Compliance Management System
What is Compliance Management System?
An integrated set of policies, processes, and tools used to systematically manage an organization's compliance with legal and regulatory requirements.
Frameworks that govern compliance management system
What the standards actually require on compliance management system
Requirements naming compliance management system across 5 standards, quoted from the control text.
How the organization decides what its compliance management system covers and assesses compliance risk. It is rated on two dimensions, each against the five-level scale in 5.2. Policy and procedures with conduct and culture: level 1, no procedures;
iso-37302-2025::6.1.3 · Determination of the scope of the compliance management system and assessment of compliance risk →Members of the compliance function should know the compliance management system they operate: its scope, structure and documented information; the requirements of ISO 37301 and how the organization meets them; the compliance policy and objectives;
iso-37303-2025::A.2.2.2 · Knowledge of the compliance management system →In line with this document, the organization shall set up, put in place, keep and continually improve a CMS, together with the processes it needs and how those processes interact;
iso-37301-2021::4.4 · Compliance management system →Run an independent compliance management system covering all operations, with unrestricted access to records, prompt escalation of material non-compliance to the compliance officer, adequate competence and resources, and a risk-based testing and monitoring pro...
uae-virtual-asset-regulatory-authority-vara-regulations::CRM-I.B · Compliance and Risk Management Rulebook I.B: Compliance management system →The internal context is substantially within the organization's control through its governing and management systems: the nature of the legal entity; financial health and business model; internal legal structure and governing processes and functions;
iso-31022-2020::5.2.3 · Internal context of legal risk →Questions people ask about compliance management system
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