AuditsCompliance-in-a-Box: The Startup Guide to Audit-Ready DocsSVSid Varma · 12 min readFor compliance and legal teams who own the code of conduct, the speak-up policy and the rules behind them. Each one approved, sent to the people it covers, and on record by person and by version.
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acknowledged version 4.2
The code sets the standard. The policies behind it each reach the people whose work they govern.
One standard for everyone, and the document every investigator, auditor and partner reads first.
How to raise a concern and how it is handled, where every employee can find it.
Gifts, hospitality and third-party payments, for the people who meet customers and agents.
What to disclose and to whom, for directors, managers and buyers.
Screening rules for the teams that sell, ship and pay across borders.
What is kept, for how long, and how it is released, in step with the law.
Wherever you operate, prosecutors, regulators and partners ask the same question: was the policy communicated, and can you show it.
US DOJ, Evaluation of Corporate Compliance Programs
Prosecutors ask how policies were communicated to all employees and relevant third parties, and whether there are language barriers to access.
UK Bribery Act 2010, s. 7
The defence to failing to prevent bribery is adequate procedures, and the guidance names communication, including training, as one of its six principles.
EU Directive 2019/1937, Articles 8 and 9
Companies with 50 or more workers set up internal reporting channels, with clear, easily accessible information on how to report.
Wherever you do business
Each country adds its own rules on bribery, reporting, privacy and records. Each gets its own supplement beside the code.
Your region’s laws, the standards your customers ask for, and your own house rules. Write each one as a policy, approve it, and send it to the people it covers.
Built for compliance officers and counsel who show an effective program to prosecutors, regulators, boards and partners.
Each person’s acknowledgment of each version, with the time and the statement.
Sales gets anti-bribery, buyers get conflicts, everyone gets the code.
Add directors as approvers. Each approval is logged with the person and the date.
Employees and other viewers are unlimited and free. You pay for the people who write.
A revised policy is approved, then everyone it covers is asked again, automatically.
Filter the record by date, person or policy and export a PDF or CSV.
Tag people by role, region and entity. Each policy reaches only the people it covers, and new hires get theirs on day one.
Show an investigator or auditor who has acknowledged which version, with the time and the statement they agreed to.
Compliance writes the policy. Legal and the board approve it, and everyone else follows it.
Add your general counsel as the first approval step. The policy waits for them.
Add the audit committee chair as a final step. Up to four steps, each with its own approvers.
Bring the head of Sales in on anti-bribery, or Finance on payments, as approvers.
Compliance edits compliance’s policies. HR, IT and Finance edit theirs, side by side in one place.
Invite third parties as external users to receive and acknowledge your code.
Invite outside counsel as an external user to draft and review with you.
Prosecutors, regulators, boards and partners ask the same thing in different words: the current policy, and proof it reached the people it covers.
Export the record as a PDF or CSV, or let them open the document directly.
Need help writing the policies? Find a consultant for your standard.
No. They read, acknowledge and sign as viewers, free of charge.
Both are available. Choose for each policy when you send it. e-sign is an add-on on the Scale plan.
The new version is approved, then sent to everyone it applies to, who are asked again.
Yes. Add them as a one-time viewer and they open that document with a one-time code.
Only when a policy changes or expires. If nothing changed at review, the date moves and no one is asked again.
Yes. Each department edits its own policies, and tags decide who reads them.
Their completed acknowledgments stay on record.
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