CMS-CHECKLIST

(COMPLIANCE MANAGEMENT SYSTEM CHECKLIST)

Basis (Reference)

IDW PS 980: Grundsätze ordnungsmäßiger Prüfung von Compliance Management Systemen (www.idw.de)

DIN ISO 19600: Compliance management systems (www.iso.org)

Hamburger Compliance Zertifikat

(www.hamburger-compliance-zertifikat.de)

 


Documentation CMS, communication

Communication and documentation of subsystem of CMS within insurance industry as best pratice

(http://www.gdv.de/2015/04/pruefungsergebnisse-zum-verhaltenskodex-fuer-den-vertrieb/)


Compliance culture

Executive Managers, Top Management C-Level, Supervisory Board


Critical organization, CMS cooperation

Business units, processes, legal fields, internal control system
Compliance · risk management · internal audit


Compliance mission, goals, risks

Coporate governance, principles, rules, materiality, segregation of duties, event risks, measurement, consequences


Models

Risk management system, high level structure, PDCA-cycle