Compliance Policy
What is Compliance Policy?
A formal document establishing an organization's commitment to compliance and defining the principles, responsibilities, and expectations for regulatory adherence.
Frameworks that govern compliance policy
What the standards actually require on compliance policy
Requirements naming compliance policy across 6 standards, quoted from the control text.
The governing body together with top management shall set a compliance policy that is appropriate to the organization's purpose, provides a framework for setting compliance objectives, includes a commitment to satisfy applicable requirements and a commitment t...
iso-37301-2021::5.2 · Compliance policy →How the compliance policy is set and compliance objectives are established. 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::6.1.8 · Compliance policy and setting of objectives →The competence portfolio for risk-exposed personnel covers the knowledge of the compliance policy, of the obligations, policies, processes and procedures that apply to their tasks and of the consequences of not conforming;
iso-37303-2025::A.2.4 · Risk-exposed personnel →Compliance & Policy. Privacy obligations and the personal data (PII) handled by software are identified so privacy requirements are built in.
CP1.2 · Identify privacy (PII) obligations →Sets the HKMA's supervisory approach to AIs' AML/CFT systems: the legal and regulatory framework (the Anti-Money Laundering and Counter-Terrorist Financing Ordinance and the Banking Ordinance, other legislation, statutory and regulatory guidance), the HKMA's A...
hkma-spm::AML-1 · AML-1 Supervisory Approach on Anti-Money Laundering and Counter-Financing of Terrorism →While settling on the organization's values, the governing body should see to it that every relevant stakeholder is involved, that the ethical conduct the values call for is clear, that such conduct can be assessed, that the governing body grasps what unethica...
iso-37000-2021::6.1.3.3 · 6.1.3.3 Define the organizational values →Questions people ask about compliance policy
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