Good practices for compliance

Penalties for non compliance

Non Compliance Procedure for the

(i) Issues of non compliance with the Convention and the reasons for non compliance

With the aim of promoting compliance and providing for early warning of potential non compliance, the facilitative branch shall be further responsible for providing advice and facilitation for compliance with

Article 18 Not only the compliance department, the compliance posts and the professional compliance personnel shall be responsible for compliance, but also each employee and each marketing staff member.

Non compliance Procedures and institutional mechanisms for determining non compliance with the provisions of the Convention and for the treatment of Parties found to be in non compliance

Responsibility for compliance with inspection reports

Compliance with a requirement for a signature

Guidelines for the Compliance Management of Insurance Companies

18.5 Mechanisms for ensuring compliance including, inter alia

Targeted sanctions are an important instrument for achieving compliance with decisions of the Security Council and for compliance with international law in general.

Chapter III Compliance Chief and Compliance Department

(3) hearing the compliance issues the compliance chief and the compliance department reports and

The compliance department or the compliance posts shall provide compliance support to the business activities done by any other department, branch office or any employee and marketing staff, and assist and direct each department or branch office to set down the post compliance manual for compliance management.

Article 3 Compliance management means that insurance companies shall prevent, identify, evaluate, report and handle compliance risks by taking measures such as establishing the compliance department or the compliance posts, setting down and carrying out compliance policies, conducting compliance monitoring and providing compliance trainings, etc.

(7) organizing compliance training, exercising the conduct norms for employees and marketing staff and providing them with compliance consultancy service

Monitoring of compliance with no dumping regulations for plastics

Compliance was inadequate for a number of valid reasons.

The responsibility for year 2000 compliance follows that delineation.

(5) taking part in developing new products and business, identifying and evaluating compliance risks and providing support for compliance related work

Article 16 An insurance company shall equip the compliance department or the compliance posts with sufficient compliance personnel.

An insurance company shall do the same for the compliance department or the compliance posts of its branch office when conditions permit.

(3) situation of the compliance chief and the compliance department

(6) the major procedures for identifying and managing compliance risk.

(7) existing major compliance risks and measures for settling them

Session Four Space Surveillance, Monitoring and Compliance for International Instruments

Non compliance with data reporting for 2003 (decision XVI 17)

The recommendation is noted for timely compliance in the future.

IMIS should also be formally tested for year 2000 compliance.

IMIS should also be formally tested for year 2000 compliance

A compliance policy, as a programmatic document for the compliance management of an insurance company, shall at least contain the contents as follows

Consideration of procedures and institutional mechanisms for determining non compliance with the provisions of the Convention and for the treatment of Parties found to be in non compliance

Consideration of procedures and institutional mechanisms for determining non compliance with the provisions of the Convention and for the treatment of Parties found to be in non compliance

(d) Compliance.

Compliance Committee

(5) examining the compliance report and other compliance documents presented by the compliance department, and signing them as approval and

All departments and branch offices shall voluntarily carry out self inspections on compliance as a routine task, report compliance risk information or potential risks to the compliance department or the compliance posts, and support and cooperate with the compliance department or the compliance posts in risk monitoring and evaluation.

(4) the framework of compliance management and routes for reporting information

Under the Solomon Act there was no room for non compliance.

Compliance is a precondition for the credibility of arms control treaties.

Under the Montreal Protocol, States parties in non compliance are requested to provide an explanation for non compliance, as well as a plan of action with time specific benchmarks to ensure a prompt return to compliance.

(d) Statement on the determination of non compliance Declaration on non compliance

(9) compliance trainings

General compliance issues