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The responsibilities of the chief compliance officer include: Leading enterprise compliance efforts; Designing and implementing internal controls, policies, and procedures to ensure compliance with applicable local, state, and federal laws and regulations, as well as third-party guidelines
Objectives help set the context and boundaries in which risk assessment occurs. The COSO Internal Control-Integrated Framework, a standard of internal control widely used for SOX compliance, states: "A precondition to risk assessment is the establishment of objectives..." and "Risk assessment is the identification and analysis of relevant risks ...
Know your customer places a costly burden on businesses operating in the financial industry, especially smaller financial companies, where compliance costs are disproportionately heavy. [ 21 ] Customers may feel the information requested to be intrusive and burdensome, and may choose not to enter the business relationship as a result.
Accreditation is the independent, third-party evaluation of a conformity assessment body (such as certification body, inspection body or laboratory) against recognised standards, conveying formal demonstration of its impartiality and competence to carry out specific conformity assessment tasks (such as certification, inspection and testing).
General management consulting, which concerns strategy, corporate finance, organization, environmental social and corporate governance, risk and compliance, and so forth. It entails questions that are relevant to the entirety of the client organization as a whole, on a management level. [citation needed]
Some perceive malicious compliance as a tool for effecting change, such as social change, [7] or meeting goals, such as production quotas, even at the expense of efficiency and the organization. [8] Other motivations include office politics, jealousy, revenge on a supervisor, [3] [9] and simply "sticking it to" an organization one is unhappy ...
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