COMPLIANCE AUDIT

A Compliance Audit evaluates whether an organization adheres to applicable laws, regulations, internal policies, or contract terms. This audit helps ensure operational activities are conducted within defined legal and regulatory frameworks.

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PURPOSE AND SCOPE

This audit focuses on specific requirements set by regulators, governing bodies, or internal management. It may cover tax compliance, industry regulations, grant conditions, or internal SOPs.

Purpose and Scope KAP Angelina

KEY CHARACTERISTIC

Criteria-driven

Criteria-Driven

Criteria-driven and regulation-specific

Ad Ho Friendly

Ad Hoc Friendly

May be recurring or ad hoc

Internal & Internal Focus

Internal or External

Can be internal or external in focus

BENEFITS

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Ensures legal and regulatory compliance

Minimizes exposure to penalties or sanctions

Improves risk management & internal controls

Builds trust with regulators and partners