Policy Patty Toolkit

Making the world a little more compliant one toolkit at a time.

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. 


08/10/17  Featured Banner
Banner ad on the CCO Toolkit in this week's Corporate Compliance Insights newsletter; check it out - click here

SAVE THE DATE - Upcoming webinar hosted by MetricStream on policy management and rule changes - EVENT 
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Are Regulatory Rule Changes Factored into your Policy Management Process?
Date: Tuesday, September 26, 2017 | Time: 8 am PDT | 11 am EDT

Article covers the need for compliance leaders to assess their compliance functions periodically and provides practical tips on how to do so.
08/03/17 CCO Toolkit Series 1.0 - featured in financialish.com newsletter
08/01/17 Posted blog on LinkedIn - ARTICLE
07/27/17 CCO Toolkit Series 1.0 is here!
The toolkit is a compilation of guides and accompanying overviews on important compliance functions. Read more - click here or purchase the full set (click here)
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