Compliance Confidence Scorecard
Use the scorecard to gauge your regulation readiness.
Entity Mapping and Obligation Management:
How do you map products and services, identify laws, rules, and regulations, and create tailored obligation lists to your
institution’s corporate entities?
Regulatory Monitoring and Updates:
How does your institution monitor regulatory changes and update its obligation library in response to said changes?
Change Management and Compliance Tracking:
What steps are in place for reviewing, analyzing, and closing out tasks? How are you capturing information on new initiatives that would require new regulatory requirements?
