Are all regulatory documents complete and up to date?

Is there a proper system for document storage and retrieval?

Are records retained for the appropriate period as required by law?

Are confidential documents stored securely?

Are current policies and procedures documented?

Are employees trained on compliance-related policies?

Is there a review process for regularly updating policies?

Are there mechanisms in place for policy violation reporting?

Has the organization identified all applicable regulations?

Are there designated compliance officers?

Is there a regular audit conducted to ensure compliance?

Does the organization have a procedure for addressing non-compliance?

Is there a compliance training program in place?

Are employees trained upon hiring and regularly thereafter?

Is training effectiveness evaluated?

Are employees aware of how to report compliance issues?

Is there a risk management strategy in place?

Are risk assessments conducted regularly?

Is there a process for addressing identified risks?

Are risk controls monitored for effectiveness?