Compliance policies and internal controls
Introduction
The policy framework and internal controls that turn legal requirements into daily practice, and let the board see that they work.
Regulators expect companies to show, not just state, that they comply. That means a compliance function with clear authority, a set of policies that match the company's real risks, and controls that are tested and reported to the board.
We have prepared more than 250 governance and compliance policies. They include codes of conduct, conflicts of interest, delegation of authority, whistleblowing, gifts and hospitality, procurement, data protection and record keeping, each written for the company that will use it.
Policies work only when people use them. We design the controls behind each policy, train managers and staff, and review the framework periodically as the business and the law change.
How we help
What the work covers
Compliance function
The role, authority and reporting lines of the compliance function.
Policy framework
Codes of conduct and policies matched to the company's risks.
Whistleblowing
Confidential reporting channels and fair handling of reports.
Review
Testing controls and updating policies as the business and the law change.
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