Choose the regulatory compliance area or topic. Please explain why you chose that area or topic. Regulatory
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Question:
Choose the regulatory compliance area or topic. Please explain why you chose that area or topic.
- Regulatory Compliance Context and Factual Background
- Describe the relevant business and risk management context and facts about the organization or industry necessary to understand the policy that you will be drafting
- Identify the relevant statutes, regulations, or other formal or informal organizational or industry rules
- Provide any citation necessary for the board to be able to identify the relevant statute and/or rules
- Include the statute and/or rules as an Appendix to your policy statement
- Part II - Policy Statement
- Draft a policy statement that incorporates the elements discussed in the Module.
- Include relevant headings - e.g.,
- Overview and Purpose
- Definition of Terms (if appropriate)
- Supporting Documents - e.g., relevant statutes, regulations, etc.
- Scope
- Policy - with relevant sections and subsections, if applicable
Related Book For
Auditing a risk based approach to conducting a quality audit
ISBN: 978-1133939153
9th edition
Authors: Karla Johnstone, Audrey Gramling, Larry Rittenberg
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