1. Scope note
Market, regulation lane, product/service area, owner, and deadline context.
Evidence example
What a good first evidence pack structure looks like before sensitive files move.
This example shows the shape of an audit-pack preparation workflow using public-safe sections only. It is not a real client file and not a compliance certificate.
Public-safe only
- no client files.
- no supplier exports.
- no legal conclusion.
Example pack sections
2. Source register
Official sources, dates checked, source tier, and open questions.
3. Evidence inventory
Documents or records expected, owner, status, gap, and secure-handoff need.
4. Gap summary
What is missing, what is unclear, what needs professional/legal review, and what can be prepared operationally.
5. Follow-up queue
Questions for product, security, procurement, supplier, legal, or management owners.
6. Boundary statement
No legal advice, no compliance guarantee, and no sensitive upload through public forms.
Good first evidence looks like
- named internal owner for each evidence item.
- source/date checked for each regulatory claim.
- clear distinction between available, missing, stale, and needs-review evidence.
- summary written for decision-making, not just file storage.
- secure file exchange agreed before confidential material is exchanged.