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
v): Internal alert process
vi): Accounting audit procedures
vii): Disciplinary system
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
63. Control of evaluation procedure
1 minute de lecture
The audit of first-level third-party assessment procedures covers the application of these procedures. This may involve checking, prior to entering into a relationship with a new supplier, that all the documents required by the procedure, such as the list of beneficial owners or the answers to any questionnaires, have been collected, that the necessary searches have been carried out in open source …