to establish whether the compliance procedures and
monitoring mechanisms are working well. The review should
look at whether the programme is properly resourced and
supported by senior management, if it is operating properly,
whether compliance measures are appropriate and if the desired
results are being achieved.
initial risk assessment are still valid and if the programme still
addresses those risks. The review should also look at the level
of training and whether it is effective.
independent person, who was not involved in the design and
implementation of the compliance programme. This could be
someone other than the compliance officer, perhaps another
senior manager or possibly even someone independent of the
business. This person should have access to all of the relevant
information and records of the business and should be in a
position to actively investigate the business' compliance
processes.
the compliance programme on an ongoing basis
as a management activity
effectively preventing infringements
that they are being monitored for compliance
competition law
establish whether:
are working
supported by senior management
compliance measures are appropriate, with
the required results
assessment are still valid
function
to actively investigate the business' compliance
processes