Published on : 07/04/2020 07 April Apr 04 2020
A central function in the banking and financial sector, the “Compliance” approach is a mechanism integrated into the majority of businesses. It involves monitoring and reporting on compliance with laws, national and international regulations, professional and ethical standards, and internal procedures.
NON-COMPLIANCE RISK : A SHARED RISK
Today, the management and control of compliance are activities integrated into the legal governance of the entire company. This control is intended to ensure the traceability of information, identify and correct potential deviations between the acts, decisions, operations, products, and processes of the company and all of the standards governing its activity.
Generally entrusted to the Chief Compliance Officer , its control can also be assumed, in whole or in part, by the corporate secretary, the internal control and auditing department, or the in-house counsel. Even so, the performance levers result from systematic information control, particularly regular audits and the implementation of specific communication plans.
To better anticipate and manage non-compliance risks, units in charge of its control adopt the Legal Suite solutions for managing powers of attorney, governance, and in-house matter management.
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