Subject: | |
From: | |
Reply To: | |
Date: | Thu, 13 Aug 2015 08:06:29 -0400 |
Content-Type: | text/plain |
Parts/Attachments: |
|
|
I am developing a list of high-level principles that should be established
for an RIM Program's compliance program. I wonder if any of you would like
to contribute compliance principles. So far I have listed:
<Start>
Guiding Principles
1. Compliance entails organization-wide adherence to external regulations
and internal policies.
2. Compliance objectives are tied to the organization's objectives and
risk appetite.
3. Compliance starts with clear policies that outline requirements and
responsibilities, published and distributed across the organization.
4. Compliance will include the RIM organization assisting staff with
compliance by providing training, guidance documents, and directly
assisting when help is needed to bring their particular operations or
applications into compliance.
5. Compliance will include monitoring, testing, remediating, and reporting
on staff compliance.
<End>
I am not really looking for opinings on what compliance is. Just succinct,
high-level principles that should be added to the list.
Thanks for your help,
Gary Link
Pittsburgh, PA
[log in to unmask]
The contents of this email are the property of PNC. If it was not addressed to you, you have no legal right to read it. If you think you received it in error, please notify the sender. Do not forward or copy without permission of the sender. This message may be considered a commercial electronic message under Canadian law or this message may contain an advertisement of a product or service and thus may constitute a commercial electronic mail message under US law. You may unsubscribe at any time from receiving commercial electronic messages from PNC at http://pages.e.pnc.com/globalunsub/
PNC, 249 Fifth Avenue, Pittsburgh, PA 15222; pnc.com
List archives at http://lists.ufl.edu/archives/recmgmt-l.html
Contact [log in to unmask] for assistance
To unsubscribe from this list, click the below link. If not already present, place UNSUBSCRIBE RECMGMT-L or UNSUB RECMGMT-L in the body of the message.
mailto:[log in to unmask]
|
|
|