The Compliance Risk Assessment Questionnaire serves as a critical tool for organizations operating in Indonesia to evaluate their compliance with local regulatory requirements and identify potential risks. This document should be used periodically (typically annually or bi-annually) or when significant organizational or regulatory changes occur. It encompasses questions across various compliance domains including corporate governance, anti-corruption measures, data protection, financial controls, and environmental compliance, all specifically aligned with Indonesian regulatory frameworks. The questionnaire helps organizations maintain compliance with Indonesian laws while providing a structured approach to risk identification and management. It is particularly valuable for organizations subject to oversight by Indonesian regulatory bodies such as OJK (Financial Services Authority) and other government agencies.
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1. Company Information: Basic details about the organization including legal name, registration number, address, key contacts, and organizational structure
2. Risk Assessment Overview: Introduction to the assessment process, its purpose, and how to complete the questionnaire
3. Corporate Governance: Questions regarding board structure, internal controls, policies, and decision-making processes
4. Regulatory Compliance: Assessment of compliance with key Indonesian regulations and licensing requirements
5. Anti-Corruption and Ethics: Evaluation of anti-bribery, corruption prevention, and ethical business practice measures
6. Data Protection and Privacy: Assessment of compliance with Indonesian data protection laws and privacy regulations
7. Financial Controls: Questions about financial reporting, audit procedures, and anti-money laundering measures
8. Employment Practices: Evaluation of labor law compliance, workplace safety, and employee rights
9. Environmental Compliance: Assessment of environmental protection measures and compliance with environmental regulations
10. Risk Rating Matrix: Framework for scoring and evaluating identified risks
11. Action Items and Remediation: Section for documenting required improvements and corrective actions
1. Industry-Specific Regulations: Additional questions for specific industries (e.g., financial services, manufacturing, mining) subject to special regulations
2. International Compliance: For companies with international operations or subject to foreign regulations
3. Supply Chain Due Diligence: For companies with significant supply chain operations or those subject to supply chain regulations
4. Technology and Cybersecurity: Detailed IT compliance assessment for technology-dependent organizations
5. Export Control Compliance: For companies engaged in international trade or subject to export restrictions
6. Healthcare Compliance: Specific section for healthcare organizations or companies handling medical data
1. Risk Assessment Scoring Guide: Detailed criteria and methodology for scoring compliance risks
2. Required Documentation Checklist: List of supporting documents that need to be provided with the questionnaire
3. Regulatory Framework Reference: Summary of key Indonesian regulations and compliance requirements
4. Risk Matrix Template: Template for mapping and categorizing identified risks
5. Compliance Calendar: Timeline of key compliance deadlines and reporting requirements
6. Previous Assessment Results: Historical compliance assessment data and progress tracking
7. Action Plan Template: Framework for documenting and tracking remediation actions
Authors
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Insurance
Manufacturing
Mining and Natural Resources
Healthcare
Technology
Telecommunications
Retail and Consumer Goods
Energy
Transportation and Logistics
Pharmaceuticals
Construction
Agriculture
Education
Relevant Teams
Legal
Compliance
Risk Management
Internal Audit
Finance
Operations
Human Resources
Information Technology
Environmental Health and Safety
Corporate Governance
Regulatory Affairs
Data Protection
Relevant Roles
Chief Compliance Officer
Risk Manager
Legal Counsel
Compliance Manager
Internal Auditor
Chief Risk Officer
Regulatory Affairs Director
Corporate Secretary
Chief Legal Officer
Chief Financial Officer
Operations Director
Chief Executive Officer
Data Protection Officer
Head of Internal Control
Environmental Compliance Manager
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