Compliance Manual Template

June 23, 2011

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

Incoming Sample Templates:

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