4.1 Compliance and risk management (continued) |
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Existing compliance programs
An organisation's management of the full range of regulatory and legal obligations is usually achieved through a number of specific compliance programs. These may include programs such as trade practices compliance, funds management compliance and occupational health and safety. There may be opportunities to leverage off these programs.
No. |
Questions to ask |
1 |
Does the organisation have any other compliance and/or risk management programs? |
2 |
Does the organisation already have some knowledge and expertise in compliance and/or risk management? |
3 |
Are there opportunities to integrate with existing programs and/or systems? |
Available resources and people
Existing resources and people available in the organisation which can facilitate the development and management of a risk management program are an obvious advantage.
No. |
Questions to ask |
1 |
Does the organisation have staff who can help the risk management process? |
2 |
Does the organisation have systems and processes that can be used in the development of the risk management process? |
3 |
Does the organisation already have some knowledge and expertise in compliance and/or risk management? |
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