Save time, empower your teams and effectively upgrade your processes with access to this practical RegTech Toolkit and guide. Address common challenges with best-practice templates, step-by-step work plans and maturity diagnostics for any RegTech related project.
Download the Toolkit and in Three Steps you will be guided from idea to implementation results.
The Toolkit contains the following practical and powerful enablers with new and updated RegTech specific requirements:
STEP 1: Get your bearings
- The latest quick edition of the RegTech Self Assessment book in PDF containing 49 requirements to perform a quickscan, get an overview and share with stakeholders.
Organized in a data driven improvement cycle RDMAICS (Recognize, Define, Measure, Analyze, Improve, Control and Sustain), check the…
- Example pre-filled Self-Assessment Excel Dashboard to get familiar with results generation
Then find your goals...
STEP 2: Set concrete goals, tasks, dates and numbers you can track
Featuring 992 new and updated case-based questions, organized into seven core areas of process design, this Self-Assessment will help you identify areas in which RegTech improvements can be made.
Examples; 10 of the 992 standard requirements:
- Will incumbent organizations maintain market share or will the future of financial services be one of disintermediation and technology companies who happen to sell financial products?
- Have you substantially increased the efficiency and accuracy of handling compliance, eliminated most manual tasks, and increased the amount of data that can be handled by one person?
- Do you provide detail on the business case potential of a move toward machine executable reporting for your organization or for organizations of different sizes in general?
- Can a headline-grabbing new segment of FinTech really deliver everything financial organizations need to leverage leading edge technology to boost compliance capabilities?
- Have you substantially increased the efficiency of handling compliance, eliminated most manual tasks, and increased the amount of data that can be handled by one person?
- How could you bring together a sufficiently broad representation of the industry, and have them collaborate and converge effectively within a tight timeframe?
- What is RegTech, how are financial services companies using it to address critical business issues, and are there adoption challenges still to be overcome?
- What RegTech could be introduced in order to make it easier for organizations to interact with regulators, at a lower cost and administrative burden?
- Do you have a view on what kind of funding model would be the most appropriate to progress the further development of the initial prototype design?
- Does risk and compliance have adequate involvement in decision making and monitoring over agreements with and services performed by third parties?
Complete the self assessment, on your own or with a team in a workshop setting. Use the workbook together with the self assessment requirements spreadsheet:
- The workbook is the latest in-depth complete edition of the RegTech book in PDF containing 992 requirements, which criteria correspond to the criteria in...
Your RegTech self-assessment dashboard which gives you your dynamically prioritized projects-ready tool and shows your organization exactly what to do next:
- The Self-Assessment Excel Dashboard; with the RegTech Self-Assessment and Scorecard you will develop a clear picture of which RegTech areas need attention, which requirements you should focus on and who will be responsible for them:
- Shows your organization instant insight in areas for improvement: Auto generates reports, radar chart for maturity assessment, insights per process and participant and bespoke, ready to use, RACI Matrix
- Gives you a professional Dashboard to guide and perform a thorough RegTech Self-Assessment
- Is secure: Ensures offline data protection of your Self-Assessment results
- Dynamically prioritized projects-ready RACI Matrix shows your organization exactly what to do next:
STEP 3: Implement, Track, follow up and revise strategy
The outcomes of STEP 2, the self assessment, are the inputs for STEP 3; Start and manage RegTech projects with the 62 implementation resources:
- 62 step-by-step RegTech Project Management Form Templates covering over 1500 RegTech project requirements and success criteria:
Examples; 10 of the check box criteria:
- Cost Baseline: Have all approved changes to the RegTech project requirement been identified and impact on the performance, cost, and schedule baselines documented?
- Stakeholder Management Plan: Is quality monitored from the perspective of the customers needs and expectations?
- Change Management Plan: Why would a RegTech project run more smoothly when change management is emphasized from the beginning?
- Risk Management Plan: Are there new risks that mitigation strategies might introduce?
- Risk Audit: Do you have a consistent repeatable process that is actually used?
- Team Member Performance Assessment: Does the rater (supervisor) have the authority or responsibility to tell an employee that the employees performance is unsatisfactory?
- Project Performance Report: To what degree can the cognitive capacity of individuals accommodate the flow of information?
- Activity Duration Estimates: Are changes to the scope managed according to defined procedures?
