Policy Patty Toolkit

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

CCO Toolkit Series 1.0

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.

Purchase the full set - click here

Policy Patty Toolkit - Checklists Series 1.0
Policy Patty Toolkit - Roadmaps Series 1.0
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Coverage Areas - develop, enhance or assess your organization's key programs 

  • Policy Governance and Program
  • Records and Information Management Program
  • New Product Approval Program
  • Cybersecurity Program
  • Data Protection and Privacy Program
  • Identity Theft Prevention Program
  • Business Continuity Program
  • Third Party / Vendor Governance and Management

Core Documents - assist with developing or updating key documents 

  • Codes of Conduct
  • Policy Documents

Tools - create tools to assist with the development, enhancement, maintenance or assessment of programs, controls and processes

  • Program Assessments
  • Checklists
  • Forms and Templates

  • Presentations
  • Reports
  • Training and Communications