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Week 1 Memo

In: Computers and Technology

Submitted By armywife1088
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Compliance System Training
The Compliance System is going to be based on the leadership and firm commitment from the Board of Directors, along with the management team to the highest ethical and compliance standards. It will also include the vision and values set out in the Code of Ethics. The Compliance System will be structured from the following elements: risk management, establishing training and communication plans focusing on the areas on compliance and ethical conduct, and lastly, developing policies and procedures.

MEMORANDUM
TO: All Managers
FROM: Corporate Office
DATE: July 18, 2015
SUBJECT: Compliance System Training
CC: Board of Directors

Description: The System will be structured around the following elements:
Risk Management: This process will include identifying, analyzing, and responding to risks factors throughout the entire project and the best interest of the objectives. The company wants to ensure proper risk management that will help control the possibility of future events.
Establishing Training and Communication Plans: Training and communication for this project is extremely important. It will take everyone’s effort to come up with a training plan for when the Compliance System becomes available and communication with the user’s to determine if there are any issues that arise. The manager’s will come for a two-day training and are encouraged to ask any questions or concerns. Everyone attending the two-day training must grasp the concept of the Compliance System.
Developing Policies and Procedures: We will be developing policies and procedures with the Compliance System. There will be guidelines on who is to use the new system, when he/she will be trained on the new system, and the proper procedures to follow. Everyone will have their own access...

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