Chapter III Compliance Chief and Compliance Department

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

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.

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

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

(d) Compliance.

Compliance Committee

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

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.

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.

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

(9) compliance trainings

General compliance issues

Policies and compliance

Legal and compliance

Who verifies compliance?

These other risk management departments shall take charge of identifying and evaluating various kinds of risks, including their own compliance risks, and reporting the related compliance risk information to the compliance department, and shall, with cooperation with the compliance department, monitor and evaluate compliance risk.

(1) To order it to increase inner compliance inspections and submit compliance inspection reports

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

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.

The compliance chief and the compliance department of an insurance company shall ensure that all important internal management systems and business procedures are in compliance.

Chapter IV Compliance Management

Compliance with peremptory norms

Good practices for compliance

Penalties for non compliance

Director, Compliance and Facilitation

Risk and Compliance Section

Risk and Compliance Section

Responding to non compliance

OzonAction Compliance Assistance Programme

Monitoring and Compliance Officer

Supervision and sanctions compliance

Transborder data flows compliance

Field of application compliance.

extent of worldwide compliance

Compliance must be strengthened.

Year 2000 compliance issue

Other non compliance cases

Review of the status of compliance with specific decisions of the Parties on non compliance

Review of the status of compliance with specific decisions of the Parties on non compliance

The Compliance Committee may examine systemic issues of general compliance of interest to all Parties where

Compliance supports the implementation of the procedures and mechanisms relating to compliance under the Kyoto Protocol.

Article 15 An insurance company shall set down rules and systems to guarantee that the compliance chief, the compliance department and the compliance posts enjoy the following rights

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

Article 27 The compliance department of an insurance company shall set up a cooperation mechanism with the human resource department, set down a compliance training plan, develop an effective compliance training and education program, and shall regularly organize compliance training courses.