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 Filed in Compliance

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

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 se 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: Dominick Campagna, Director, Solutions Engineering & Sales Enablement, LogicGate


Additional Information:

Field of Study: Management Services

Prerequisites: None

Advanced Preparation: None

Program Level: Basic

Delivery Method: Group Internet Based

CPE Credit Notice

This is a group internet-based event for NASBA authorized continuing education credit. OCEG webinars are free for anyone to attend, but only Attendees who have an OCEG All Access Pass will receive a Certificate of Completion for the webinar indicating 1 hour of CPE credit.

OCEG is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have the final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org. For information regarding administrative issues such as complaints or refunds, please contact OCEG at info@oceg.org.

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