Compliance Program Template Draft printable pdf download

Compliance Program Template Draft

Sample

Compliance P rogram

The g oal o f t he C ompliance P rogram f or _ ____________________ ( "the C ompany") i s t o a void

regulatory a gency e nforcement a ction, c ivil p enalties o r c riminal s anctions b y i mplementing a p rogram

that t rains a nd e mphasizes t he p rofessional p roficiency o f o ur e mployees.

Every e xecutive, m anager, a nd e mployee i s r esponsible a nd a ccountable f or p erforming h is o r h er

function i n c ompliance w ith a pplicable l aws a nd r egulations.

The B oard o f D irectors i s r esponsible f or:

Evaluating t he r isk o f n oncompliance

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Approving a nd S upporting t he C ompliance P rogram, a nd

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Overseeing t he p erformance o f t he p rogram t o r educe r isk.

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Managers a nd E mployees a re r esponsible f or:

Conducting d aily b usiness i n c ompliance w ith t he l aws a nd r egulations

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Understanding t he r egulatory r equirements o f t heir j ob d escription, a nd

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Identifying i ssues t o r emediate w eaknesses a nd p revent v iolations.

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The C ompliance D epartment i s r esponsible f or:

Coordinating a udits a nd e xaminations i n c onnection w ith l aws a nd r egulations

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Acting i n a n a dvisory c apacity o n c ompany p olicies, p rocedures, a nd l aws a nd r egulations,

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Coordinating t he m onitoring o f t ransactions, a nd

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Communicating w ith t he B oard, E xecutives, M anagers a nd E mployees t o e nsure a wareness,

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understanding, i mplementation o f a nd a dherence t o t he C ompliance P rogram.

The f ollowing i s a g eneral d escription o f t he C ompliance P rogram. T he P rogram c onsists o f t he f ollowing

seven c omponents:

(1) C ompliance D epartment;

(2) C ompliance C ommittee;

(3) C ompliance T raining P rogram;

(4) C ompliance M onitoring P rogram;

(5) R eporting;

(6) R emediation a nd

(7) P revention.

Each c omponent i s d iscussed i n d etail b elow:

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Compliance Program Template Draft