Marc Sollberger
Head of Performance Advisory, Zurich - Partner
Many companies are choosing to seek external assurance on the effectiveness of their compliance management systems (CMS) by having their CMS assessed and certified. The Swiss Assurance Standard “Principles for Assurance Engagements Relating to Compliance Management Systems” (AS 980) provides the basis for auditing the effectiveness of the CMS. If your CMS is not (yet) mature enough for an effectiveness audit, an assurance report on the appropriateness of the CMS can be issued in accordance with AS 980 (appropriateness audit), providing an objective assessment of the design and implementation of your CMS. We also identify weaknesses and issue recommendations on where you should make improvements to optimise your CMS in a targeted way.
Benefits for you
- Increased trust in your organisation
- Potential compliance defence for the board of directors and the organisation as a whole
- Opportunity to take stock of your systematic compliance management
- Stronger internal and external awareness of your compliance efforts
- Clear signal to the market that you are serious about compliance
- Compliance audit tailored to your needs
- Audit focus areas defined individually (leeway in defining scope)
Our services
As your auditor
- Verify and issue an opinion on the effectiveness of your compliance management system (effectiveness audit)
- Verify and issue an opinion on the appropriateness of your compliance management system (appropriateness audit)
As your adviser
- Support for your company during an audit performed by a third party
- Support in developing CMS principles or developing a compliance programme
- Project management office for effectiveness audits
Contact us
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