The 5 Core Competencies of Compliance

The 5 Core Competencies of Compliance When the Going Gets Tough, Good Institutions Get Even Tougher on Ensuring Regulatory Compliance

While governments rally to bring some order to the worldwide economic crisis, customer confidence in the financial industry as a whole is waning.

Surviving institutions may indeed be thriving - or at least, safe and sound - but they still must prove to their customers and their regulators that they have their own houses in order. That means institutions must be able to prove that they're doing all the right things; among other things, appropriately auditing and controlling the IT environment. Now, perhaps more than ever, an institution's mandatory compliance with government guidelines plays a crucial role in restoring customer confidence, one institution at a time.

Download this white paper to learn:

  • How Rothschild Bank in Zurich instituted an automated compliance solution;

  • The 5 Core Competencies of Compliance;

  • Practical Steps toward Implementing Configuration and Change Management.

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