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Example DiscussionRegulatory Policies
Managing sector-specific regulations alongside general corporate policies
We operate in financial services and must comply with both general corporate governance requirements and sector-specific financial regulations. How do you integrate these without creating policy conflicts or gaps?
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Make A Policy Team1 Answers
Financial services policy frameworks require careful mapping. We maintain a regulatory register that maps each external requirement to our internal policy. For conflicts, sector-specific regulations typically take precedence, but we explicitly document these in our policy. Use a "compliance matrix" showing how each regulatory requirement is addressed across your policy suite. This becomes invaluable during regulatory examinations and helps identify gaps before auditors do.
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