(Length: 26 pages)

July 12, 2005

Seven Habits Of Highly Effective Compliance Programs

by Michael Rasmussen

with Robert Markham, Laurie M. Orlov, Michael Hudson, Samuel Bright

Executive Summary (This is a document excerpt)

Today, compliance is a daunting challenge to organizations because they are faced with a mountain of regulatory obligations. In the past, organizations tackled compliance as islands of projects scattered throughout the organization, leading to inconsistent approaches and a duplication of efforts. To achieve sustainable compliance, firms must develop a process and management function. In line with government guidance, sustainable compliance must encompass and sustain seven habits.

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TABLE OF CONTENTS

NOTES & RESOURCES

itemA Process — Not A Project Or Technology

itemSeven Habits Sustain A Highly Effective Compliance Program

itemHabit No. 1: Document The Policy And Control Environment

itemHabit No. 2: Assign Appropriate Oversight Of Compliance Management

itemHabit No. 3: Require Personnel Screening And Access Control

itemHabit No. 4: Ensure Compliance Through Training And Communication

itemHabit No. 5: Implement Regular Control Monitoring And Auditing

itemHabit No. 6: Consistently Enforce The Control Environment

itemHabit No. 7: Prevent And Respond To Incidents And Gaps In Controls

recommendations

itemCompliance Involves Policy, People, Process, And Technology

WHAT IT MEANS

itemArchitect For Sustainable Compliance

alternative view

itemWhy You Can't Just Scrape By

In developing this report, Forrester drew from a wealth of analyst experience, insight, and research through advisory and inquiry discussions with end users, vendors, and regulators across industry sectors.

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Find Documents In Related Categories

This document falls under the following categories. Click on a link below to find similar documents.

Technology: Governance, Risk, & Compliance, IT Management, IT Strategy, Planning, & Governance, Security & Risk, Security Operations
Geography: Asia Pacific, Europe, North America
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Original air date: Friday, September 14, 2007
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