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What is a Compliance Management System (CMS)?

A CMS is how an institution:

• Learns about its compliance responsibilities

• Ensures that employees understand these responsibilities

• Ensures that requirements are incorporated into business processes

• Reviews operations to ensure responsibilities are carried out and requirements are met

• Takes corrective action and updates materials as necessary

Components of a CMS

An effective CMS is comprised of three interdependent elements:

1. Board and management oversight

2. Compliance program

3. Compliance audit