Regulatory Compliance: Effectively Managing Your Regulatory Obligations Register

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Regulatory Compliance: Effectively Managing Your Regulatory Obligations Register
November
18
Date:
November 18
Time:
1:00 PM
Time zone:
America/New_York
Duration:
1h
Webinar Recording Filed in Compliance

In this webinar, we’ll walk you through regulatory compliance insights and best practices to save you time and resources.

PLEASE NOTE. Certificates of Completion for CPE credit are not available for viewing of archived webinars. For GRCP holders, viewing of archived webinars will be automatically tracked and recorded in your Certification Dashboard on your Profile on the OCEG site and will count toward GRCP CPE requirements only.

Struggling to understand what your organization needs to comply with? Wasting too much time and resources scraping through regulations and building your obligation register? You’re not alone. Firms spend hundreds of hours mining regulations to understand what they need to comply with. They then have to repeat this process with every new change in regulation. The more products/services/regulators you have or the more regions you operate in, the more complex this becomes.

 In this webinar, we’ll walk you through regulatory compliance insights and best practices to save you time and resources. We’ll discuss why it’s more effective to start at the line level of regulation and determine your obligations from the bottom up, and we’ll walk you through how to set up a sustainable and repeatable process to do so. We’ll also walk you through the benefits of automation and how to decide on what you can and should automate. There are many different ways to look at the “compliance tech stack,” and we’ll discuss the most effective strategies. 

Learning Objectives:

  • Understand the difference between “top down” and “bottom up” approach to understanding what requirements apply to you
  • Learn how to evidence compliance — how to evidence that you’ve been in compliance, especially during a pandemic when the labor force is spread out
  • Discuss rising Board concerns - how to balance budget with increasing compliance costs (how do you balance in-house staff, outsourcing, and technology?)
  • Learn how to set up a repeatable process around your compliance program to manage change & downstream impact

Speakers:

  • Brian Clark, Founder and CEO, Ascent
  • Marc Van de Ven, Senior Solutions Engineer, LogicGate
  • Moderator: Megan Brown, Head of Strategic Alliances, LogicGate



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