The Compliance Audit

Offering “The Compliance Department Audit” exclusively for Direct Selling Companies

Over the years, we have seen many Direct Selling companies fall under the scrutiny of regulators.  Do you wonder how your company would hold up under the microscope of the regulators? Now you can find out.  Considering recent regulatory investigations, we repeatedly find that there are similar specifications that the regulators ask for during an investigation.  Direct Selling Solutions now offers The Compliance Department Audit, a comprehensive service that reviews your preparedness in case of a regulatory investigation.

The Audit Includes…

  • A comprehensive review of your Compliance Department with recommendations for improvement.
  • A full Audit of your Compliance Department’s current record keeping techniques such as incident tracking, monthly reporting, and repeat violators.
  • Examination of the process to retrieve required data in a timely manner.
  • Structuring of simple storage processes in proper EXCEL logs for easy retrieval.
  • Discussion with the legal team on the information required, when needed, and how to deliver it as desired.
  • Preferred formatting requirements for your legal team to manage the data easily.
  • Understanding which issues are relevant and may be shared verses ones not necessary to share.
  • Develop a Action Plan in case of a regulatory investigation.
  • Create positive content for Social Media for SEO during an investigation.
  • Establish SOPs for company staff on what to do first when there is a regulatory injury or investigation.

For a full evaluation including recommendations for improvement call Donna Marie3

Includes one on-site visit, all expenses are the responsibility of the company.

 

“Once an emergency presents, it is too late for preparedness!” – Donna Marie Serritella