Put your CMS to the test

We have a Compliance Management System. *

Yes

No

Our policies for our Compliance Program are in writing. *

Yes

No

We have written Procedures to support our Compliance Program policies. *

Yes

No

We have a comprehensive Compliance Training program with testing and tracking. *

Yes

No

We have a dedicated and experienced Director of Compliance. *

Yes

No

We have had our CMS and Compliance Program audited by a third party. *

Yes

No

Our team performs regular internal audits. *

Yes

No

Monitoring is performed by all business functions and reviewed regularly by management. *

Yes

No

We have a system to track, respond and analyze complaints. *

Yes

No

We are comfortable that our program addresses all the applicable regulations, laws and best practices of the industry. *

Yes

No

We feel that the current Compliance Program minimizes regulatory, reputational and legal risks to our company. *

Yes

No

Full Name *

Email *

Phone Number *