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Risk and compliance management matrix

With the help of CCAS, compilation of this matrix can assist the compliance manager not only to identify the regulatory risks to the organisation but also to develop a tailored compliance system to manage these risks.  Included in the compliance system will be:

  • behavioural mechanisms;
  • appropriate procedures;
  • Monitoring and review processes.

Root Cause Analysis

Root Cause Analysis is structured logic tree process to find errors in decision making that are based on flawed organizational systems or latent roots. It goes beyond the human cause and identifies the process, system, latent or organizational causes. By eliminating these root causes the probability of recurrence can be significantly reduced or eliminated. Problems are typically the result of multiple causes, rather than a single one. RCA can be used:

  • for complaint reduction through defect prevention, particularly where there are significant systemic complaints and/or may have or have had a major impact on your organisation ;
  • when a regulator raises concerns with you so you can address their concerns on a sustainable basis.

Due diligence compliance management system

Based on opinions from a number of leading sources, CCAS has developed a compliance management system which, when implemented, should not only minimise the risk of a regulatory breach occurring but also better able to demonstrate that your system meets due diligence standards.

 

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