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SOX 404(b) Deficiency Evaluation (SAD)

Determines if a control failure is a Deficiency, Significant Deficiency, or Material Weakness.

Analyze a control failure in {process_name}. The error involved {description_of_error}. Considering the 'Prudent Official' test and the 'Magnitude' of {dollar_amount}, determine if this is a Significant Deficiency or a Material Weakness. Document the 'Compensating Controls' that might mitigate the risk.

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Compliance & Regulatory
Advanced

Cybersecurity Disclosure (Item 106 of Reg S-K)

Drafts the new required SEC disclosure regarding cybersecurity risk management and strategy.

GPT-4oClaude 3.5 Sonnet
0
0
2
Compliance & Regulatory
Intermediate

SOX Control Matrix (RCM) Builder

Maps financial risks to specific controls, ensuring no gaps in the internal control environment.

GPT-4oGemini 1.5 Pro
0
0
2
Compliance & Regulatory
Advanced

AML/KYC Risk Scoring Logic

Develops a framework for assessing customer risk levels for anti-money laundering compliance.

Claude 3.5 SonnetGPT-4o
0
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2