Section .0400 – Audit and Internal Control Standards | Midpage

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North Carolina Administrative Code

§ 0400

Section .0400 – Audit and Internal Control Standards

.0401Internal Controls .0402Revisions to Internal Controls .0403Emergency Revision to Internal Controls .0404Operator Remains Ultimately Responsible for Internal Controls .0405Administrative and Accounting Procedures .0406Jobs Compendium .0407Information Security Responsibilities .0408Information Processing .0409Reporting Requirements in the Event of a Cyber Incident .0410Accounting Records .0411Financial Audits .0412Retention, Storage, and Destruction of Records .0413Reserve Requirement .0414Risk Management Framework .0415Taxation Requirements .0416Bank Secrecy Act Compliance .0417Anti-Money Laundering Monitoring .0418Integrity Monitoring and Suspicious Behavior .0419Data Security .0420Personal Information Security .0421Disputes Pertaining to Wagering .0422Prohibition of Credit Extension .0423Ineligible Persons .0424Reporting Requirements Related to Ineligible Persons .0425Wagering Reports of Operators .0426Access to Wagering Data and Records by Commission or the Department of Revenue .0427Independent Audit of Internal Controls .0428Timely Response to Formal Letter of Inquiry