Policy lifecycle and versions
Maintain the policy library, approval support and scheduled reviews. Preserve the version that applied when a decision or assessment was made.
Governance & assurance
Policies & internal controls
Connect regulatory requirements to policies, control owners, testing and employee attestations.
PURPOSE & PRACTICE
Connect the policy you approve to the control you operate.
A policy document sets expectations; control evidence shows what happened in practice. The two need a clear connection so a reviewer can understand the requirement, the responsible owner and the work performed.
RegQuanta brings policy lifecycle management, control mapping and assessment records together. Teams can organise review cycles and attestations while keeping test results, exceptions and remediation attached to the relevant control context.
Built around the work of
- Policy owners
- Internal control teams
- Compliance testing
CAPABILITIES
What you can manage.
Obligation, risk and control mapping
Relate regulatory requirements and institutional risks to the controls intended to address them. Give each control a clear owner and a reviewable description.
Assessment and adoption evidence
Organise self-assessments, control testing and relevant training or attestations. Record weaknesses and track remedial action with evidence of the later review.
FROM INPUT TO OUTCOME
A practical path through the work.
Establish the policy basis
Confirm the approved version, source requirements, responsible owner and next review date.
Examine control operation
Gather the test or assessment evidence and explain whether the control operated as intended for the period reviewed.
Address the weakness
Assign the corrective action, retain supporting updates and obtain the required review before closure.
YOUR INSTITUTION, YOUR SCOPE
Relevant to banks and NBFCs.
BANKING INSTITUTIONS
For banks
Coordinate policies and controls across relevant business and support functions. Preserve unit-level responsibility alongside the bank’s central policy governance.
Explore banking workflows ↗NON-BANKING FINANCIAL COMPANIES
For NBFCs
Build the control map around the NBFC’s products, operating model and applicable requirements. A smaller team can still distinguish policy ownership, operation and independent review.
Explore NBFC workflows ↗Scope and implementationControl conclusions remain human-reviewed; restricted cases follow their own access permissions.
INSIDE THE MODULE
Policy library evidence view
A view from the actual application, with the current module navigation. Open the screenshot to explore it in full.
The actual policy-library workspace displays reference supporting files and review context. The evidence view helps explain how the policy record is supported.
Reference bank environment · Captured 12 October 2026SEE THE ESSENTIALS · APPROVED MEMBERS
Inside the workflow in one minute.
Actual app screens, clear narration and optional captions. Choose a film to watch with your approved member account.
01:00 APPROVED MEMBERS
Governance & assurance
Policies & controls
Follow policy ownership, versioned review, control evidence and the response to identified weaknesses.
Watch in one minute ↗SUPPORT THE CONCLUSION
Evidence to keep together.
- Approved policy versions and review history
- Requirement-to-control mappings
- Test results and assessment conclusions
- Remediation evidence and attestations
PRACTICAL QUESTIONS
Before you put it to work.
Does policy approval establish that a control is effective?
No. Approval establishes the policy basis. Control effectiveness needs appropriate operating evidence, testing and a reviewed conclusion for the relevant period.
Who determines the assessment conclusion?
The institution’s authorised reviewers remain responsible for interpreting the evidence and approving the conclusion. Workflow completion is not an automated assurance opinion.
LEARN THE SUBJECT
Educational reading.
Governance & assurance8 min read
Policy management and internal controls that work in practice
Connect written requirements to observable actions and accountable decisions.
Read article ↗Governance & assurance8 min read
Taking a policy revision through consultation, approval and implementation
Keep the reason for change, consultation, approved version, implementation work and subsequent review connected.
Read article ↗CONNECTED WORK