Welcome to the Policy Patty Toolkit!
Risk, compliance, and policy programs are just some of the factors that determine the success of an organization. When you need to develop or enhance these areas of your business, turn to the Policy Patty Toolkit for assistance. We will work with you on creating efficient and effective solutions for your business needs.
SAVE THE DATE - Upcoming webinar hosted by MetricStream on policy management and rule changes - EVENT
Are Regulatory Rule Changes Factored into your Policy Management Process?
Date: Tuesday, September 26, 2017 | Time: 8 am PDT | 11 am EDT
Recent FINRA disciplinary actions highlights issues with OBAs; good opportunity to re-assess your process using the tips set out in the article.