- Project Charter: RegTech project deliverables: what is the RegTech project going to produce?
- Quality Audit: Are storage areas and reconditioning operations designed to prevent mix-ups and assure orderly handling of both the distressed and reconditioned devices?
Step-by-step and complete RegTech Project Management Forms and Templates including check box criteria and templates.
1.0 Initiating Process Group:
- 1.1 RegTech project Charter
- 1.2 Stakeholder Register
- 1.3 Stakeholder Analysis Matrix
2.0 Planning Process Group:
- 2.1 RegTech project Management Plan
- 2.2 Scope Management Plan
- 2.3 Requirements Management Plan
- 2.4 Requirements Documentation
- 2.5 Requirements Traceability Matrix
- 2.6 RegTech project Scope Statement
- 2.7 Assumption and Constraint Log
- 2.8 Work Breakdown Structure
- 2.9 WBS Dictionary
- 2.10 Schedule Management Plan
- 2.11 Activity List
- 2.12 Activity Attributes
- 2.13 Milestone List
- 2.14 Network Diagram
- 2.15 Activity Resource Requirements
- 2.16 Resource Breakdown Structure
- 2.17 Activity Duration Estimates
- 2.18 Duration Estimating Worksheet
- 2.19 RegTech project Schedule
- 2.20 Cost Management Plan
- 2.21 Activity Cost Estimates
- 2.22 Cost Estimating Worksheet
- 2.23 Cost Baseline
- 2.24 Quality Management Plan
- 2.25 Quality Metrics
- 2.26 Process Improvement Plan
- 2.27 Responsibility Assignment Matrix
- 2.28 Roles and Responsibilities
- 2.29 Human Resource Management Plan
- 2.30 Communications Management Plan
- 2.31 Risk Management Plan
- 2.32 Risk Register
- 2.33 Probability and Impact Assessment
- 2.34 Probability and Impact Matrix
- 2.35 Risk Data Sheet
- 2.36 Procurement Management Plan
- 2.37 Source Selection Criteria
- 2.38 Stakeholder Management Plan
- 2.39 Change Management Plan
3.0 Executing Process Group:
- 3.1 Team Member Status Report
- 3.2 Change Request
- 3.3 Change Log
- 3.4 Decision Log
- 3.5 Quality Audit
- 3.6 Team Directory
- 3.7 Team Operating Agreement
- 3.8 Team Performance Assessment
- 3.9 Team Member Performance Assessment
- 3.10 Issue Log
4.0 Monitoring and Controlling Process Group:
- 4.1 RegTech project Performance Report
- 4.2 Variance Analysis
- 4.3 Earned Value Status
- 4.4 Risk Audit
- 4.5 Contractor Status Report
- 4.6 Formal Acceptance
5.0 Closing Process Group:
- 5.1 Procurement Audit
- 5.2 Contract Close-Out
- 5.3 RegTech project or Phase Close-Out
- 5.4 Lessons Learned
With this Three Step process you will have all the tools you need for any RegTech project with this in-depth RegTech Toolkit.
In using the Toolkit you will be better able to:
- Diagnose RegTech projects, initiatives, organizations, businesses and processes using accepted diagnostic standards and practices
- Implement evidence-based best practice strategies aligned with overall goals
- Integrate recent advances in RegTech and put process design strategies into practice according to best practice guidelines
Defining, designing, creating, and implementing a process to solve a business challenge or meet a business objective is the most valuable role; In EVERY company, organization and department.
Unless you are talking a one-time, single-use project within a business, there should be a process. Whether that process is managed and implemented by humans, AI, or a combination of the two, it needs to be designed by someone with a complex enough perspective to ask the right questions. Someone capable of asking the right questions and step back and say, 'What are we really trying to accomplish here? And is there a different way to look at it?'
This Toolkit empowers people to do just that - whether their title is entrepreneur, manager, consultant, (Vice-)President, CxO etc... - they are the people who rule the future. They are the person who asks the right questions to make RegTech investments work better.
This RegTech All-Inclusive Toolkit enables You to be that person.
Includes lifetime updates
Every self assessment comes with Lifetime Updates and Lifetime Free Updated Books. Lifetime Updates is an industry-first feature which allows you to receive verified self assessment updates, ensuring you always have the most accurate information at your fingertips.