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Compliance Management Solutions
Do you need an upgrade on corporate governance?
Nowadays, a company may suffer as a result of its failure to comply with relevant laws, regulations, principles and rules, standards and codes of conduct applicable to its activities, in letter and in spirit.
So what should we do to prevent the suffering? Embedding compliance into both strategy and everyday operations begins with effectively establishing the tone at the top, assessing compliance and ethical risks in collaboration with other risk functions and building the governance and oversight structure that provides a high level of confidence over regulatory matters. These are the fundamental starting point, during which, you may encounter below problems:
- How to set the tone at the top consistent with your risk appetite and business practice?
- How to define roles and responsibilities of various functions?
- How to establish compliance KPI measurement mechanism and evaluate employee KPI?
- How to conduct effective compliance, integrity management and monitoring during the business cooperation and identify potential compliance risks?
- How to monitor the various business units’ compliance activities?
How we can help
At PwC, we can help you by:
- Providing a complete compliance assessment based on PwC’s long-proven framework and risk assessment methodology.
- Providing a process improvement advisory in response to the compliance assessment results.
- Executing compliance audit and gap analysis to find out major gaps in organization.
- Sharing insight in recommendations for identified gaps and assisting to re-design and implement policies for key processes.
- Developing compliance framework to ensure your controls work to support local governance and reporting needs.
- Delivering compliance training to management and staff to effectively raise people’s awareness of compliance.
- Providing an assessment on the design and use of Internal Capital Adequacy Assessment Process (ICAAP) to ensure it is at par with the minimum regulatory capital requirements.
- Providing an assessment on your design and use of Internal Capital Adequacy Assessment Process (ICAAP) to ensure compliance to the minimum regulatory capital requirements.
Why are we qualified to help
PwC partnered with a leading commercial bank in the Philippines in performing independent compliance testing for several processes including the treasury, institutional banking and risk management to ensure abidance with the relevant and existing laws and regulations in the country.
PwC is engaged by a foreign commercial bank to provide an independent assessment of their Internal Capital Adequacy Assessment Process.
Research and insights
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