Compliance & Law

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Examination of the compliance management system

Through an external audit of the compliance management system, a company provides evidence for the public. The company can thus strengthen the credibility of its compliance management measures.

This is an external certification of compliance with and fulfillment of regulations and requirements. There are already fixed standards for the audit. These standards include audit levels. The levels build on each other.

The following are the stages through which a test passes.

Inspection Stage 1 Concept

The reviewer checks the description of the compliance management system for appropriate wording. All fundamental points of the concept should be presented equally. The information provided should be correct. That is, the documentation should be clearly and appropriately worded and not glossed over or overstated.

Inspection Stage 2 Adequacy

The audit examines the suitability of the system. In doing so, the auditor checks both the design and the implementation of the compliance management system.

Inspection Stage 3 Effectiveness

The auditor determines whether the addressees know and observe the principles. This requires that the concept is taken into account in the ongoing business processes. The concept contains the embedded principles and measures.


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