1. Approved Product Notes: A document outlining the details, features, and rules of a financial product that has been approved for offering to customers.

2. Policy Document: Contains the rules and guidelines of how a specific process or product works. It’s the rule book for a company’s offerings or procedures.

3. Pricing Matrix: A chart or document that shows the pricing structure for a company’s products or services, including any discounts or special rates.

4. SOP (Standard Operating Procedure): A set of step-by-step instructions compiled by an organization to help workers carry out routine operations.

5. Manual: A detailed handbook or guide explaining how something works or how to do something, often for training purposes.

6. Addendum: An addition or supplement to a document, often containing changes, updates, or extra information that was not included in the original.

7. Extract of FICO Rules and Deviations in SFDC System: A summary of the financial (credit score-related) rules and any exceptions to these rules that are programmed into the Salesforce (SFDC) system.

8. UAT Signoff: Sign-off at the end of User Acceptance Testing, confirming that a software or system meets requirements and is ready for deployment.

9. Latest Business Review Document (BRD): A document that captures the business requirements for a project or system, most recently updated.

10. Credit Authority Matrix / CAD Limit: A guideline outlining who has the authority to approve credit and up to what limit.

11. Risk Register: A document listing all identified risks to a project or business, along with impact assessment and mitigation plans.

12. Stamp Duty Master in SFDC: A record in Salesforce detailing the stamp duty fees applicable for various transactions.

13. List of Fraud Cases: A document listing instances of fraud identified within the organization or related to its products/services.

14. PDD MIS (Post Disbursement Documents Management Information System): A system or report tracking the collection and management of documents after a loan or credit has been disbursed.

15. Pricing Matrix and Deviation Matrix: Documents that outline the standard pricing and any deviations (special cases) from those prices.

16. Risk-Based Pricing Manual: Guidelines on setting prices for loans or services based on the risk profile of the customer.

17. List of Product Codes and Schemes: A comprehensive list of the codes and details for each product or scheme the company offers, stating which are currently active or inactive.

18. Portfolio MIS (Management Information System): Reports and systems used to manage and review the financial portfolio of a business, including loans, investments, etc.

19. Collateral Register: A record of all assets that have been pledged as security (collateral) for loans or obligations.

20. Schedule of Charges: A detailed list of all fees and charges that a company applies to its services or products.

21. Disbursement MIS: Reports on the funds that have been paid out (disbursed) for loans or other financial products.

22. Rejection Dump: A report listing all applications or requests that have been rejected, including reasons and details of any communications sent.

23. Demand Draft Issuance including Cancellation: The process and records of issuing bank drafts for payments and their cancellation if necessary.

24. MIS on RCU Screening: Reports detailing the cases that have been screened or sampled by the Risk Control Unit (RCU) and their outcomes.

25. Empanelled Agencies List: A list of external agencies approved to conduct valuation, legal, technical due diligence, or other services for the company.

26. Insurance Policy Issuance Tracker: Records tracking the issuance of insurance policies, including details of claims if applicable.

27. CERSAI MIS: Reports on transactions (creation, modification, pending, removed) recorded with the Central Registry of Securitisation Asset Reconstruction and Security Interest of India (CERSAI).

28. Monthwise Incentive Paid MIS: Reports detailing the incentives paid out to employees or partners, typically on a monthly basis, including calculations and criteria.
which where the general area where the failure of the internal control can be found or the chances of failure would be there for the internal audit purposes