Prepare Your Financial Institution for Increased Regulatory Scrutiny

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.

Use our scorecard to gauge preparedness in the following areas:

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?