maintain questions/follow-ups/evidence. |
Our role can be configured around a defined operating mandate: a recurring managed service, a technology-enabled client workflow, or a co-sourced model in which execution and review are split between Kelton, the client and appointed providers.
Inputs, workflow and outputs
Typical inputs
- Audit/regulator request
- Fund/investor/portfolio data
- Prior submissions
- Control evidence
Controlled workflow
| Step | Activity | What happens |
|---|---|---|
| 1 | Log | Record request/scope. |
| 2 | Map | Identify sources. |
| 3 | Prepare | Build response dataset. |
| 4 | Validate | Check consistency. |
| 5 | Approve | Obtain authorised release. |
| 6 | Archive | Retain final evidence. |
Typical outputs
- Request tracker
- Source mapping
- Response data pack
- Review checklist
- Evidence archive
Controls and review
The workflow is designed so that automation does not obscure responsibility. Routine processing can be standardised; exceptions, material judgements and formal approvals remain visible and attributable.
- Permission/need-to-know.
- No unauthorised regulatory communication.
- Field lineage.
- Version control.
Responsibility boundary
We support data/evidence preparation; formal regulator/auditor communication and certification remain with authorised parties.
Technology & expertise
Our operating model combines specialist knowledge with controlled technology. Domain experts define the rules, review logic and exception criteria; the technology layer makes the workflow repeatable, traceable and scalable.
Technology
- Case workflow.
- Data lineage.
- Controlled export/evidence.
Expertise
- Regulatory reporting.
- Audit support.
Expert knowledge is converted into controlled rules, SOPs, checklists, validation tests and exception criteria so that the operating standard is embedded in the workflow rather than dependent on one individual.
Delivery models
| Model | How it works |
|---|---|
| Managed Operations | We execute the agreed recurring workflow. Client and appointed-provider approvals remain explicit. |
| Technology Enablement | We implement the data, workflow and control layer for the client team to operate. |
| Hybrid / Co-sourced | Execution and review are shared through a documented responsibility and escalation model. |
| Transition & Implementation | We mobilise the workflow during a launch, provider change or target-operating-model transition. |
Frequently asked questions
Can Kelton respond directly to a regulator?
Only if explicitly authorised and appropriate. Our default scope focuses on data preparation, evidence and operating support.
How is this different from Regulatory Reporting?
This handles request-driven evidence/data, while Regulatory Reporting is scheduled return production.
Discuss Audit & Regulator Data Support
Start with one workflow, one operating issue or one provider transition. We will map the current process, responsibility boundaries, required data and a practical first engagement.