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Sample Compliance Policies
Answer by: Richard Insley, BOL Guru

Question: I am preparing a Compliance Policy Draft to establish a compliance department for a bank. I managed to find some information on this from the Internet, but there are still lots of missing parts.

It would be great if you can help me with any sample policy or drafts about compliance dept. or compliance program in terms of:

-Definition of the Compliance Risk
-Responsibility for compliance
-The role and scope of Compliance Function
-The role of Global Compliance Officer
-The content of compliance program
-Staffing any Other related Information

Answer: All available resources of this type will be posted in the "Bankers Tools" section.

First published on 8/05/02

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