Compliance & Audit
Includes regulatory compliance discussions, audit preparation meetings, compliance training sessions, regulatory reporting communications, audit finding reviews, and compliance monitoring consultations.
包括法规合规讨论、审计准备会议、合规培训会议、监管报告沟通、审计发现审查以及合规监控咨询。
情境
选择 6 个对话s 进行练习
Regulatory Compliance Discussion: New Data Protection Law
A team meeting discussing the implications of a newly enacted data protection regulation on current business operations and identifying necessary changes to ensure compliance.
一次团队会议，讨论新颁布的数据保护法规对当前业务运营的影响，并确定为确保合规性所需的更改。
Audit Preparation Meeting: Annual Financial Audit
Key department heads and the finance team meet to review documents, processes, and potential areas of scrutiny in preparation for an upcoming annual financial audit.
主要部门负责人和财务团队开会，审查文件、流程和可能需要严格审查的领域，为即将到来的年度财务审计做准备。
New Hire Compliance Training Session
New employees attend a mandatory training session covering company compliance policies, ethical guidelines, and regulatory requirements relevant to their roles.
新员工参加强制性培训课程，内容涵盖公司合规政策、道德准则以及与其角色相关的监管要求。
Regulatory Reporting Communication: Quarterly SEC Filing
The legal and finance teams communicate internally about the progress and finalization of a quarterly filing to the Securities and Exchange Commission (SEC), addressing any last-minute questions or discrepancies.
法律和财务团队内部沟通关于提交给美国证券交易委员会 (SEC) 的季度备案的进展和最终确定，解决任何最后一分钟的问题或差异。
Audit Finding Review & Action Plan Discussion
Management reviews initial findings from an internal or external audit, discusses potential risks, and outlines an action plan to address identified non-compliance issues or weaknesses.
管理层审查内部或外部审计的初步发现，讨论潜在风险，并制定行动计划以解决已识别的不合规问题或弱点。
Compliance Monitoring Consultation: AML Framework Update
A compliance officer consults with a business unit leader to discuss updates to the Anti-Money Laundering (AML) framework and how these changes will be monitored and enforced within their operations.
合规官与业务部门负责人协商，讨论反洗钱 (AML) 框架的更新以及这些变化将如何在其运营中进行监控和执行。