Whether your organization has recently established a Compliance function (or is currently in the process of doing so), or whether the function has been operating in the same form for an extended period, the need may arise to develop or review the related internal documentation — such as methodologies, policies, the Compliance manual, or the Code of Ethics.

This can also be done in the form of an External Quality Assessment (QA) focused on the Compliance function.
(More information on this service is available under Risk Management / Compliance Services / External Quality Assessment of the Compliance Function.)

However, a full-scope QA may not always be necessary, or a brief preliminary review might be useful in preparation for such an audit.

In either case, ABT is ready to support your organization by reviewing or preparing the required documentation in line with best practices and your organization’s specific needs.