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Measuring the Success of Your Compliance Program

While measuring compliance program success may slightly differ from firm to firm, there is the universal truth that firms need to vigilantly assess the methods they use to monitor their policies, procedures, technologies, and personnel.

Download “Measuring the Success of Your Compliance Program” for five elements to evaluate your compliance progress and needs including:

  1. Number of compliance issues and violations
  2. Impact of training and communications on related metrics
  3. Capacity to handle new/emerging compliance issues
  4. Risk surveys, discussions, and exit interviews
  5. Savings related to proactive and/or automated compliance measures