Description
The Compliance Management System (CMS) includes everything needed to implement new regulatory requirements. The CMS includes the Director/Senior Manager Update, the Playbook, the Policy Update, the Procedures Update, the Risk Assessment, and various flowcharts and checklists. It also includes an implementation video that explains the regulatory requirement and the various components of the CMS. The Section 1026.36 Prohibitions Compliance Management System contains the information and tools needed to successfully implement the prohibitions on mandatory arbitration, various waivers, and financing credit insurance.
3/11/2020
