Compliance

White Paper: AutoRek

In the present scenario, it is very difficult to achieve CASS compliance without the correct CASS governance and oversight framework in place. Most firms with CASS failings painfully resolve their issues only to find more problems down the line, despite all the costs and resources that they would have dedicated to resolving the initial failings. Often this is due to the lack of focus on building a sustainability framework that is forward looking, rather than incident driven. But what does 'Good CASS Governance' even look like? Few firms or consultants can explain what good governance looks like or provide a tangible solution; a lack of clarity in the market exists even before the myriad of CASS arrangements have been added to the equation. This whitepaper provides insights on what firms need to do in order to manage CASS risk and build a robust CASS governance structure. It highlights: Good Governance: The Key to CASS Compliance Personal accountability and Tougher CASS audits The importance of centralized processes and controls Risk management using 'tangible' governance tools A 'Governance Wheel' of CASS governance's critical elements The danger of 'sticking plaster solutions' How Rosediem and AutoRek can help

White Paper: AutoRek

The phrase 'challenges of regulatory reporting' means different things to different organizations. Regulatory reporting submissions are only as good as the data they contain. Constant activity which encompasses formal preparation, robust submission, comprehensive sign off and approval, and on-going maintenance and review are some of the key components needed to have confidence in submissions. The creation of a consistent 'golden source' of data will increase both confidence and performance in firms' ongoing regulatory reporting and compliance challenges. This whitepaper explores several key regulatory reporting challenges including: Regulations and directives driving the agenda Impact and uncertainty the UK's exit from Europe (Brexit) may have on regulators Costs of compliance weighed against regulatory fines and reputational damage Potentially contradictory interpretation and application of regulations Role and recent decisions of the regulators themselves Existing gaps between regulatory rules, and organizations’ processes and controls

White Paper: SPECOPS

With password security policies and best practices in constant flux, our effectiveness in safeguarding our organization requires scrutiny. Unfortunately, the regulatory bodies we must abide by do not always pave a clear direction. This is where our own judgment must fill in the gaps. When it comes to password security policy, it is always a good rule of thumb to take a segmented approach over a generalized one. This whitepaper provides insights on how to create a strategy for password policies, while continuing to meet today’s compliance requirements. Key takeaways from this whitepaper: Character compositions and knowledge-based authentication Forced password expiration Compliance requirements in the backdrop of current wisdom about secure passwords Future-proofing existing password policies Password expiration based on role

White Paper: VERSE Solutions

Compliance is strong in some areas and weak in others so companies looking to build on their compliance “grades” with automated tools should take these concepts in this report and consider the notion of timeliness, tracking, risk management and reporting as key elements for success.   More and more organizations are looking to automated solutions to help them gain greater visibility and control over their processes.Companies are demonstrating some level of automation in their operations; the level and scope will vary depending on the maturity of their automated compliance ecosystem. With that in mind, VERSE gauged the common challenges in compliance management around Quality and Safety and compiled the results in this compliance grader white paper. This paper will cover the structure of the compliance grader and the results of compliance management in: • Document Control and Employee Training • Risk Management and Corrective Action • Audit Management, Reporting and more

White Paper: BROWZ

Though it might seem cost-effective in the beginning, hiring the wrong contractors could turn out to be extremely expensive in the long run. Without proper screening of contractors, you could be hiring unqualified, uninsured, and unsafe workers. This may lead to an accident occurring at the work-site which could lead to a string of problems and uncertain legal and economic consequences. Download our FREE white paper to learn more about: -Assessing the economic value of a contractor qualification and management solution. -Business conditions that make contractor qualification an imperative for many businesses, including the expected costs associated. -Potential direct and indirect costs of “doing nothing”; that is, deciding against an investment in contractor qualification. -How to outsource contractor qualification to a vendor.

White Paper: Riskonnect

Successful implementation of an Enterprise Risk Management (ERM) strategy must include involving the correct people in your organization, developing and effectively communicating your ERM value proposition to create sustainable, repeatable processes that incorporate Enterprise Risk Management as part of a business unit’s daily activities. Enterprise Risk Management is a change in the way we do business, and it is a change in how we think about our risk! This white paper on “Successful Enterprise Risk Management: Does Your Organization Have What It Takes?” addresses: What is the business case for Enterprise Risk Management support software? How can risk managers successfully implement an ERM strategy? What is the basis behind any successful Enterprise Risk Management program? How do risk managers convince stakeholders that an ERM implementation process is the right thing to do when they live in a world where many companies have the attitude to just buy insurance?

White Paper: HighRoads

Each year, HighRoads surveys companies about their current processes and future plans for compliance communications. In 2013, HighRoads invited mid- to large-sized organizations throughout the United States to share information about their compliance and governance operations; their approach to producing, updating and distributing Summary Plan Descriptions (SPD) and the steps they are taking to generate the Summary of Benefits and Coverage (SBC) and other required notices under the Affordable Care Act (ACA). Benefits communication straddles an unusual line between the everchanging requirements of government regulation, the increasing need for clear, concise and understandable content and changing preferences for how to receive and send information. That said, there are some things that remain constant from year to year-such as what employers find most challenging and the lack of good data around compliance expenditures.