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This is a tool that helps keep track of your company’s required filings, frequency of filing, due dates (internal and external), regulatory bodies, mode of filing, and other related details.
This is a report to the board or appropriate board committee that details summary of correspondence with regulatory agencies, statutory obligations, policy updates per functional area, regulatory watch & update.
This tool will help your organisation to understand the full range of its risk exposure, including the likelihood that a risk event may occur, the reasons it may occur, and the potential severity of its impact. An effectively designed compliance risk assessment also helps organisations prioritise risks, map those risks to the applicable risk owners, and effectively allocate resources to risk mitigation.
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If you’re looking to transition to Compliance/early in your Compliance career/need a refresher, then this guide is for you.
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