Imogen
Regulatory and Legal Knowledge Quiz
Test your knowledge on important regulatory, corporate governance, and legal aspects relevant to our organization. This quiz will help you gauge your understanding and identify areas for improvement.
- Assess your awareness of data protection and compliance.
- Understand your familiarity with corporate governance policies.
- Evaluate your satisfaction with legal services and support.
Regulatory: 1. Do you feel you know about data protection and other regulatory requirements to raise matters with the Legal team when you come across them (for example, transferring data from one jurisdiction to another or embedding a financial instrument into a physical sales contract)?
Yes
Could know more
No
Regulatory: 2. Do you feel you know enough about sanctions relevant to our group to raise matters with the Legal team when you come across them?
Yes
Could know more
No
Regulatory: 3. Would you know where to look to find our anti-bribery and corruption policy and gifts and entertainment policy?
Yes
Yes but it is not obvious enough
No
Regulatory: 4: Are you aware of our whistleblowing/grievance policy?
Yes
Could know more
No
Regulatory: 5. How important to you is screening our counterparties for credit risk, KYC and sanction control?
Very important
I can see several benefits
It sounds like unnecessary work
Unimportant
Regulatory: 6. Do you think the Group would tolerate a dedicated compliance function?
Yes
Perhaps if not passed on to the profit centres
No
Corporate Governance: 1. How transparent, consistent and well communicated do you think ECOM's signing and digital signature policies are?
I have not heard of any
Very clear
Badly communicated
Corporate Governance: 2. Do you think tighter controls are needed to set up companies/make changes to legal structure?
Yes
No
Corporate Governance: 3. How practical would it be to measure a PCs performance by its adherence to our coprorate governance standards?
Impractical
Unlikely to be enforced
Should form part of bonus assessment
Legal function: 1. How satisfied are you / your teams with the service provided by the Legal team?
Very satisfied
Satisfied
Neutral
Would be happier if response time was improved
Unsatisfied
Very unsatisfied
Legal function: 2. Should Legal aim to be a cost saver from an internalisation of work perspective or play more of a risk mitigation role?
Cost saver
Risk mitigator
Both
Legal function: 3. Would you benefit from a Legal Playbook to understand what is appropriate for the Legal team to deal with in terms of internal work vs outsourcing?
Yes
No
Legal function: 4. How useful would a Legal Templates portal on ECOM-Net be to you, containing templates such as NDAs, intergroup service contracts and entity change forms?
Very useful
Of limited use
Not useful
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