Maximising the Efficiency of the Compliance Function

Maximising the Efficiency of the Compliance Function

28-Oct-99


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Table of Contents

Maximising the Efficiency of the Compliance Function

I Constructing an Effective Compliance Monitoring Framework

Monitoring Approach Plan - 1

Monitoring Approach Plan - 2

The Monitoring Programme

The Monitoring Workpapers 1

The Monitoring Workpapers 2

II Designing Appropriate Management Reporting Lines

Management Reporting

III Maintaining a Dynamic Approach - Reviewing Objectives and Progress

A Flexible but Solid Approach

IV Compiling and Maintaining Diverse Information Sources

Information Sources

V Capitalising on the Internet as a Compliance Monitoring Tool

Use Internet for Monitoring

Some Useful Sites http://

The Compliance Exchange

Author: J E Halsey