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The Regulatory Applicability Matrix: Not a Best Practice, but a Damn Good One – Compliant Life

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Civil liberties lawyer Harvey Silvergate estimates that the average person breaks three federal criminal laws per day. It reminds me of the child’s prayer, “God, thus far I’ve been perfect today, but I’m about to get out of bed, and I’m gonna need some help.” As individuals we may get by with ignorance of the law, which is no excuse for criminal conduct, but regulated organizations cannot. While I hate the idea of suggesting the development of a matrix, primarily because my dislike of the word stemming from its overuse, the regulatory applicability matrix (“RAM”) can be the foundation for any regulated organization to ensure controls are in place to guard against regulatory breaches. In developing the RAM, we need to understand its value, the foundation of a good matrix, how the Code of Federal Regulations is organized, and how to get started. Vendors offer RAMs under many names. Most use of the word library. I suggest not purchasing them. It’s not because they aren’t good, but it’s be

Introduction Civil liberties lawyer Harvey Silvergate estimates that the average person breaks three federal criminal laws per day. It reminds me of the child’s prayer, “God, thus far I’ve been perfect today, but I’m about to get out of bed, and I’m gonna need some help.” As individuals we may get by with ignorance of the law, which is no excuse for criminal conduct, but regulated organizations cannot. While I hate the idea of suggesting the development of a matrix, primarily because my dislike of the word stemming from its overuse, the regulatory applicability matrix (“RAM”) can be the founda

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