Guidance and tools (1)

This guidance document introduces Compliance Management System (CMS) supervision as a method to improve compliance within regulated companies. It is designed to help supervisors shift their focus from observing compliance to ensuring compliance. The document provides a flow chart to determine when CMS supervision is feasible and how to implement it. CMS supervision encourages companies to self-monitor, self-correct, and learn from violations, with public supervisors assessing the CMS's effectiveness. The guidance is intended for inspectors, policymakers, and managers to develop CMS supervision policies and strategies.