Wolters Kluwer

1. In how many U.S. states do you operate?

25 or more

6-25

1-5

2. How many U.S. regulatory bodies have oversight of your business?

50 or more

10-50

10 or less

3. How many full-time employees are required to manage regulatory change management operations?

10 or more

5-10

1-5

4. How reliant are you on Excel-based processes to implement regulatory change?

Completely

Somewhat

Not at all

5. How automated are your regulatory change management operations?

Not at all

Somewhat

Completely

6. How many regulatory exams has your institution faced in the last 5 years?

10 or more

5-10

Less than 5

7. What is the volume of regulatory changes that materially impact your business each year?

25 or more

10-25

1-10

8. Does your firm maintain an authoritative source library?

Partial

Yes

9. If you answered that your firm has an authoritative source library in the previous question, have you mapped elements of your compliance program to it, such as risks, policies, processes and controls?

N/A

Yes

10. In the event of key staff departures, how robust is your contingency plan?

Not at all

Somewhat

Completely

Thank you for completing the Regulatory Compliance Management Risk Assessment

This assessment can be a valuable tool for determining the compliance and operational risk exposure in your current regulatory change management practices.

Please complete the form below and your results will be promptly emailed to you.

These assessment results are not to be used as a substitute for legal or other professional advice or services, and there can be no guarantee of the relevant level of risk or of any particular outcome based on these results. Wolters Kluwer makes no representation or warranty with respect to this assessment and the results provided, and further, Wolters Kluwer does not make any representation or warranty about any of its product offerings or services pursuant to this assessment and results provided.Loan asset certainty:

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Regulatory change management risk assessment

Thank you for completing the Regulatory Compliance Management Risk Assessment