Service Line — Regulatory Readiness and Evidence
Type: service line First seen: 2026-03-17 Last updated: 2026-05-17
Definition
Pre-structured evidence packs and assurance materials for regulatory readiness and examinations — covering BCBS 239, EU AI Act, and DORA obligations. One of four service lines under Independent Specialist Positioning [S-2026-03-17-paul-positioning].
Origin
Articulated in Paul’s 17 March 2026 positioning knowledge graph and Knowledge Base Domain 4 note [S-2026-03-17-paul-positioning][S-2026-03-17-paul-practice-build-plan].
How it connects to other concepts
- part-of → Independent Specialist Positioning — parent.
- depends-on → BCBS 239 and Data Lineage — substrate for evidence packs.
- relates-to → EU AI Act — high-risk system obligations need evidence by Article.
- relates-to → DORA — ICT and third-party risk evidence structure.
- relates-to → AI and Data Assurance Pathway — where the ~30 named artefacts live.
Practical applications
Engagement types:
- Pre-examination evidence pack assembly.
- Regulatory readiness gap analysis.
- Board / ExCo regulatory briefing preparation.
- Assurance report production for post-examination response.
Phase 2 evidence pack templates:
- BCBS 239 evidence pack (pre-structured by principle, with evidence fields) [S-2026-03-17-paul-practice-build-plan].
- EU AI Act compliance evidence pack (pre-structured by obligation tier — high-risk Articles 8–15, Annex IV documentation) [S-2026-03-17-paul-practice-build-plan].
- DORA evidence pack (ICT risk management and third-party governance sections) [S-2026-03-17-paul-practice-build-plan].
- Pre-examination briefing template (for board / ExCo ahead of regulatory review) [S-2026-03-17-paul-practice-build-plan].
Related practitioner artefacts (from S-2026-05-06-paul-ai-data-pathway):
- AI System Inventory template.
- Regulatory Crosswalk.
- AIMS Statement of Applicability (ISO 42001).
- Data Lineage Evidence Pack.
- AI Dataset Datasheet (extending Gebru et al.) tailored to AI Act Art 10.
- Model Validation Report (mappable to AI Act Annex IV).
- AI Logging & Evidence Specification (Art 12).
- AI Vendor DDQ.
- AI Contract Clause Library (DORA Art 30 + AI Act Arts 25, 53).
Active engagement applying this service line: IRB Requirements and CLM Implications Briefing — translates IRB obligations into design implications for the CLM build with the CLM ODS as certified single source for Pillar 3 IRB templates and COREP IRB datasets [S-2026-04-29-paul-irb-clm-briefing].
Tensions / variants
None surfaced.