METHOD AND SYSTEM FOR ASSESSING COMPLIANCE RISK OF REGULATED INSTITUTIONS

摘要

A method for distributing requests for artifacts to a regulated institution for risk assessment includes: storing a client profile including a risk rating value corresponding to a risk that the related regulated institution will not be compliant with a set of regulations; identifying a plurality of artifacts to be provided by the regulated institution, each artifact including a frequency, a weight, one of a plurality of waves, and one of a plurality of categories; assigning a priority value to each of the categories; grouping each artifact into a plurality of buckets, each bucket including artifacts that include a common wave and a common category, and wherein the artifacts are evenly distributed into the buckets; and generating a request schedule, wherein the request schedule is a schedule for the distribution of requests for artifacts included in each bucket over a predetermined period of time.