The Compliance Monitoring System: Need, Implementation, and Analysis
Added on 2023-06-07
20 Pages4081 Words67 Views
FinanceLeadership Management
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The Compliance Monitoring System 0
Title: The Compliance Monitoring System
Assignment Name:
Student Name:
Professor:
Date:
Title: The Compliance Monitoring System
Assignment Name:
Student Name:
Professor:
Date:
![The Compliance Monitoring System: Need, Implementation, and Analysis_1](/_next/image/?url=https%3A%2F%2Fdesklib.com%2Fmedia%2Fcompliance-monitoring-system_page_1.jpg&w=3840&q=10)
The Compliance Monitoring System 1
Abstract
This report summarizes the need for compliance monitoring system in different corporate bodies.
An executive summary has been given with a detailed project report and compliance monitoring
system implementation is explained in detail. The risk management system and its
implementation, industry compliance requirements, industry requirements, risk and effects are
studied. A large emphasis has been on the establishment of compliance management system with
the corporate body and processes, training and administration with a help of example has been
illustrated. The monitoring methodology with reporting system and approval has been provided.
The result and analysis of compliance monitoring system has been given followed by a
conclusion and recommendation.
Abstract
This report summarizes the need for compliance monitoring system in different corporate bodies.
An executive summary has been given with a detailed project report and compliance monitoring
system implementation is explained in detail. The risk management system and its
implementation, industry compliance requirements, industry requirements, risk and effects are
studied. A large emphasis has been on the establishment of compliance management system with
the corporate body and processes, training and administration with a help of example has been
illustrated. The monitoring methodology with reporting system and approval has been provided.
The result and analysis of compliance monitoring system has been given followed by a
conclusion and recommendation.
![The Compliance Monitoring System: Need, Implementation, and Analysis_2](/_next/image/?url=https%3A%2F%2Fdesklib.com%2Fmedia%2Fcompliance-monitoring-system_page_2.jpg&w=3840&q=10)
The Compliance Monitoring System 2
Contents
Introduction....................................................................................................................................5
Assessment 1...................................................................................................................................5
1) Executive Summary.................................................................................................................5
1. Compliance Requirements...............................................................................................................5
2. Compliance Effects..........................................................................................................................6
3. Risk Management System................................................................................................................7
Assessment 2.................................................................................................................................10
2) Establishment of System........................................................................................................10
1. Compliance Management System.................................................................................................10
2. Personnel.......................................................................................................................................11
3. Training..........................................................................................................................................11
4. Processes.......................................................................................................................................11
5. Administration...............................................................................................................................11
Assessment 3.................................................................................................................................13
3) Monitoring Methodology.......................................................................................................13
1. Reporting System...........................................................................................................................14
2. Approval by Board of Directors......................................................................................................14
4) Result and Analysis................................................................................................................15
5) Conclusion..............................................................................................................................17
Contents
Introduction....................................................................................................................................5
Assessment 1...................................................................................................................................5
1) Executive Summary.................................................................................................................5
1. Compliance Requirements...............................................................................................................5
2. Compliance Effects..........................................................................................................................6
3. Risk Management System................................................................................................................7
Assessment 2.................................................................................................................................10
2) Establishment of System........................................................................................................10
1. Compliance Management System.................................................................................................10
2. Personnel.......................................................................................................................................11
3. Training..........................................................................................................................................11
4. Processes.......................................................................................................................................11
5. Administration...............................................................................................................................11
Assessment 3.................................................................................................................................13
3) Monitoring Methodology.......................................................................................................13
1. Reporting System...........................................................................................................................14
2. Approval by Board of Directors......................................................................................................14
4) Result and Analysis................................................................................................................15
5) Conclusion..............................................................................................................................17
![The Compliance Monitoring System: Need, Implementation, and Analysis_3](/_next/image/?url=https%3A%2F%2Fdesklib.com%2Fmedia%2Fcompliance-monitoring-system_page_3.jpg&w=3840&q=10)
The Compliance Monitoring System 3
Recommendations.................................................................................................................................17
References......................................................................................................................................19
Recommendations.................................................................................................................................17
References......................................................................................................................................19
![The Compliance Monitoring System: Need, Implementation, and Analysis_4](/_next/image/?url=https%3A%2F%2Fdesklib.com%2Fmedia%2Fcompliance-monitoring-system_page_4.jpg&w=3840&q=10)
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