ST0463DOJDOJ

ST0463

Effectiveness of the Reporting Mechanism – Has the compliance function had full access to reporting and investigative information?

Source text

As written.

Effectiveness of the Reporting Mechanism – Has the compliance function had full access to reporting and investigative information?

Change history

Present in the original catalog

This standard has not changed since it was added.

Assessed by HEXDI

M2
3 — PROGRAM SETUP AND ADMINISTRATION
Senior Management, with the assistance of legal counsel and/or compliance personnel, takes responsibility for determining the significance…
M2
5 — PROGRAM SETUP AND ADMINISTRATION
Risk analysis and identification considers customer base, countries of exports/import activities, and product lines.
M2
7 — PROGRAM SETUP AND ADMINISTRATION
Risk analysis and identification considers findings from audits, evaluations, and other assessments and history of compliance problems.
M11
2 — AUDITS AND ASSESSMENTS
Program has procedures for promptly communicating audit results to relevant management personnel, employees responsible for key compliance…
M11
3 — AUDITS AND ASSESSMENTS
Program has procedures for promptly communicating audit results to Senior Management.
M11
5 — AUDITS AND ASSESSMENTS
Program requires review of audit results by Export/Import Compliance Council (or equivalent) to determine appropriate corrective actions,…

Source & revisions