Evidence & Audit Trails

Producing reliable evidence and defensible records of compliance.

2 articles

How can I prove my compliance if ASIC asks for evidence?

You prove compliance by producing clear, current and reliable records that show what happened, who was responsible, what decision was made, why it was made, and how any issue was monitored, escalated or remediated. Policies help, but ASIC will usually look for evidence that your compliance framework works in practice.

How do I create a reliable audit trail?

A reliable audit trail records what happened, who did it, when it occurred and why it happened. It should link decisions, actions and supporting evidence in a way that is accurate, complete and easy to retrieve. A good audit trail helps demonstrate that your compliance framework operates consistently, not just that it is documented.

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