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?