Compliance

Compliance Audit Returns

Periodic audit filings required of DCPMIs under the GAID.

Definitions (2)

Mandatory annual or periodic reports that DCPMIs must file with the NDPC under the GAID, documenting the results of internal or external compliance audits, risk assessments, and remediation actions as part of the Commission's monitoring and supervisory regime.

Structured audit reports required under GAID that designated controllers/processors (particularly DCPMIs) must file with the NDPC, documenting compliance status, RoPA integration, identified gaps, and corrective action plans. GAID prescribes CAR templates, filing cycles, and the submission pathway through licensed DPCOs to enable regulatory monitoring and comparability.