Compliance
Auteur : Louis Vogel
Sommaire de l’ouvrage
Introduction
Chapter 1: Scope of application
Section 1: First pillar: commitment from the governing body
Section 2: Second pillar: risk mapping
I: Risk prevention
A: Internal whistleblowing procedure
1°: Audit procedures
a): Content
i): Risk mapping
ii): Code of conduct
iii): Training scheme
iv): Third-party audit procedures
v): Internal alert process
vi): Accounting audit procedures
III: Remediation
Chapter 3: Protection of whistleblowers
Chapter 4: Audit and sanctions
Title 2: Rules derived from competition law
Part 2: Duty of vigilance (devoir de vigilance)
Part 3: Corporate Social Responsability (CSR)
Part 4: Private codes of conduct
66. Control and audit of disciplinary system
1 minute de lecture
The first-level audit of the disciplinary system can only be carried out once sanctions have been imposed.
For each incident, the second-level audit covers the sanction imposed, as well as the match between the incident and the sanction.
The third level of audit assesses the correct implementation and effectiveness of the second-level audits, and analyzes the systemic nature of the system. In part …