Policies and Procedures | Wolters Kluwer Financial Services OneSumX
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OneSumX for Policies and Procedures

  • Assemble, revise and distribute policy manuals with flexibility, transparency, and accountability. Incorporate continuously updated content and best practices to maintain compliance with current regulations.

    Recognizing the significant challenges organizations face in assembling, revising and distributing policy manuals, we created the Policies and Procedure module to automate the process and provide much needed visibility and accountability into the process. Our solution allows you to easily manage policies and procedures across multiple authors, business units and geographic locations. Our expert authored content is relied on and trusted by hundreds of financial organizations that want to efficiently and effectively implement best practices within their firms.

    With OneSumX for Policies and Procedures you get best in-class:

    Policies and Procedures Manuals

    • Draft and publish policy manuals while recording a history of changes and annotating the key drivers at each moment of change.
    • Maintain archive of past manuals with associated effective dates. Track updates to both manuals and individual chapters within the manual.

    Multi-User Security

    • Support for multiple editors/publishers based on individual policy chapter assignments and track editing changes.
    • Distribute policies for attestation to all relevant users. The system supports simple attestation or more complex surveys or self-assessments based on understanding of the policy information.

    Industry-Specific Library of Policies and Procedures Templates

    • Banking compliance content based on cited references to federal banking regulations
    • Extensive securities content and policy manuals
    • Platform for content relevant to insurance companies

    Audit Procedures

    • Testing Checklists help ensure that compliance monitoring is tied to core regulatory requirements