Guide to a Good Compliance Regime

This guide outlines the main characteristics of a good compliance regime. It doesn’t contain legal, regulatory or accounting advice. If that’s what you need, please speak to the appropriate specialist. But if you’re setting up or reviewing your compliance arrangements, this guide should help.

 

Contents

 

THE FOUNDATIONS

Key Characteristics

  • What makes for a good compliance regime?

Your Compliance Relationships

  • How should our compliance team interact withthe rest of the business?
  • How should our compliance team work with third parties?

 

INTERNAL ARRANGEMENTS

Resources

  • Is our compliance team adequately resourced and trained?
  • Is our compliance team getting enough training?

Procedures and Controls

  • Is our compliance oversight adequate?
  • Is our identification of risks and assessment of their severity effective?
  • Are our policies and procedures up to date and of the right scope and level of detail?
  • Are our internal controls effective?
  • Is our compliance monitoring programme effective?
  • Is our complaints-handling process effective?
  • Is our compliance reporting system effective?
  • Is our internal reporting structure effective?
  • Is our MI effective?

 

HOW WE CAN HELP

 

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