CRA Compliance Policy and Governance Model
Amendments Record
All changes to this document shall be recorded in the below table.
Date | Author | Version | Change Reference |
12-05-2019 | Ahmad Sultan | Version 1 | Final |
1 - Introduction
1.1 - Purpose and scope of this document
This document sets out:
the CRA’s objectives, policies, and approach to compliance monitoring;
an overview of the CRA’s Compliance Framework;
the roles and responsibilities of different Departments/Units in carrying out work to ensure compliance;
the compliance governance model and the role of the Compliance Committee; and
the resources and tools available to CRA staff when they carry out compliance work.
This Compliance Policy is for CRA internal use only.
The Compliance Framework consists of:
this Compliance Policy;
the compliance processes and procedures;
the List of Regulatory Instruments (LRI) and the database of all regulatory instruments/documents (RI Database);
the list of Service Providers*[1] obligations;
the list of CRA obligations; and
the related tools and templates.
All these documents are available to all CRA staff in the folder “Compliance Framework” on the common share drive \undefined0.2.56.35\regpolicies_public. The LRI and RI Database are available in this folder on the share drive: \undefined0.2.56.35\RegPolicies_public\RI.