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Webcast

  • New speakers confirmed!

  • George Walz, VP of Member Regulation Programs, FINRA
  • Glen Barrentine, special counsel, Cadwalader, Wickersham & Taft LLP

Mission Possible: Aligning Technology and Content for Successful
Policy Management

Current FINRA regulation mandates that financial firms keep up-to-date supervisory policies and procedures. In today’s business world rules and regulations are continuously changing, and keeping content updated can be a manually demanding and burdensome process. In many cases, firms are not fully successful in directly linking such changes to their internal policies and communicating those changes across their enterprise. New and established firms alike may also struggle in crafting comprehensive, compliant policies and procedures.

Breaks in the information supply chain lead to compliance risks. When policies and procedures aren’t up to regulatory standards and firms are unable to successfully convey updates and changes, they can face costly consequences. Firms must have the technology and processes to keep content updated, ensure that users are immediately aware of a change, that they understand and know how to implement that change, and that the right users are receiving the right information.

Creating and maintaining policies and procedures is Mission Possible. Apply best practices in policy and procedure management to mitigate your compliance risk, stay current with changing rules and regulations, assess their impact on corporate policies, and inform and educate users. By participating in the complimentary webcast: Mission Possible: Aligning Technology and Content for Successful Policy Management on Thursday, June 5, 2008 at 2:00pm EDT you will learn about:

  • The risks that firms encounter when changes in rules and regulations are not dynamically connected to internal policies
  • The weaknesses of current policies and procedures as seen by the eyes of the regulators
  • Innovative approaches to connecting real-time changes with internal policies
  • Tactics for ensuring such changes are easily accessible, understood and executed efficiently across the enterprise
  • Successful policy management with Complinet’s technology and Steven Lofchie’s policy and procedure manual templates with industry-standard content
Click here to register