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The Future for Compliance – Best Practice and Delivering Value

The Future for Compliance – Best Practice and Delivering Value

2

Foreword

3

Introduction

4

Best practice Compliance

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Establishing a new Compliance dimension

8

Setting the Compliance strategy and priorities – aligning with the business

9

Spurring change and adding value – the new role of Compliance

10

Purism vs Pragmatism

12

Releasing and refocusing resources

13

Effective Compliance monitoring

15

Where does Compliance fit?

16

Optimal structure and reporting lines

17

Management information and technology

19

Managing the regulatory relationship

20

Conclusion – the imperative for change

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PricewaterhouseCoopers Financial Services Regulatory Practice

23

About PricewaterhouseCoopers

PricewaterhouseCoopers

1

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