Regulatory Compliance Audits

Protect your business and ensure your customer-facing team is being compliant with a custom audit program.

"The importance of a comprehensive and effective compliance program cannot be overstated. The guidance document notes that establishing and implementing such a compliance program is the basis for meeting the reporting, record keeping, client identification and know-your-client requirements under the Canadian AML Law."-Osler

 

Alcohol, tobacco, lottery/gaming and cannabis products can generate significant profit, but with their earning potential can come significant risk. If your employees and/or business operations do not align with government compliance regulations, you can be held accountable and face severe financial reprimand.

You can train your employees to do their job effectively, but sometimes even small slip-ups can have major consequences. Mystery shopping services are an investment in your business’ future. Protect yourself and your reputation with a compliance audit conducted by a professional mystery shopping company that will put your best interests first.

 

How Government Regulation Audits can Affect Your Business

Governments have tightened their alcohol, tobacco, lottery/gaming and cannabis compliance rules to ensure underage customers are not being sold regulated goods. The due diligence is placed upon businesses, employers and employees, so you need to ensure your business is meeting government standards – not just “most of the time,” but every single day and at every single transaction.

Should your business be subjected to a government audit where your employees fail to properly ID a potential customer, you may be subjected to harsh financial penalties. Worse still, your business may be placed under public and government scrutiny, which can threaten future transactions and profit.

 

Compliance Programs to Adhere to Canadian Laws & Regulations

Every province and municipality has a unique set of regulations and bylaws in regards to selling alcohol, tobacco, lottery/gaming and cannabis. It is crucial that your business remains in compliance with the local laws through a thorough compliance program including regular compliance audits.

At Shoppers Confidential, our regulatory compliance auditing services will identify any gaps in your internal compliance program. Our undercover auditors will provide retailers with a detailed compliance audit report that highlights real-time action requests to correct any issues found and protect your business. Our compliance audit programs include:

  • Monitoring Sales and Service Standards
  • Age Verification and Screening
  • Monitoring Production Settings

 

A Mystery Customer  Shopper can Help You Address Compliance Gaps

Shoppers Confidential can offer you an experienced mystery customer who will visit your place of business and request to purchase a regulated good. The shopper will then provide a report on whether proper identification was requested.

These mystery shoppers are of legal age, but they are under 25 (or 30 or 35 depending on your provincial regulations or businesses' best practices guidelines). The government expects businesses to ID anyone they suspect may be under 25, so we leverage this approach to ensure your employees are not being too lax when discerning who should be asked for identification.

 

Why is Shoppers Confidential the Right Choice for Your Compliance Audit?

Shoppers Confidential only works with the most reliable compliance auditors in your area. You can trust our undercover shoppers will act in a discreet and professional manner. Their audit report will clearly and accurately indicate if there any gaps that may be exposing you and your business to compliance audit repercussions.

With Shoppers Confidential, you will get the best possible regulatory compliance auditing service at a competitive price. Protect yourself, your business and your reputation. Book a compliance audit with Shoppers Confidential today.

 

 

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