On January 14, 2026, FINRA filed SR-FINRA-2026-001 with the U.S. Securities and Exchange Commission, proposing […]
Implementing Your Compliance Technology Roadmap

This is the fifth, and final in our series on Building a Business Case for Compliance Technology for Hearsay Systems. In this article, Mitch Avnet shares his thoughts on the final phase of implementation in your compliance strategy, and the important role a project manager or PM will play in the process.
Reaching the implementation stage of your compliance technology plan is a major accomplishment. It means you’ve successfully completed a gap analysis, drawn an implementation road map, decided on vendors and received the go-ahead from executive leadership. Congratulations! But don’t rest on your laurels just yet – the ultimate success of your project depends on some key factors during the final phase of implementation.
To ensure you can execute according to plan, you’ll need a strong project manager or PM team, depending on the size of your organization and complexity of your implementation. Some organizations have the bandwidth to manage a major project internally, others turn management over to an outside consultancy who works with the internal implementation team.
On January 14, 2026, FINRA filed SR-FINRA-2026-001 with the U.S. Securities and Exchange Commission, proposing […]
Q1 Annual Testing Kickoff The Moment That Matters Q1 is not just the start of […]
Why the First 90 Days Can Determine the Next 10 Years Executive Summary The decision […]
On January 14, 2026, FINRA filed SR-FINRA-2026-001 with the U.S. Securities and Exchange Commission, proposing […]
Q1 Annual Testing Kickoff The Moment That Matters Q1 is not just the start of […]
Why the First 90 Days Can Determine the Next 10 Years Executive Summary The decision […]