• Managing our information needs

    Planning how we gather information is important for the timely and efficient completion of our compliance activities.

    When gathering information, we will generally:

    • use a risk hypothesis to frame our requests
    • plan our evidentiary requirements around the facts and evidence we require
    • revise our information requirements if our risk hypothesis changes
    • use various methods to obtain, classify, store and analyse the evidence
    • establish whether the information we need is already publicly available
    • consider the nature of your business, your record keeping and who is likely to be in control or have custody of the records.

    When managing our information needs, we will generally discuss and seek your agreement on the process we use. To help reduce delays, we will usually confirm any agreed processes in writing.

      Last modified: 26 Jul 2016QC 37592