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Why And How To Develop A Compliance Risk Management …

As part of aspeak-up culture, there should be reporting systems in place that encourage and allow for swift whistleblowing from … See more

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URL: https://blog.complylog.com/risk/compliance-risk-management-framework

How To Align Leadership And Compliance For Success Blog

WEB2.2 Use legal metrics to drive decisions. In order to back up your assertions about the effect of regulatory challenges on the business, use legal metrics. This gives …

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11 Key Compliance KPIs + Examples (& Why You Should Track …

WEBThis saves time for the compliance department and frees up staff to concentrate on monitoring and analysing the results of their efforts. 6. Conclusion. …

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Preparing A Compliance Report: What Should You Include

WEB6.1 Make the information accessible to all. A compliance report must be accessible for multiple audiences, meaning you might have to present the information in …

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What are the Benefits of Having a Code of Ethics and Conduct

WEBEthical conduct helps an. organisation follow the spirit of the law. By combining the two into a code of ethics and conduct, you ensure that you affect both …

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How To Create A Compliance Risk Assessment Questionnaire

WEBA compliance risk assessment questionnaire should include questions about the organisation’s compliance programme, relevant laws and regulations, potential …

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The 20 Compliance Culture Questions To Ask In Your Next Survey

WEBElements of a strong, successful compliance culture are: Awareness of the regulatory compliance regulations that apply to the organisation. A collective …

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7 Steps To Develop A Robust Compliance Strategy

WEBBy creating benchmarks for certain compliance metrics, you can track the ROI of your strategy. The metrics you choose could include anything from measuring the …

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How To Fill Your Compliance Risk Assessment Matrix + Template

WEB3.3 Select your risk criteria. You have to decide on the criteria on which you evaluate and prioritise the risk factors facing your organisation. The usual criteria in a …

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Complete Guide To The Market Sounding Process Blog

WEBComplete Guide To The Market Sounding Process. 6 minutes 7 October 2021. In September 2020, the European Securities and Markets Authority (ESMA) …

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How To Set Compliance Plan Objectives That Bring Results Blog

WEB3. How To Set SMART Compliance Plan Objectives. Using SMART goals, you can break down your compliance plan objectives and analyse them to ensure they …

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Measure Conduct Risk: 7 Key Risk Indicators To Track Blog

WEB3.1 Customer satisfaction score. Just as customer satisfaction score (CSAT) can be a key performance indicator, it can also be a key risk indicator. If your CSAT …

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Creating A Whistleblowing Policy: What, How And Why Now

WEB4. Tips for creating an effective whistleblowing policy. Effective whistleblowing policies: Are easy to understand and clear in their intention. Have defined …

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What Are Market Soundings Under the Market Abuse Regulation

WEB6 minutes 1 February 2024. The EU’s Market Abuse Regulation (MAR) came into effect in July 2016, with the European Securities and Markets Authority (ESMA) defining the …

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Top 10 Benefits of a Whistleblowing System Blog

WEB1. Whistleblowing in the EU legislation context 1.1 Background. The EU Whistleblowing Directive was an aftermath of a series of major cases brought about by …

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Choose Regulatory Compliance Management Tools For Your …

WEB5. Conclusion. Regulatory compliance management tools are key to a streamlined and efficient compliance strategy. Whatever the legislative challenges in …

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4 Steps To An Effective Compliance Investigation Process Blog

WEB1.1 Establish the investigation team. You need to establish who will investigate compliance issues within your organisation. It can be a delicate balance to …

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4 Interesting Examples of Whistleblowing in the Workplace

WEBThe LuxLeaks case is a prime example of retaliation and was one of the triggers that spurred the creation of more stringent whistleblowing laws in the EU and …

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The 7 Behaviours That Qualify As Market Abuse Blog

WEB2. Key takeaways. There are two main categories of market abuse: insider dealing and unlawful disclosure. These are divided into 7 sub-categories. Behaviour 1: …

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