Compliance Risk Assessment Questionnaire

Compliance Risk Assessment Questionnaire Template for Denmark

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Document background

The Compliance Risk Assessment Questionnaire is designed to help organizations operating under Danish jurisdiction evaluate their compliance with various regulatory requirements and identify potential risks in their operations. This document becomes necessary when organizations need to conduct periodic compliance reviews, prepare for regulatory audits, or assess their risk exposure in response to regulatory changes. The questionnaire covers various aspects of compliance, including but not limited to data protection under the Danish Data Protection Act, financial compliance under the Danish Financial Business Act, and general corporate governance requirements under the Danish Companies Act. It helps organizations maintain compliance with both Danish and EU regulations while providing a structured approach to risk assessment and mitigation planning. The document is particularly valuable for organizations seeking to demonstrate due diligence in their compliance efforts and for those implementing or updating their compliance programs.

Suggested Sections

1. Introduction and Purpose: Overview of the questionnaire's purpose, scope, and how to complete it

2. Company Information: Basic details about the organization being assessed, including size, industry, and operational scope

3. Risk Assessment Methodology: Explanation of the risk scoring system and assessment approach

4. General Compliance Framework: Questions about overall compliance management system, policies, and procedures

5. Data Protection and Privacy: Assessment of GDPR compliance and data protection measures

6. Financial Compliance: Questions regarding financial controls, anti-money laundering, and accounting practices

7. Corporate Governance: Assessment of governance structure, board oversight, and internal controls

8. Operational Compliance: Evaluation of day-to-day operational compliance with relevant regulations

9. Employee Training and Awareness: Assessment of compliance training programs and staff awareness

10. Incident Reporting and Management: Evaluation of processes for handling compliance incidents and breaches

11. Risk Assessment Summary: Overall risk scoring and evaluation of findings

12. Action Plan: Recommended actions to address identified compliance gaps

Optional Sections

1. Industry-Specific Regulations: Additional questions for specific sectors (e.g., financial services, healthcare)

2. Environmental Compliance: For organizations with significant environmental impact or requirements

3. Export Control Compliance: For organizations engaged in international trade

4. Health and Safety Compliance: For organizations with specific workplace safety requirements

5. Third-Party Risk Management: For organizations with significant vendor/supplier relationships

6. IT Security Compliance: Detailed assessment of IT security measures and cyber risk management

7. Product Compliance: For organizations manufacturing or distributing products

8. Research and Development Compliance: For organizations conducting R&D activities

Suggested Schedules

1. Risk Assessment Matrix: Detailed scoring criteria and risk evaluation framework

2. Compliance Document Checklist: List of required policies, procedures, and documentation to be reviewed

3. Regulatory Requirements Reference: Summary of applicable laws and regulations

4. Previous Assessment Results: Historical compliance assessment data and progress tracking

5. Interview Guidelines: Guidance for conducting compliance interviews with key stakeholders

6. Evidence Requirements: List of required supporting documentation and evidence

7. Scoring Methodology: Detailed explanation of risk scoring calculations and thresholds

8. Action Plan Template: Template for documenting and tracking remediation activities

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