Question
COMPLIANCE RESEARCH REPORT Operational Areas Operational Areas Evaluation Legal Areas Legal Risk Legislation Source of Information Source of Advice Legislative Requirements Compliance Risk Information about
COMPLIANCE RESEARCH REPORT
Operational Areas
Operational Areas
Evaluation
Legal Areas
Legal Risk
Legislation
Source of Information
Source of Advice
Legislative Requirements
Compliance Risk
Information about Non-Compliance
Law:
Relevant Requirements:
Penalty:
Regulation:
Acceptable Record-Keeping Mechanisms:
Consequence:
Code:
Law:
Relevant Requirements:
Penalty:
Regulation:
Acceptable Record-Keeping Mechanisms:
Consequence:
Code:
Compliance Need
Legislation
Source of Information
Source of Advice
Legislative Requirements
Compliance Risk
Information about Non-Compliance
Law:
Relevant Requirements:
Penalty:
Regulation:
Acceptable Record-Keeping Mechanisms:
Consequence:
Code:
Law:
Relevant Requirements:
Penalty:
Regulation:
Acceptable Record-Keeping Mechanisms:
Consequence:
Code:
Licensing Requirements
BusinessLicence
Source of Information
OccupationalLicence
Source of Information
Specialist Advice
Legal Area Where Specialist Advice is Needed
Specialist to Consult
Advice Gathered from Specialist
COMPLIANCE RESEARCH REPORT | |
Operational Areas | |
Operational Areas | Evaluation |
Legal Areas | ||||||
Legal Risk | Legislation | Source of Information | Source of Advice | Legislative Requirements | Compliance Risk | Information about Non-Compliance |
| Law: | Relevant Requirements: | Penalty: | ||||
| Regulation: | Acceptable Record-Keeping Mechanisms: | Consequence: | ||||
| Code: | ||||||
| Law: | Relevant Requirements: | Penalty: | ||||
| Regulation: | Acceptable Record-Keeping Mechanisms: | Consequence: | ||||
| Code: |
Compliance Need | Legislation | Source of Information | Source of Advice | Legislative Requirements | Compliance Risk | Information about Non-Compliance |
| Law: | Relevant Requirements: | Penalty: | ||||
| Regulation: | Acceptable Record-Keeping Mechanisms: | Consequence: | ||||
| Code: | ||||||
| Law: | Relevant Requirements: | Penalty: | ||||
| Regulation: | Acceptable Record-Keeping Mechanisms: | Consequence: | ||||
| Code: |
Licensing Requirements | |
BusinessLicence | Source of Information |
OccupationalLicence | Source of Information |
Specialist Advice | |
Legal Area Where Specialist Advice is Needed | |
Specialist to Consult | |
Advice Gathered from Specialist |
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Auditing Cases An Active Learning Approach
Authors: Mark S. Beasley, Frank A. Buckless, Steven M. Glover, Douglas F. Prawitt
2nd Edition
0130674842, 978-0130674845
