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Equiniti Group Internal Audit Charter

Thursday, 1 October 2020

The effective operation of Group Internal Audit (GIA) is a key part of the control environment required for EQ to achieve its objectives and to meets its obligations.

This Charter sets out the purpose, role, accountability, responsibility, authority and standards of the GIA function within the Equiniti group and the arrangements for the management of the function, including ensuring its independence from 1st and 2nd line management of the Group.

GIA is guided by the Professional Practices Framework of the Chartered Institute of Internal Auditors, including the Definition of Internal Auditing, the Code of Ethics, and the International Standards for the Professional Practice of Internal Auditing. GIA also conform to the Chartered Institute of Internal Auditors Guidance on Effective Internal Audit in Financial Services. All audit engagements are performed in accordance with these standards, which are operationalised through GIA’s methodology and procedures.

This Charter is owned by the Chief Audit Executive and is sponsored on behalf of the Board of Equiniti Group by the Chairman of the Group Audit Committee.