Meridian Alpha

Internal Controls

Financial operationsAccess & JMLCustomer OnboardingThird-Party RiskAll controls
Meridian Alpha · assurance records
Q3 2026 Unified Program Review · as of 9 Oct 2026
Customer Onboarding controls
2
Customer Onboarding
Open findings
1
1 high severity
Q3 test exceptions
1
0 with observation · 1 tested
Open actions
1
linked to these findings
Validations pending
1
0 failed

Controls tested by audit cycle

Tests →
Q3 2026 Unified Program
Active
78%
tested
21 of 27 controls
13 pass · 0 obs · 8 fail
Q2 2026 Unified Program
Closed
89%
tested
24 of 27 controls
8 pass · 3 obs · 13 fail

Control risk level by current test result

Fail
Pass with observation
Pass
High risk
Medium risk
Low risk
Click a cell to list its controls. Risk level is the control's recorded rating; result is the current-period test.

Open findings by application

Meridian Customer Portal1Salesforce (Sales + Financial Services Cloud)1

Open findings by control domain

Customer Onboarding1

Customer Onboarding findings

Explore →
ControlObservationDomainSeverityOwnerTargetActionValidation
KYC-01Credit line activated before KYC completion (KYC MD §16)Customer OnboardingHighArjun Kapoor22 Oct 2026In ProgressPending

Q3 test results

Customer Onboarding remediation timeline

SeptOctNovDecJan
Today
REM-F-RBI-04 Arjun Kapoor
ClosedIn progressOpenValidation (planned / failed / passed)Bars run from the cycle close when the finding was raised to the action target date.

KYC-01 Customer accounts are activated only with complete KYC

Open control →
Requirement
ISO-A.5.31 · ITGC-BP-01 · RBI-KYC-MD-2016-16
mapped
Policy
KYC / AML Policy
pol-kyc
Control
KYC-01
Customer accounts are activated only with complete KYC
Application
Meridian Customer Portal · Salesforce (Sales + Financial Services Cloud)
mapped
Evidence · Q3
3 items
2 approved · 1 pending · 0 rejected
Test · Q3
Fail
TST-RBI-KYC-01 · Medium confidence
Finding
F-RBI-04 · High
Open
Action
Arjun Kapoor
REM-F-RBI-04 · In Progress
Validation
Pending
as recorded