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Regulatory Change Management

In the current highly scrutinized regulatory environment, management needs to know that their policies and procedures are consistent with the regulations they represent. Regulatory change management, via the Regulatory Matrix, keeps your compliance staff up-to-date with the ins-and-outs of the ever-changing regulatory environment.
Clearly written, Plain-English summaries of regulatory initiatives, changes, and enforcement actions keep your team in the know, while convenient links to your related policies help to identify necessary modifications.
Centralized. Comprehensive. Current.
The Regulatory Matrix provides compliance and risk personnel the ability to easily stay current on regulatory changes that may be impacting their business. Through a single interface, Users can:
  • Access headlines from regulatory authorities (SEC, FINRA, MSRB, etc.)
  • Review synopsis of topics
  • Link to related firm polices and/or procedures
  • See related compliance topics
  • Review recent enforcement actions
  • View training courses addressing regulatory topics
The Regulatory Matrix is currently available for Retail Broker-Dealers. ( Click here to Learn More .) Other versions will be available for Global Asset Managers and Institutional Broker-Dealers in 2018.


    View Recent Headlines and Enforcement Actions.
  2. CLEAR
    Easy-to-use interface with easy access to headlines, regulatory actions and regulations.
    Integrate your policies and procedures with the Matrix to quickly see which policies/procedures may be impacted by a rule change.