M3 — Confirm · US-OCC-3P-RISK-2026-C-002

OCC Third-Party Risk Management Guidance — control 2

Control derived from US-OCC-3P-RISK-2026-REQ-02.

On track

USOCC·US-OCC-3P-RISK-2026·Due 3 Sep 2026

Regulation

OCC Third-Party Risk Management Guidance

Derived from requirement

US-OCC-3P-RISK-2026-REQ-02OCC Third-Party Risk Management Guidance — requirement 2

Status

Evidenced

Last activity: 13 Jul 2026

Independence

Independence intact.

Owner

Yuki Tanaka

Operations

Reviewer

Nina Bergqvist

Retail Banking

Approver

Chris Adeyemi

Executive

Evidence

3 attachments

Regulator response letter
Response letter to the regulator confirming compliance approach.
blob://evidence/US-OCC-3P-RISK-2026-C-002/regulator-response-letter.pdf
23 Jun 2026
by Tom Whitfield
Testing evidence pack
Test cases and results for control effectiveness.
blob://evidence/US-OCC-3P-RISK-2026-C-002/testing-evidence-pack.pdf
19 Jun 2026
by Amelia Hart
Control walkthrough recording
Screen recording of the control walkthrough with Internal Audit.
blob://evidence/US-OCC-3P-RISK-2026-C-002/control-walkthrough-recording.pdf
16 Jun 2026
by Nina Bergqvist

Audit trail