Compliance & Governance Policy

Effective Date: July 22, 2025

Last Reviewed: July 22, 2025

Contact: [email protected]

1. Purpose

This Compliance & Governance Policy outlines how IntelliVersal Integrated Solution (IVIS) upholds its legal, ethical, and operational responsibilities through structured governance, regulatory alignment, internal control systems, and a zero-tolerance stance on misconduct.

Our approach ensures that every IVIS engagement meets global compliance standards while preserving transparency, accountability, and enterprise trust.

2. Scope

This policy applies to:

• All IVIS business units and employees
• Contractors, vendors, and affiliated partners
• Clients and third-party entities subject to governance oversight

It covers all jurisdictions in which IVIS operates or has a legal presence.

3. Governance Principles

IVIS enforces a multi-layered compliance model built on the following principles:

• Accountability: Clear roles, responsibilities, and escalation paths
• Transparency: Open access to non-confidential compliance documentation
• Ethical Conduct: Adherence to local and global ethical standards
• Regulatory Alignment: Ongoing alignment with laws, certifications, and industry frameworks
• Continuous Improvement: Audits, KPIs, and corrective action cycles

4. Legal & Regulatory Compliance

We maintain strict adherence to:

• General Data Protection Regulation (GDPR)
• California Consumer Privacy Act (CCPA)
• U.S. and international intellectual property laws
• Export control and ITAR regulations (where applicable)
• Local tax, labor, and business registration laws

Certifications maintained by IVIS (or in process):

• ISO/IEC 27001 – Information Security
• ISO 9001 – Quality Management
• SOC 2 Type II – Service Organization Controls
• Industry-specific frameworks (e.g., NIST, HIPAA on project basis)

5. Governance Structure

Entity	Role
Compliance Office	Oversees audits, investigations, and global regulations
Internal Audit Team	Performs regular risk-based internal reviews
Legal Counsel	Manages legal obligations, litigation, and documentation
Executive Committee	Approves governance policies and compliance roadmaps
Client Governance Lead	Assigned per project to enforce custom compliance terms

6. Risk Management & Controls

We apply:

• Quarterly Risk Assessments
• Control Self-Assessments (CSAs)
• Segregation of Duties (SoD)
• Fraud risk reviews and whistleblower channels

All risks are documented in an internal Risk Register with remediation plans.

7. Employee Obligations

All IVIS personnel must:

• Complete annual compliance training
• Acknowledge the Code of Conduct and Data Protection policies
• Report any known or suspected compliance violations via secure channels
• Cooperate fully in audits or investigations

8. Third-Party & Vendor Compliance

Vendors and partners are required to:

• Sign binding Compliance & Security Agreements
• Undergo periodic assessments based on risk level
• Disclose data handling, subcontracting, and regulatory exposure
• Abide by IVIS’s Subprocessors and Privacy standards

9. Monitoring, Auditing & Reporting

We conduct:

• Internal and external audits (annual and per request)
• Continuous compliance monitoring using automation tools
• Regulatory disclosures (where required)
• Audit trail generation for data, financials, and decisions

Clients may request access to audit reports under NDA.

10. Enforcement & Disciplinary Action

Non-compliance may result in:

• Suspension or termination of contracts or employment
• Legal actions, fines, or regulator disclosures
• Loss of platform access and removal from trusted vendor lists

Violations are escalated to the Compliance Office and Executive Review Board.