Risk register template in Excel, with an internal audit plan and fraud risk assessment
A risk register with likelihood x impact scoring, owners, appetite and heat maps, a three-year internal audit plan, and a fraud risk assessment built for the UK failure to prevent fraud offence.
Finance teamsUS library · 46 packs
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Risk and internal audit · this packBookkeeping and advisory lettersAudit and AUP lettersCompilation and review lettersIndependent contractors1040 checklistsIRS noticesSales tax nexusNonprofit audit+ 37 more
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What's inside
First page of each document. 4 files, Word and Excel.
What risk management and internal audit involveDocument in the pack
Every key risk with an owner
✓Risk registerCause, effect and controls for each risk
Risks scored the same way
✓Risk registerLikelihood x impact, inherent and residual
Risk appetite set by the board
✓Risk registerFlags risks above appetite without an action
A picture for the board
✓Risk registerInherent and residual heat maps
Audits targeted at the highest risks
✓Internal audit planHigh every year, medium every two, low every three
Reasonable fraud prevention proceduresEconomic Crime and Corporate Transparency Act 2023, s199
✓Fraud risk assessmentIn force from 1 September 2025
Who it's for
Finance directors, financial controllers and internal auditors in small and mid-sized companies and groups.
Last checked
Checked against the Economic Crime and Corporate Transparency Act 2023 and the Home Office guidance on failure to prevent fraud in November 2026.
