Understandably, CCOs worry about being held personally responsible for compliance failures. That is, in fact, exactly...
Is the CCO Liable? Two SEC Cases, Two Wildly Different Rulings
read more
With the possibility of increased scrutiny and regulatory enforcement changes, now is a great time to rate your compliance readiness. Gauge your compliance program readiness with our Compliance Confidence Scorecard.
How do you map products and services, identify laws, rules, and regulations, and create tailored obligation lists to your
institution’s corporate entities?
How does your institution monitor regulatory changes and update its obligation library in response to said changes?
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?
Understandably, CCOs worry about being held personally responsible for compliance failures. That is, in fact, exactly...
As a young industry, RegTech often gives rise to a host of questions — everything from “what is it?” to “how does it...
This post was contributed by Michael Rasmussen, GRC Pundit & Analyst. In today’s ever-changing economy,...