Regulatory Compliance Association Reviews

Compliance Transformation™

Practice Edge 02

Date: TBD
General Session: 12 Noon to 1:30 PM EST
Location: Webcast (Free)

Interested in Continuing Compliance Education™, CLE or CPE (A & A hours)? Attend via the RCA’s Online University (On Demand) — free for Practice Edge Elite Members

Become a Practice Edge Elite Member

The current environment is one of heightened regulatory scrutiny and expectations. In the industry, there has been an increase in regulatory enforcement actions, fines and penalties with reputations being at risk. The pace of regulatory change and change to the regulatory landscape demands a focus on enhancements to the current compliance management programs. Also, with these demands there is a new expectation of expanded accountability for compliance integrating compliance into all facets of the business model. This course will discuss the framework for compliance enhancements or “transformation” of the current compliance management program. This course will serve as a forum for the panelists to share and discuss ideas and best practices for achieving this goal.

Students will master the following at the conclusion of this session:

  • Comprehend the environment that demands a focus on enhancements to the current compliance management program and a new expectation of expanded accountability for compliance; integrating compliance into all facets of the business model
  • Be able to identify and apply the 8 components of the framework for compliance transformation
  • Grasp in greater detail the two fundamental components of the firm’s organizational compliance structure
  • Acknowledge and apply in greater detail the six fundamental components of the firm’s Compliance Risk Management Framework identifying people, process, and technology for optimal compliance transformation

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

John Schneider, Partner, Risk Advisory, KPMG

Guest Lecturers:

TBD

Register Now