Calendar of Events

Compliance Management System (CMS): What a Successful Program Looks Like

11/06/2017, 1:30 PM to 3:30 PM

No location provided

Amy Davis adavis@msbankers.com 601-948-6366

Description:

Compliance Management System (CMS):
What a Successful Program Looks Like


Presented by Carl Pry
Monday, November 6th, 2017
1:30 pm - 3:30 pm CT
 

Covered Topics:

  • What elements are necessary in a well-designed and managed CMS?
  • Regulatory guidance from various agencies
  • Operating in a 3 Lines of Defense environment
  • What are the roles of the business(es) and audit?
  • Separation of duties
  • What is management’s role in an effective CMS?
  • What will regulators be looking for?
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