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Policies and Procedures Management

CODE Policy and Procedures Management, an enterprise workflow, work-process and task management solution, enables comprehensive, end-to-end administration and oversight of all elements of the firm’s written supervisory policies and procedures. This includes the policy approval process, policy distribution, attestation management, testing program management and deficiency and case management.

Broker Dealers
CODE Policy and Procedures Management uniquely integrates FINRA’s Written Supervisory Procedure Review Checklist and CODE’s robust Regulatory Change Management, impacted policies are automatically flagged upon changes to rules or relevant enforcement actions, ensuring the firm’s compliance program is current and evergreen. Read More.

Insurance Companies
CODE Policies and Procedures Management can integrate with CODE Regulatory Change Management to automatically flag policies that are potentially impacted by changes to rules across the 51 U.S. State Departments of Insurance, ensuring the firm’s compliance program is current and evergreen. Read More.