What Are the Three Cs of Compliance?

Effective compliance frameworks help organisations manage risk, meet regulatory duties and maintain trusted working environments. The Three Cs of compliance offer a clear structure for understanding how obligations should be communicated, monitored and acted upon. As expectations evolve across industries, many organisations now use compliance elearning to strengthen internal understanding and support consistent practice.

Communication

Communication is the foundation of any compliance strategy. It requires organisations to clearly express their commitment to meeting legal and regulatory duties, while ensuring staff understand the standards expected of them. This includes sharing policies in accessible formats, offering regular training and creating opportunities for employees to ask questions or raise concerns. Good communication also involves having reliable systems to gather evidence that processes are being followed, helping demonstrate accountability to stakeholders.

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Confirmation

Confirmation focuses on maintaining clear, accurate records that demonstrate how responsibilities are being met in practice. This may involve reviewing management reports, storing documentation of key decisions or tracking how essential tasks are completed. Strong record-keeping not only supports transparency but also helps organisations identify gaps or inconsistencies at an early stage

Correction

Correction refers to responding effectively when issues arise. Organisations must investigate incidents, record outcomes and ensure that any lessons learned inform future practice. This may include updating policies, adjusting procedures or monitoring external developments that affect regulatory obligations. Taking timely corrective action helps maintain trust and ensures compliance remains an active, evolving process rather than a static requirement.

Stephane
Stéphane is the founder of TrustedBrokers.com, a comparison service for traders. TrustedBrokers.com helps traders compare 20 Forex and CFD brokers in one place, through guides, reviews and comparison tables. These brokers include familiar names like AvaTrade, FxPro, FP Markets and eToro. Some of Stéphane’s first ventures were focussed on online dating, before pivoting towards affiliate marketing in the financial services space.