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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
NOTIFY RULE
AND DESK OWNERS
OF EVENTS AND
REQUIRED ACTIONS
EVALUATE
& MAP REGULATORY
RISK
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
REVIEW
AND UPDATE
POLICIES
AND RULESASSESS
REGULATORY RISK,
INTERNAL CONTROLS
& IMPACT ON
BUSINESS
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
further information David Noble email +44(0)207 429 9341
ROUTE IMPACT
ASSESSMENTS FOR
REVIEW AND
APPROVAL
further information David Noble email +44(0)207 429 9341
ROUTE IMPACT
ASSESSMENTS FOR
REVIEW AND
APPROVAL
MONITOR
SUSPICIOUS
ACTIVITY
MANAGE
SUPERVISORY
CONTROLS
MONITOR
SUSPICIOUS
ACTIVITY
MANAGE
SUPERVISORY
CONTROLS
MONITOR
CONTROLS TO
SPECIFIC
REGULATIONS
further information David Noble email +44(0)207 429 9341
REPORT ON
CONTROL
FAILURES AND
GAPS
further information David Noble email +44(0)207 429 9341
MONITOR & TRACK
SUSPICIOUS ACTIVITIES
further information David Noble email +44(0)207 429 9341
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
further information David Noble email +44(0)207 429 9341
PRODUCE
REPORTS
TO EVIDENCE
CLOSURE OF
FINDINGS
further information David Noble email +44(0)207 429 9341
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
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