| № |
The compliance-control instrument |
Characteristics of the compliance-control instrument |
| 1 |
Additional coordination of dealings with increased compliance risk. |
The conclusion of notarized additional agreements to contracts on issues concerning the rights and the obligations of the parties in questions regulated by Federal Laws N 115-FZ dated 07.08.2001, №135-FZ dated 26.07.2006, № 273-FZ dated 25.12.2008. |
| 2 |
Check of contractors before establishing the civil law relations. |
Identification of potentially unreliable and doubtful contractors by checking the list of organizations and natural persons published in open access, which contains data on their involvement in extremist activity or terrorism. |
| 3 |
Check of candidates for employment and current employees. |
Identification of undesirable employees against which there is data concerning violation of the legislative framework, considered in paragraph 1. |
| 4 |
The hot line on compliance issues. |
Allocation of the anonymous telephone line for specialists in compliance issues for reception of data on violations of regulatory legal acts and/or contracts. |
| 5 |
Detailed account of transactions with compliance risk. |
Ensuring timely and accurate account of operations with increased risks and formation of the reserve for possible losses. |
| 6 |
Carrying out internal official investigations, implementation of the disciplinary penalty system to current employees. |
Creation of special commissions or detailed compliance departments on identification and restraint of violations of the economic subject regarding regulatory legal acts and/or contracts. |
| 7 |
Sanctions against contractors for unconscientious attitude to compliance issues. |
Implementation of the mechanism of additional coordination of dealings allows minimizing the risk of emergence of negative consequences for organization and performance of contracts due to a possibility of application of sanctions. |
| 8 |
Implementation of the internal control system in the organization. |
It implies drawing up documentation in relation to the control environment of the economic subject, business processes and risks. |
