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.