The Basis of Compliance

Most regulatory agencies and self-regulating industry organizations regulate by documentation; that is, they determine whether you comply with their accepted procedures—and your own—by examining the documents you use to track program management and the effective use of policies and procedures.

A consultant analyzes your business in great depth to identify the processes that require documentation, and what level of documentation is appropriate for each case. The consultant then builds a precisely tailored system of document models and the method for using each model to record the required information at each step in the process.

David A. Cook and Associates maintains an extensive library of experience-based models from which the consultant can build your document system quickly, efficiently, and at reasonable cost. In addition, David Cook’s extensive experience with document numbering systems and document registry enables him to create the exact numbering system you need to track all documents and produce the reports and supporting exhibits required for each regulatory audit or review.

This system is the most fundamental requirement for efficient and straightforward compliance, and should be in place as early as possible in the implementation of any program that is under regulation or oversight. Then the managers and intermediaries involved will have the information they need when and where they need it.

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