In this third article in our series on building a strong compliance program, we turn our attention to change...
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?
In this third article in our series on building a strong compliance program, we turn our attention to change...
Compliance automation is revolutionizing the way chief compliance officers report key information to board members...
Regulatory change management in financial services is anything but a one-off endeavor. Financial regulations are in a...