Policy Patty Toolkit

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The CCO toolkit is a compilation of guides on a number of core compliance functions relevant

to Chief Compliance Officers in any sector.  Each guide sets forth best practices to help manage

the core compliance functions. 

The CCO Toolkit includes guides on:

  • Code of Conduct
  • Compliance Communications and Training
  • Compliance Monitoring
  • Compliance Program Assessment
  • Internal Investigations
  • Policy Management Framework
  • Preparing and Conducting Regulatory Exams
  • Regulatory Change Management
  • Selecting Technology

Each guide has an accompanying roadmap.

REFERENCE LIBRARY - Access information and references on key compliance and regulatory issues.



A calendar of industry events (conferences, seminars, roundtables, etc.)


SEC:     What's  New   Press Releases    Enforcement  Regulations

FINRA What’s New  Notices          Enforcement   Rule Filings

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. 

Take a look at the Toolkit page of this website, toolkit overview or send us an email for more information on how we can help your organization. 

07/05/17 OBAs  - Quick and Easy Steps for a Better Process - ARTICLE

Recent FINRA disciplinary actions highlights issues with OBAs; good opportunity to re-assess your process using the tips set out in the article.

My article published by Thomson Reuters highlighting President Trump taking aim at Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 and other financial laws, and possible measures for organizations to be doing to prepare for regulatory changes.
06/26/17 NEW Reference Library - RESOURCE
Page houses resources and reference materials on key compliance and regulatory issues
06/26/17 Industry Events Calendar - RESOURCE
A compilation of key financial services industry events (conferences, roundtables, seminars, etc.) - UPDATED
06/15/17 OCC Issues Guidance for Banks on Fintechs

OCC issues FAQs to supplement its 2013 guidance on third-party relationships with a focus on fintech companies. 

06/09/17 Regulatory Change Management Process
An overview of a regulatory change management process to help monitor regulatory changes, measure their impact, and compel accountabilities to implement the necessary controls.
06/08/17 New Policy Management Tools

05/31/17 New Resource Page


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