7 WAYSTO ENSURE REGULATORYDATA COMPLIANCE

TEAMCHIEF DATA OFFICERS

CHIEF COMPLIANCE OFFICERS

CHIEF OPERATIONSOFFICERS

START WITH A WINNING TEAMAssign high-level personnel to oversee all your regulatory programs. A multi-person approach will help harmonize the way you address regulatory obligations.

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Understand the regulatory challenges facing your firm. Be sure to identify commonalities in terms of the data required to meet them and whether you will need any additional data inputs.

LOOK BEFORE YOU LEAP

Leverage off the best practices, systems and solutions that already exist in the marketplace. Consider the role of fintech and regtech.

BUY, BUILDOR SHARE

FINTECH

REGTECH

FUTURE-PROOF YOUR SOLUTIONReview what existing workflows, applications and regulatory compliance processes you already have in place. Look at repurposing them to meet future needs.

Agility is key! Implement open platforms that can be tailored for future use.

FAILURE IS NO LONGER AN OPTION

Establish effective monitoring and reporting systems to secure and track data as it moves through the corporate network. Make sure your solutions are fit for purpose and accurate or you will face enforcement action!

PRACTICEMAKESPERFECTConduct real-time tests of your compliance systems as early as possible and include your service and data partners. Ensure that the data flowing through your solution is accurate!

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PARTNER FOR SUCCESSConsider what regulations have yet to be transposed and how you can pool with other entities to leverage common solutions and meet new obligations.

© 2016 Thomson Reuters

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