Lexis® Practical Guidance: Compliance

Why Lexis® Practical Guidance: Compliance?

Users get direct access to critical, up-to-date information and guidance that they can rely on.

Lexis® Practical Guidance Compliance is an online reference tool that contains polices, charters and manuals that assist users in reviewing, updating and creating an open and transparent corporate compliance culture within an organisation.
Lexis® Practical Guidance Compliance offers detailed guidance on various compliance-related matters, such as how to:

  • Set up an internal compliance function within a department;
  • Ensure legal departments / compliance officers have the appropriate processes in place to:
    • deal with legal requests;
    • draft and sign contracts; and
    • complete a contract register.
  • Perform audits and comply with VAT requirements within an entity;
  • Protect confidential information within an entity;
  • Comply with NERSA requirements;
  • Secure employee rights and employment equity standards;
  • Enact, maintain and review information; and

Ensure data is secure within an organisation.

Compliance is made even easier with various checklists, customisable precedents and other helpful resources. Lexis® Practical Guidance Compliance covers all regulations and provides all relevant forms that are needed throughout each process. For example, all CIPC forms are included to assist with updating directors' details, creating a memorandum of incorporation as well as updating any other company information.

With Lexis® Practical Guidance: Compliance you get:

Convenient online access to:
  • More than 70 Guidance Notes within 16 Topic Overviews
  • Over 100 Forms, Precedents and Checklists – ensuring not a single step is missed
  • Legislation & Case Law – access to relevant cases at the click of a button
  • 75 Other useful resources such as tables, examples and additional readings

Step-by-step guidance on:
  • Establishing a compliance system
  • Legal aspects of compliance
  • Corporate governance of an entity
  • CIPC
  • Audit requirements
  • VAT
  • Financial statements


  • Procurement of products and services
  • Information and cyber security
  • Confidentiality and the treatment of information
  • National Energy Regulator of South Africa
  • Employment rights and equity
  • Employment equity
  • Workplace safety

Guidance Notes

Useful reference material that offers direct access to relevant case law, legislation and commentary works, and practical know-how on specific aspects of compliance.
A few key guidance notes are outlined below. The full list can be viewed in the complete table of contents.

The Content Structure of the Compliance Charter

The purpose of the compliance charter is to establish a compliance department, including a clear statement and illustration of how the entity will approach compliance.
It details how to:

  • Compile a compliance charter
  • What is required in a compliance charter
  • How to implement and review a compliance charter.
This guidance note also contains a customisable compliance charter with sample clauses and an example of an organogram and compliance function structure.

Monitoring Employee's Computers

This guidance note discusses how an employer may legally intercept an employee's work device in order to ensure that the employee is not committing any cybercrimes. It contains an example of a disclaimer upon logging into a company electronics as well as a risk and mitigation table for cyber security.
It clearly details:

  • The relevant, applicable legislation
  • How to draft internal IT policies and charters
  • How to intercept emails and suspicious behaviour.

Applying for a Petroleum Pipelines Licence

It is essential that an entity that requires a petroleum pipelines licence is aware of the financial and legislative obligations involved, for purposes of compliance.
This guidance note covers:

  • The relevant and applicable legislation
  • Fundamental definitions
  • Classification of the different licences
  • Licence applications, and how to:
    • apply;
    • revoke;
    • amend; and
    • convert them.
  • Conditions of a licence
  • Regulator's rights and duties
  • Applicable tariffs.

It offers helpful resources, such as:

  • NERSA Request for confidential treatment of information
  • NERSA Objection to gas licence application
  • NERSA application for a licence
  • NERSA Objection to a licence application
  • NERSA application for an amendment of a licence
  • NERSA application for the revocation of a licence
  • What requires a licence table
  • Procedure for processing licence applications
  • NERSA pipelines FAQ
  • Tariff methodologies FAQ
  • Guideline requirements for pipelines tariff applications
  • Information to assist licence applicants to file licence applications.

Practical Aids

Precedents, checklists and forms that can be used to offer advice confidently and execute tasks accurately.
A few key resources are listed below. The full list can be viewed in the complete table of contents.

  • Compliance charter
  • Compliance monitoring plan
  • Risk matrix
  • Contract register
  • PAIA manual
  • Social media policy
  • Various risk and mitigation tables for the different topics
  • Procedure for processing licence applications
  • Objections to licence applications
  • Leave application forms


Maria Kalabakas

LLB (Wits University) LLM (Oil and Gas Law) (University of Aberdeen)

Maria Kalabakas was admitted as an Advocate in the High Court of South Africa, Western Cape Division, and is a legal advisor and certified (OCEG) Governance Risk and Compliance Professional. Maria has experience in establishing a compliance function within an existing entity, drafting monitoring plans, policies and procedures, drafting and negotiating Oil and Gas Agreements, Memorandum of Understandings, Storage Agreements, Procurement related agreements, etc. Maria speaks four languages and has concluded numerous courses to expand her knowledge of the law and of the functions that are essential to the ethical operations of any organisation.

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Email: customercare@lexisnexis.co.za