Transcript
further information David Noble email
+44(0)207 429 9341
MONITOR
& MANAGE REGULATORY
EVENTSfurther information David Noble email
+44(0)207 429 9341
MONITOR
& MANAGE REGULATORY
EVENTS
A SINGLE
COMPREHENSIVE
SYSTEM TO MANAGE
COMPLIANCE
WORKFLOW
further information David Noble email +44(0)207 429 9341
LINK
REGULATORY
INTELLIGENCE
TO COMPLIANCE
WORKFLOW
further information David Noble email +44(0)207 429 9341
RECORD
AND MONITOR
INDUSTRY
EVENTS
further information David Noble email +44(0)207 429 9341
CAPTURE
AND ROUTE
REGULATORY EVENTS
TO COMPLIANCE
OWNERS
further information David Noble email +44(0)207 429 9341
NOTIFY RULE
AND DESK OWNERS
OF EVENTS AND
REQUIRED ACTIONS
further information David Noble email +44(0)207 429 9341
EVALUATE
& MAP REGULATORY
RISK
ALIGN
CRITICAL RULES TO
ENSURE ADEQUATE
COVERAGE
further information David Noble email +44(0)207 429 9341
REVIEW
AND UPDATE
POLICIES
AND RULES
further information David Noble email +44(0)207 429 9341
ASSESS
REGULATORY RISK,
INTERNAL CONTROLS
& IMPACT ON
BUSINESS
CONDUCT
REGULATORY RISK
ASSESSMENTS
further information David Noble email +44(0)207 429 9341
CREATE IMPACT
ASSESSMENTS FOR
REGULATORY EVENTS
further information David Noble email +44(0)207 429 9341
PROVIDE
DETAILED ACTION
PLANS
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ROUTE IMPACT
ASSESSMENTS FOR
REVIEW AND
APPROVAL
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MONITOR
SUSPICIOUS
ACTIVITY
MANAGE
SUPERVISORY
CONTROLS
MONITOR
CONTROLS TO
SPECIFIC
REGULATIONS
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REPORT ON
CONTROL
FAILURES AND
GAPS
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MONITOR & TRACK
SUSPICIOUS ACTIVITIES
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TRACK SAR ISSUE
& ACTION PLANS
further information David Noble email +44(0)207 429 9341
TRACK SAR ISSUE
& ACTION PLANS
PREPARE FOR
REGULATORY EXAMS
& INSPECTIONS
further information David Noble email +44(0)207 429 9341
PREPARE FOR
REGULATORY EXAMS
& INSPECTIONS
MAINTAIN
A SINGLE SCHEDULE
OF UPCOMING
EXAMS
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PRODUCE
REPORTS
TO EVIDENCE
CLOSURE OF
FINDINGS
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PRODUCE
REPORTS
TO EVIDENCE
CLOSURE OF
FINDINGS
MANAGE
COMPLIANCE
REVIEWS
further information David Noble email +44(0)207 429 9341
MANAGE
COMPLIANCE
REVIEWS
STANDARD
TEMPLATES APPLY
A COMMON
METHODOLOGY TO
REVIEW ACTIVITIES
further information David Noble email +44(0)207 429 9341
AUTOMATED
UPDATES AND ALERTS
ENSURE FINDINGS AND
ACTIONS ARE MANAGED
THROUGH CLOSURE
further information David Noble email +44(0)207 429 9341
Contact me for further information
david.noble@thomsonreuters.com
+44(0)207 429 9341
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