05-03-2021 Post TAMARA CONTRERAS

Currently certificable compliance standards

Compliance certification is one of the most attractive aspects of implementing these systems because of its many benefits. Currently, the compliance standards that can be certified are:

UNE 19601:2017: Criminal Compliance Management Systems

This is a nationally certifiable standard, in which the National Accreditation Body has awarded “Bureau Veritas” the first accreditation for the certification of criminal compliance management systems.

Its general guidelines are:

– Identify compliance obligations and the commitment of the organisation.

– To have commitment and leadership from top management,

– Have the necessary resources to implement the Compliance Management System.

– Establish controls and procedures to manage all Compliance obligations and identify them,

– Monitor the Compliance system and performance,

– Make improvements and manage non-conformities.

UNE ISO 37001:2016: Anti-Bribery Management Systems

This is an international standard recognised in practically all countries, accredited by UKAS, and currently with 10 accreditation sectors.

This system, specifies the requirements and provides guidance for establishing, implementing, maintaining, reviewing and improving an anti-bribery management system, and its purpose is to establish a culture of integrity, transparency, honesty and compliance and to combat bribery and corruption worldwide.

Its main benefits are:

– Implementation of the Anti-Bribery Management System or improvement of the present policy.

– Implementation of the Anti-Bribery Management System to its owners, investors, customers and other business partners, demonstrating that the company has implemented international anti-bribery controls.

– In the event of an investigation, it provides evidence to prosecutors and courts that the company has used the necessary procedures to try to prevent bribery.

UNE 19602:2019: Tax Compliance Management Systems

This is a certifiable standard without accreditation at national level which:

– Provides guidelines for organisations to implement a compliance system that minimises their tax risks.

– Facilitates the creation of detection and correction mechanisms, as well as learning canons to avoid them in the future.

– Establishes financial and non-financial controls over tax processes or even over other entities.

– Guarantees the indemnity of informants and the establishment of communication or complaint channels for non-compliance or suspicions.

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