A compliance manual outlines a detailed structure of the company’s adherence to certain standards, regulations and other requirements. It provides the basic norms that a company needs to abide by for its proper legal functioning. Hence, a compliance manual template sets the guidelines for preparing such an effective manual would benefit the firm and its employees.
Sample Compliance Manual Template:
Name of the Organization: ________________________________ [mention the name of the company]
Year of Establishment: _____________________ [mention the year when it was established]
Purpose of the manual: _____________________________ [mention in a clear and concise way the purpose served by the manual]
Intended readers: ____________________________ [this section would tell who the manual applies to and their responsibilities as well]
Legislative and Regulatory requirements: [mention the legislations and the regulations the company is subject to]
- _____________________ [regulation 1]
__________________________________________ [explanation of regulation 1]
- _____________________ [regulation 2]
__________________________________________ [explanation of regulation 2]
- ______________________ [regulation 3]
__________________________________________ [explanation of regulation 3]
Compliance Monitoring: __________________________________________ [provide an overview of the compliance policy statements]
Record details: ____________________________________ [provide details of the compliance document]
- ________________ [version no.]
- _____________ [issue date]
- _________________________ [issued by]
- _________________ [Amendment – whole /partial]
Download Compliance Manual Template in Word Format