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Financial institution (FI) adherence to regulatory expectations for a compliance management system (CMS) is strictly up to the FI when deciding how to implement their compliance program. Based on regulatory guidance, this white paper explains the six key objectives of an effective CMS: understanding the regulations that apply to a financial institution; keeping up with applicable regulatory changes that apply; making sure everyone understands their regulatory responsibilities; embedding regulatory requirements into daily operations; routinely verifying that the FI is on track; and having a reliable and transparent way to fix what breaks. The paper also offers a holistic solution for satisfying and implementing the six points of the CMS framework:
1. Understand the regulations that apply to the FI.
2. Keep up with applicable regulatory changes.
3. Make sure everyone understands their regulatory responsibilities.
4. Embed regulatory requirements into daily operations.
5. Verify the FI is on track on a routine basis.
6. Have a reliable and transparent way to fix what breaks
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