Key Policies

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Code of conduct

Chartered Accountants Australia and New Zealand has a formal Code of Conduct for directors and members of the governance bodies. The Code of Conduct for our Board and Board Sub-Committees sets out expectations that apply to each director and member of the governance bodies regarding professional ethics and behaviour.

Complaints

We are committed to providing an outstanding experience to our members and other interested parties. We welcome feedback of any type, so we can improve the value we offer and the products and service we deliver. We want to ensure all feedback about our services is managed with transparency and fairness.

Diversity and inclusion

We recognise that a diverse and inclusive workforce contributes to better outcomes for our people and members.

During the year we updated a number of key policies, including Parental Leave, and general leave policies including Domestic Violence Leave Policy. We have also updated our Diversity and Inclusion Policy and Preventing Discrimination, Harassment and Bullying Policy within our workplace to support our commitment to diversity.

We have committed to and commenced a Diversity and Inclusion audit, and encourage participation in groups within our workplace through initiatives such as our Wellington Development Circle.

We continue to report under the Australian Workplace Gender Equality Act 2012 (Cth).

Privacy policy

The CA ANZ Group take privacy and data security seriously in all of the jurisdictionsin which it operates. We are committed to safeguarding the personal information of individuals and fostering a corporate culture that values privacy and data security.

We deal with personal information in accordance with the Privacy Act 1988 (Cth), the Privacy Act 1993 (NZ), the Australian Privacy Principles and the New Zealand Information Privacy Principles as well as the General Data Protection Regulation 2016/679 (GDPR) (which we must comply with to the extent that we handle personal information of members or potential members in Europe). We also comply with the Spam Act 2003 (Cth) in Australia and the Unsolicited Electronic Messages Act 2007 (NZ) in New Zealand and the Privacy and Electronic Communications Regulations (PECR) which sit alongside GDPR and all other data security legislation that applies in the jurisdictions in which we operate. These laws and regulations give people specific privacy rights in relation to electronic communications and impose restrictions on sending commercial electronic messages.

We completed our annual review of CA ANZ’s Global Privacy Manual which includes our external Privacy Policy and a range of internal policies including data security incident reporting, acceptable use of technology and employee information handling. The revised Manual was released to all staff on 23 July 2019 and an updated Privacy Policy has been published on our website [our link] since that time. It sets out our governance framework for managing privacy and data protection risks as well as and processes and tools for delivering a consistent approach to issues (including responding to data breaches). Our Privacy Officer responds to enquiries, complaints and requests for access to personal information as they arise.

Risk management

We are committed to creating and maintaining an organisation-wide best practice approach to risk management through the implementation of an Enterprise Risk Management Framework. This holistic approach to enterprise risk is maintained through framework documents that include a risk management policy and a Risk Appetite Statement supported by policies, procedures and risk and compliance software tools that provide for the effective implementation and maintenance of an effective controls environment. The Board reviews and approves the Enterprise Risk Management Framework documents including the Enterprise Risk Management Policy and Risk Appetite Statement on an annual basis.

The application of the broad range of activities under an Enterprise Risk Management Framework establishes a foundation for the management of strategic and operational risk during periods of organisational uncertainty or increased stress, whilst also supporting the organisations efforts in achieving its strategic objectives. Chartered Accountants Australia and New Zealand believes that the Enterprise Risk Management Framework and the implementation of a Three Lines of Defence model forms the basis of an effective operational regime for continuous improvement.

In line with international and local regulatory standards, all staff, led by the leadership team, are responsible for the identification, assessment, management, reporting, and monitoring of all risks across the operating spectrum, including emerging risks and strategic risks. Risks are expected to be escalated to the executive leadership team and are discussed at the Executive Team Risk Committee, together with the tracking of any improvement plans required for potential remediation and monitoring. Also discussed at the Executive Team Risk Committee are the change management projects that can affect the organisation’s risk profile and a range of internal and external audit activities. Regular updates are provided at Audit and Risk Committee meetings, or on an as-required basis.

Whistleblower policy

We are committed to a corporate culture that encourages the reporting and investigation of serious wrongdoing to protect the integrity of our business and ensure ethical behaviour. We have conducted a cross-border gap analysis and have developed a policy that complies with applicable laws in the 6 jurisdictions where we do business. The policy has not yet been launched. The whistleblower policy sets out guidelines for our people if they wish to raise any concerns about serious wrongdoing in the workplace and is operationalised through a reporting tool.

Wellbeing health and safety

We are committed to providing a safe and healthy place to work. This means that we will:

  • meet and exceed all wellbeing, health and safety requirements
  • work in a way that keeps our people and others safe
  • stop any work that cannot be carried out safely
  • be open to new ways of being healthier and safer
  • not take shortcuts or put business objectives ahead of health and safety
  • work with our people to continuously improve health, safety and wellness outcomes in the workplace.

Corporate reporting

The Audit and Risk Committee’s key objective is to support the Board in fulfilling its corporate governance and oversight responsibilities regarding Chartered Accountants Australia and New Zealand, and any trusts and/or legal entities established or managed by Chartered Accountants Australia and New Zealand. This responsibility covers:

  • financial reporting
  • risk management systems
  • internal control systems
  • compliance
  • internal and external audit arrangements.

Get in Touch

To make an enquiry, contact our Member Support Team
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