Regulatory Compliance a Complete Guide - 2019 Edition

Regulatory Compliance a Complete Guide - 2019 Edition
Author: Gerardus Blokdyk
Publisher: 5starcooks
Total Pages: 294
Release: 2019-03-18
Genre:
ISBN: 9780655537700

Determine the impacted organization is it across the enterprise, multiple, or single business unit? Has the organization determined whether the condition represents a Regulatory Compliance issue? Are the system requirements (functional and performance) already well-defined in writing? Do you have sufficient evidence to demonstrate compliance to each Compliance Element? Will the project use only existing operating procedures that are defined in writing? Defining, designing, creating, and implementing a process to solve a challenge or meet an objective is the most valuable role... In EVERY group, company, organization and department. Unless you are talking a one-time, single-use project, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are you really trying to accomplish here? And is there a different way to look at it?' This Self-Assessment empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make Regulatory Compliance investments work better. This Regulatory Compliance All-Inclusive Self-Assessment enables You to be that person. All the tools you need to an in-depth Regulatory Compliance Self-Assessment. Featuring 736 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Regulatory Compliance improvements can be made. In using the questions you will be better able to: - diagnose Regulatory Compliance projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices - implement evidence-based best practice strategies aligned with overall goals - integrate recent advances in Regulatory Compliance and process design strategies into practice according to best practice guidelines Using a Self-Assessment tool known as the Regulatory Compliance Scorecard, you will develop a clear picture of which Regulatory Compliance areas need attention. Your purchase includes access details to the Regulatory Compliance self-assessment dashboard download which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next. You will receive the following contents with New and Updated specific criteria: - The latest quick edition of the book in PDF - The latest complete edition of the book in PDF, which criteria correspond to the criteria in... - The Self-Assessment Excel Dashboard - Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation - In-depth and specific Regulatory Compliance Checklists - Project management checklists and templates to assist with implementation INCLUDES LIFETIME SELF ASSESSMENT UPDATES Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.

Regulatory Compliance Complete Self-Assessment Guide

Regulatory Compliance Complete Self-Assessment Guide
Author: Gerardus Blokdyk
Publisher: Createspace Independent Publishing Platform
Total Pages: 114
Release: 2017-05-14
Genre:
ISBN: 9781546677741

How do we Identify specific Regulatory Compliance investment and emerging trends? Is a fully trained team formed, supported, and committed to work on the Regulatory Compliance improvements? How will you measure your Regulatory Compliance effectiveness? How do mission and objectives affect the Regulatory Compliance processes of our organization? Do we all define Regulatory Compliance in the same way? Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role... In EVERY company, organization and department. Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?' For more than twenty years, The Art of Service's Self-Assessments empower people who can do just that - whether their title is marketer, entrepreneur, manager, salesperson, consultant, business process manager, executive assistant, IT Manager, CxO etc... - they are the people who rule the future. They are people who watch the process as it happens, and ask the right questions to make the process work better. This book is for managers, advisors, consultants, specialists, professionals and anyone interested in Regulatory Compliance assessment. Featuring 607 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which Regulatory Compliance improvements can be made. In using the questions you will be better able to: - diagnose Regulatory Compliance projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices - implement evidence-based best practice strategies aligned with overall goals - integrate recent advances in Regulatory Compliance and process design strategies into practice according to best practice guidelines Using a Self-Assessment tool known as the Regulatory Compliance Scorecard, you will develop a clear picture of which Regulatory Compliance areas need attention. Included with your purchase of the book is the Regulatory Compliance Self-Assessment downloadable resource, containing all 607 questions and Self-Assessment areas of this book. This enables ease of (re-)use and enables you to import the questions in your preferred Management or Survey Tool. Access instructions can be found in the book. You are free to use the Self-Assessment contents in your presentations and materials for customers without asking us - we are here to help. This Self-Assessment has been approved by The Art of Service as part of a lifelong learning and Self-Assessment program and as a component of maintenance of certification. Optional other Self-Assessments are available. For more information, visit http://theartofservice.com

Essential Strategies for Financial Services Compliance

Essential Strategies for Financial Services Compliance
Author: Annie Mills
Publisher: John Wiley & Sons
Total Pages: 400
Release: 2015-10-08
Genre: Business & Economics
ISBN: 1118906195

A fully updated edition of the definitive guide to financial regulation In recent years, not only has the compliance field become firmly established, but it has seen staggering growth, thanks to never-ending changes in the regulatory environment. As regulation increases still further, the demand for clear guidance on navigating daily compliance issues is greater than ever. Now in its second edition, the highly successful Essential Strategies for Financial Services Compliance has been updated with the latest compliance strategies and regulatory information, making it indispensable for compliance officers, legal firms, and anyone else working with the financial services compliance function. Non-compliance represents a significant material risk for any financial services firm that fails to understand and appropriately apply regulatory standards. This Second Edition of Essential Strategies for Financial Services Compliance makes it easy to digest complex information on the regulatory framework. But this book is far from solely theoretical. A balanced approach means that both the concepts and their application are within reach. Annie Mills and Peter Haines deliver solid advice that can be applied on a day-to-day basis to manage any compliance issues that may arise. Read this book to: Understand the conceptual basis of compliance and the current regulatory environment applicable to the financial services industry Quickly and thoroughly learn the accepted best practices for everyday compliance Get up to date information on the current financial regulatory environment with this new edition Reference detailed advice as issues arise in day-to-day operations This update to the popular first edition of Essential Strategies for Financial Services Compliance will help eliminate non-compliance risk and ensure that your firm is entirely current on its ability to navigate the maze of financial services regulation.