Compliance Risk Assessment Questionnaire Template for Malaysia

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Key Requirements PROMPT example:

Compliance Risk Assessment Questionnaire

"I need a Compliance Risk Assessment Questionnaire for a Malaysian financial services company with operations in Singapore and Indonesia, focusing heavily on anti-money laundering and cross-border transaction compliance, to be implemented by March 2025."

Document background

The Compliance Risk Assessment Questionnaire serves as a critical tool for organizations operating in Malaysia to evaluate their compliance with local regulations and international standards. It is typically used during annual compliance reviews, due diligence processes, or when implementing new compliance programs. The questionnaire addresses key areas of regulatory concern including anti-corruption (MACC Act 2009), anti-money laundering (AMLA 2001), data protection (PDPA 2010), and corporate governance requirements. It helps organizations identify potential compliance gaps, assess risk exposure, and evaluate the effectiveness of existing controls. The document is structured to accommodate various business sizes and sectors, with additional modules available for industry-specific requirements. Regular completion of this assessment helps organizations maintain regulatory compliance and demonstrate due diligence to stakeholders and regulatory authorities.

Suggested Sections

1. Company Information: Basic details about the organization including legal name, registration number, industry sector, and key contacts

2. Governance Structure: Information about board composition, reporting lines, and compliance oversight responsibilities

3. Anti-Corruption Controls: Questions regarding anti-corruption policies, procedures, and controls in line with MACC Act requirements

4. Anti-Money Laundering Compliance: Assessment of AML/CTF controls and reporting mechanisms

5. Data Protection and Privacy: Evaluation of compliance with PDPA and data protection requirements

6. Risk Management Framework: Assessment of overall risk management approach and controls

7. Training and Awareness: Information about compliance training programs and awareness initiatives

8. Internal Controls and Monitoring: Details of internal control systems and monitoring mechanisms

9. Incident Reporting and Whistleblowing: Assessment of incident reporting procedures and whistleblower protection measures

10. Documentation and Record Keeping: Evaluation of documentation practices and record retention policies

Optional Sections

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

2. International Compliance: For organizations with international operations or subject to foreign regulations

3. Environmental Compliance: For organizations with significant environmental impact or subject to environmental regulations

4. Health and Safety Compliance: For organizations with physical operations or manufacturing facilities

5. Supply Chain Due Diligence: For organizations with complex supply chains or significant third-party relationships

6. Technology and Cybersecurity: For organizations handling sensitive data or with significant digital operations

Suggested Schedules

1. Risk Rating Matrix: Framework for scoring and evaluating identified risks

2. Documentation Checklist: List of required supporting documents to be submitted with the questionnaire

3. Regulatory References: List of relevant laws, regulations, and guidelines referenced in the questionnaire

4. Glossary of Terms: Definitions of technical terms and regulatory concepts used in the questionnaire

5. Response Guidelines: Instructions and guidance for completing the questionnaire

6. Control Assessment Framework: Criteria for evaluating the effectiveness of compliance controls

Authors

Alex Denne

Head of Growth (Open Source Law) @ Genie AI | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co

Relevant legal definitions

Clauses

Relevant Industries

Financial Services

Healthcare

Manufacturing

Technology

Retail

Energy

Transportation

Construction

Telecommunications

Professional Services

Education

Hospitality

Real Estate

Mining

Agriculture

Relevant Teams

Compliance

Legal

Internal Audit

Risk Management

Corporate Governance

Regulatory Affairs

Ethics & Integrity

Data Protection

Operations

Executive Management

Board Secretariat

Relevant Roles

Chief Compliance Officer

Risk Manager

Compliance Manager

Legal Counsel

Internal Audit Manager

Chief Risk Officer

Regulatory Affairs Director

Corporate Governance Officer

Ethics Officer

Data Protection Officer

AML Compliance Officer

Head of Legal

Board Secretary

Chief Executive Officer

Operations Director

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