START WITH A WINNING TEAM

FUTURE-PROOF YOUR SOLUTION

PRACTICEMAKESPERFECT

FAILURE IS NO LONGER AN OPTION

Assign high-level personnel to oversee all your regulatory programs. A multi-person approach will help harmonize the way you address regulatory obligations.

Understand the regulatory challenges facing your firm. Be sure to identify commonalities in terms of the data required to meet them and whether you will need any additional data inputs.

Review what existing workflows, applications and regulatory compliance processes you already have in place. Look at repurposing them to meet future needs.

Agility is key! Implement open platforms that can be tailored for future use.

Establish effective monitoring and reporting systems to secure and track data as it moves through the corporate network. Make sure your solutions are fit for purpose and accurate or you will face enforcement action!

TEAMCHIEF DATA OFFICERS

CHIEF COMPLIANCE OFFICERS

CHIEF OPERATIONSOFFICERS

LOOK BEFORE YOU LEAP

Leverage off the best practices, systems and solutions that already exist in the marketplace. Consider the role of fintech and regtech.

Conduct real-time tests of your compliance systems as early as possible and include your service and data partners. Ensure that the data flowing through your solution is accurate!

PARTNER FOR SUCCESSConsider what regulations have yet to be transposed and how you can pool with other entities to leverage common solutions and meet new obligations.

BUY, BUILDOR SHARE

FINTECH

REGTECH

1

2

4

6 7

5

3

7 WAYS TO ENSUREREGULATORY DATA COMPLIANCE

© Thomson Reuters XXXXXXXXXXXX

Thomson Reuters can help you meet your data management challenges.Find out more at prdcommunity.com. To learn about our other risk solutions,please visit: risk.thomsonreuters.com.