Compliance Programme
What is Compliance Programme?
A structured set of internal policies, procedures, training, and monitoring activities designed to ensure an organisation adheres to applicable laws, regulations, and industry standards.
Terms that appear alongside compliance programme
Each of these is named in at least one of the same controls as compliance programme. The number is how many controls name both.
- compliance 17 shared controls
- audit 6 shared controls
- governance 5 shared controls
- due diligence 4 shared controls
- corporate compliance 3 shared controls
- policy 2 shared controls
- information sharing 2 shared controls
- internal audit 2 shared controls
Frameworks that govern compliance programme
What the standards actually require on compliance programme
Requirements naming compliance programme across 6 standards, quoted from the control text.
Financial institutions shall establish a written AML compliance programme approved by the board, with policies, procedures, internal controls and ongoing oversight under 31 CFR 1020.210.
BSA-AML-01 · AML Compliance Programme →In settling administrative cases, OEE takes account of the existence, nature and adequacy of the respondent's risk-based BIS compliance programme at the time of the apparent violation, measured against BIS's Export Compliance Guidelines, whether the programme...
ear-export-administration-regulations::Supp. 1 to Part 766 (III.F) · Export compliance programme as an enforcement factor →Neither regulation mandates a written compliance programme in general terms, but both reward one. DDTC lists whether a person has instituted or improved an internal compliance programme among the mitigating factors for disclosed violations, and asks disclosure...
us-itar-and-ear-export-control-and-data-security::ITAR 127.12(b)(3)(iv) and EAR Supp. 1 to 766 · Run a documented export compliance programme that both regulators credit →Governments harmonise cross-border controls, for example through mutual recognition of controls and compliance programmes, shared resources and techniques, and acceptance of the other party's clearance.
wco-safe-framework-of-standards-to-secure-and-facilitate-global-trade-2021::P3.S10 · Pillar 3 Standard 10: harmonisation of cross-border control measures →Governments work to harmonize cross-border control measures, which may include mutual recognition of control measures and compliance programmes, sharing of resources and techniques, and accepting clearance carried out by the other party.
SAFE-P3-S10 · Harmonization of cross-border control measures →The company must have a training programme for managers (cadres) and the staff most exposed to corruption and influence peddling risks, identified from the risk map (for example sales and purchasing staff and those running the programme).
french-sapin-ii-law-law-no-2016-1691::17.II.6 · Article 17 II 6°: training for managers and the most exposed staff →Questions people ask about compliance programme
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