Today, organizations are faced with an increasing number of complex regulatory mandates and policy obligations that require strict compliance. This has created added pressure on compliance executives to ensure that Board of Directors, management and employees are in compliance with the rules and regulations of regulatory agencies that company corporate governance policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct.

The Corporate Compliance Office responsibilities include:

  • The corporate knowledge base for all regulatory requirements and compliance roadmaps;
  • As the main organizational champion to ensure all regulatory requirements are met while partnering with line of business sponsors to joint meet company goals;
  • As a channel of communication to receive and direct compliance issues to appropriate resources for investigation, resolution and reporting

Compliance executives need to address the growing social communications technology their companies are adopting to ensure they are not violating regulatory data retention requirements. The Actiance Platform helps regulated organizations meet federal, state and local regulatory requirements and corporate governance for data retention and supervision. This is accomplished by enabling the capture, archiving, centralized control, management and monitoring of the broadest set of communication and social channels, lowering the total cost of compliance when compared to managing compliance within each individual application.

The Actiance Platform also delivers Active Compliance by enabling the implementation of policies that can be set specifically for domain-based groups, group-to-group, and between registered employees and external, non-employees. For example, policies can enforce ethical walls between trading groups, provide feature control within specific channels, and use lexicons to block messages containing specific keywords, phrases or expressions from being transferred outside of the organization.

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