Request intake
Establish the request record, responsible owner, priority and required response date.
REGULATORY & COMPLIANCE
Controlled data support for audit and regulatory requests.
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.
Our capabilities
Source mapping
Identify approved data sources, supporting evidence and responsible record owners.
Response pack
Prepare the requested data and documentation in a controlled response pack.
Review
Route the response to authorised specialists and owners for validation and approval.
Tracking
Maintain a complete record of questions, follow-ups, responses and supporting evidence.
Service coverage
Core records
- Audit/regulator request
- Fund/investor/portfolio data
- Prior submissions
- Control evidence
Operating activities
| 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. |
Reporting and oversight
- Request tracker
- Source mapping
- Response data pack
- Review checklist
- Evidence archive
What clients gain
Clear request ownership
Establish the request record, responsible owner, priority and required response date.
Fast source identification
Identify approved data sources, supporting evidence and responsible record owners.
Complete response packs
Prepare the requested data and documentation in a controlled response pack.
Authorised review
Route the response to authorised specialists and owners for validation and approval.
Governance and integration
Audit & Regulator Data Support is delivered through defined responsibilities, controlled records and documented review. Material exceptions, judgements and approvals remain visible and attributable throughout the operating process.
- Permission/need-to-know.
- No unauthorised regulatory communication.
- Field lineage.
- Version control.
Expertise and delivery
Experts behind the service.
Relevant professionals support service design, exception review and delivery governance where specialist judgement is required.
Meet our Experts & ProfessionalsTechnology that supports control.
Controlled data, workflow and review capabilities support consistent execution, transparent oversight and traceable evidence.
Explore Technology & ExpertiseConfigured around your operating model.
Services can be delivered through managed operations, technology enablement, co-sourced delivery or transition support.
See How We WorkFrequently 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.