HOPEX Regulatory Compliance : Testing Requirements
   
Testing Requirements
 
Preparing Compliance Tests
Creating Compliance Plans
Planning Compliance Tests
Preparing Compliance Tests
Consulting the Work Program
Assessing Requirements
Managing Time and Expenses
Managing Findings and Recommendations
Supervising Tests
Concluding Tests
Test Follow-Up
Implementing Recommendations
Test Plans Follow-Up
Reports and Dashboard
Compliance controllers must carry out compliance tests to ensure that non-compliance risks are effectively controlled. The purpose of these tests is to assess requirements to measure their effectiveness and execution. HOPEX Compliance allows compliance controllers to:
• execute compliance testing on site: see "Executing Tests".
• assess requirements via questionnaires to assess their impact in terms of risks: see "Assessing Requirements".
• propose recommendations: see "Test Follow-Up"
The conclusions of compliance testing enable determination of whether compliance standards are implemented consistently within the different entities, subsidiaries and departments of the enterprise.
The regulatory compliance assessment process progresses in three main phases: