ComplianceOnline

"Implementing an Effective Regulatory and Policy Change Management Process" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 16.5 CPE credits upon completion of this workshop.

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail cpe@nasba.org.

In this two day workshop we will review regulatory compliance requirements and Policy Management. The course will focus on the design of the risk management, standard operating procedures (SOPs) and entities subject to corporate governance, development of regulatory change management methodology, development of procedures/tools for legislative and regulatory tracking, and implementation of the policy database. Additionally, we will review corporate vision, mission, principles and values.

The first day will cover how to create a regulatory intelligence strategy and process that monitors regulatory changes, and the second day of the conference will help attendees understand how to implement and effectively manage policies of an organization.

Day 1 - Regulatory Change Management

Regulatory change management needs to be supported by a well-designed and properly implemented process that ensures legislative and regulatory changes impacting your business, are captured, analyzed and, where applicable, embedded into company policies and procedures. Companies that do not have adequate processes in place to monitor regulatory change, determine impact on business processes, prioritize, and make changes to policies and procedures may suffer significant consequences. An effective and efficient workflow needs to be in place so that organizations are not overwhelmed by data obtained through legal and regulatory subscription services, websites, e-mails, and content aggregators.

This workshop will prepare participants to build a legislative and regulatory tracking process that monitors regulatory change, measures impact on business operations, and ensures the implementation of appropriate policy, training, and control updates.

Day 2 - Effective Policy Management

Policies & procedures must be in place to communicate to staff how the job should be done and to ensure the firm operates consistently and within approved risk appetite limits. They are also necessary to uphold the values established by the governing body, and to protect the firm against the actions of rogue employees. To develop effective policies and to manage and communicate them efficiently, organizations need well-designed processes and supporting technology to manage the Policy lifecycle. Ever-changing regulatory requirements, a complex business environment, and the increasing threat of conduct risk, require the implementation of an effective and efficient policy management system.

This workshop will allow participants to learn how to implement an effective and sustainable policy and procedure management process within their organizations.

Learning Objectives:

Upon completing the first day of this workshop, participants will be able to:

  • Develop a legislative and regulatory tracking program
  • Develop a regulatory classification process mapped to your organization’s enterprise risk taxonomy
  • Design a regulatory change management workflow covering all steps from identification to final implementation
  • Understand roles and responsibilities in the regulatory change management workflow
  • Conduct a business impact analysis to understand regulatory change impact on your business
  • Map regulations to policies so that you know what policies to review when regulations change
  • Develop an effective communication and training programs to ensure impacted associates are current with regulatory change
  • Track and report action plans to ensure that changes have been made to policies and standard operating procedures

Completion of the workshop’s second day will prepare participants to:

  • Understand corporate mission, vision, principles and values
  • Design a process lifecycle for developing and managing company policies and procedures
  • Develop an effective approach to policy issuance and maintenance
  • Understand the purpose of principles, policies, guidelines and procedures
  • Establish policy ownership and accountability
  • Provide consistency in policies through consistent style and language
  • Communicate policies and train staff on their application
  • Obtain evidence that new policies and significant changes have been properly implemented
  • Monitor indicators to establish effectiveness and/or issues with policies
Seminar Fee Includes:
Lunch
AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar

Who Will Benefit:

  • Risk Officers
  • Compliance Officers
  • Internal and External Auditors
  • Financial Controllers
  • Operations Managers
  • Information Technology Managers
  • Business Analysts
  • Corporate Secretaries

Field of Study:

  • Administrative Practice: 2.4 CPE Credits
  • Auditing: 1.2 CPE Credits
  • Business Management & Organization: 4.2 CPE Credits
  • Communications: 4.5 CPE Credits
  • Computer Science: 1.8 CPE Credits
  • Specialized Knowledge and Applications: 2.4 CPE Credits
  • Total CPE credits earned in this workshop: 16.5 CPE Credits

Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: Basic knowledge of internal control and regulatory compliance programs.

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Day 01(8:30 AM - 4:30 PM)
  • Day 1 – Regulatory Change Management
  • 8:30 to 9:00 AM: Breakfast & Introductions
  • 9:00 - 10:15 AM
    • Current Regulatory Environment
    • How to Develop a Legislative/Regulatory Tracking Program
    • Regulatory Change Management Workflow
    • Roles and Responsibilities
  • 10:15 - 10:30 AM: Coffee Break
  • 10:30 AM- 12:00 PM
    • Information Architecture of Regulatory Change Program
    • Technology Support
    • Regulatory Classification Process
    • Mapping to Enterprise Risk Taxonomy
  • 12:00 - 1:00 PM: Lunch
  • 1:00 – 2:30 PM
    • Business Impact Analysis
    • Mapping Regulations to Policies and Procedures
    • Action Plan Tracking and Reporting
    • Communication and Training Programs
  • 2:30 – 2:45 PM: Coffee Break
  • 2:45- 4:30 PM
    • Implementation
    • Regulatory Requirements and Risk and Control Self-Assessment
    • Key Compliance Indicators
    • Feedback and Evaluation
Day 02(8:30 AM - 3:30 PM)
  • Day 2 - Effective Policy Management
  • 8:00 to 8:30 AM: Breakfast and Introductions
  • 8:30 - 10:15 AM
    • Corporate Governance, Mission and Vision
    • Principles, Values, Policies, Guidelines and Procedures
    • Policy Management Lifecycle
    • Roles & Responsibilities
  • 10:15 - 10:30 AM: Coffee Break
  • 10:30 AM- 12:00 PM
    • Policy Design and Implementation
    • Policy Ownership and Accountability
    • Policy Management
  • 12:00 - 1:00 PM: Lunch<
  • 1:00 – 2:30 PM
    • Technology Support of Policy Management
    • Effective Communication & Training
    • Evidence of Proper Implementation
  • 2:30 – 2:45 PM: Coffee Break
  • 2:45 - 3:30 PM
    • Relationship of Policies to Other Areas of GRC
    • Exception Approval Process
    • Key Indicators
    • Annual Attestation
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Mario Mosse

Mario Mosse
President of MMosse Consulting, LLC

Mario Mosse has over 40 years of experience in operational risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry. Previously, he was the head of operational risk management at Prudential Financial, Inc. Prior to joining Prudential, Mr. Mosse was with The Chase Manhattan Bank, where he held several senior positions in internal audit and risk management.

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$1,599.00

Seminar One Registration

November 12-13, 2018, Philadelphia, PA
(Registrations till October 30, 2018 - $1599)
(Registrations after October 30, 2018 - $1699)




Early bird seats are limited and based on first-come, first-serve.

Your registration fee includes the workshop, all course materials and lunch.


For discounts on multiple registrations, contact customer care at +1-888-717-2436.

Other Registration Option

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Payment Mode

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Pay your check to (payee name) “MetricStream Inc” our parent company and Mail the check to:

ComplianceOnline (MetricStream, Inc),
2479 E. Bayshore Road Suite 260
Palo Alto, CA 94303
USA

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Please contact us at +1-888-717-2436 to get details of wire transfer option.

Terms & Conditions to Register for the Seminar/Conference/Event

Your registration for the seminar is subject to following terms and conditions. If you need any clarification before registering for this seminar please call us @ +1-888-717-2436 or email us @ customercare@complianceonline.com

Payment:
Payment is required 2 days before the date of the conference. We accept American Express, Visa and MasterCard. Make checks payable to MetricStream Inc. (our parent company).

Cancellations and substitutions:
Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund - less a $300 administration fee. No cancellations will be accepted - nor refunds issued - within 10 calendar days before the start date of the event.

On request by email or fax (before the seminar) a credit for the amount paid minus administration fees ($300) will be transferred to any future ComplianceOnline event and a credit note will be issued.

Substitutions may be made at any time. No-shows will be charged the full amount.

We discourage onsite registrations, however if you wish to register onsite, payment to happen through credit card immediately or check to be submitted onsite. Conference material will be given on the spot if it is available after distributing to other attendees. In case it is not available, we will send the material after the conference is over.

In the event ComplianceOnline cancels the seminar, ComplianceOnline is not responsible for any airfare, hotel, other costs or losses incurred by registrants. Some topics and speakers may be subject to change without notice.

Attendance confirmation and documents to carry to the seminar venue:
After we receive the payment from the registered attendee, an electronic event pass will be sent to the email address associated with the registrant 5 working days before the seminar date. Please bring the pass to the venue of the event.

Conference photograph / video:
By registering and attending ComplianceOnline conference, you agree to have your photographs or videos taken at the conference venue and you do not have any objections to ComplianceOnline using these photos and videos for marketing, archiving or any other conference related activities. You agree to release ComplianceOnline from any kind of claims arising out of copyright or privacy violations.

Location

Pyramid Club
1735 Market Street
BNY Mellon Center - 52nd Floor
Philadelphia, PA 19103, USA
Tel: +1-215-567-6510

November 12-13, 2018

How to Reach

General Driving Directions:

Driving directions from Philadelphia International Airport - 9.2 miles:
  • Get on PA-291 E/Penrose Ave from Garage Access Rd and Exit 13.
  • Continue on PA-291 E/Penrose Ave.
  • Take S 26th St and I-76 W to N 18th St. Destination will be on the right.
Select hotels close to meeting venue:
  • 300 feet | 1 min walk | Sonesta Philadelphia Downtown Rittenhouse Square | 1800 Market St, Philadelphia, PA 19103 | sonesta.com | (215) 561-7500 | $199/night
  • 0.2 mi | 4 min walk | Hotel Sofitel Philadelphia | 120 S 17th St, Philadelphia, PA 19103 | accorhotels.com | (215) 569-8300 | $395/night
  • 0.1 mi | 3 min walk | The Westin Philadelphia | 99 South 17th Street at Liberty Place, Philadelphia, PA 19103 | westinphiladelphiahotel.com | (215) 563-1600 | $214/night

Disclaimer: Directions to the venue above have been taken from the hotel website. Attendees are advised to check with the hotel for confirmation of these directions before starting for the venue. ComplianceOnline is not responsible for any inaccuracies in the same.

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If you wish to partner with us for this event please contact us: partner@complianceonline.com or call us: +1-888-717-2436.

Sponsors
Platinum Partner
  • Logo on name cards
  • Logo placement on the podium
  • Logo on the lanyards for all speakers
  • Exclusive stall at the entrance
  • A full page brochure advert
Gold Partner
  • Logo on promotional email campaign
  • Logo on name cards
  • A half page brochure advert
  • Exclusive stall at the entrance
  • A quarter page brochure advert
  • Moving banner ad on the website
Silver Partner
  • Logo on name cards
  • Logo placement on the podium
  • Logo on the lanyards for all speakers
  • Exclusive stall at the entrance
  • A full page brochure advert
  • Moving banner ad on the website
Bronze Partner
  • Logo on promotional email campaign
  • Logo on name cards
  • A half page brochure advert
  • Exclusive stall at the entrance
  • A quarter page brochure advert
  • Moving banner ad on the website

If you wish to sponsor this event please contact Cruise Webster: cwebster@complianceonline.com or call us: (207) 576-4173

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Local Attractions of Philadelphia, PA

Philadelphia Museum of Art

Philadelphia Museum of Art

The Philadelphia Museum of Art sits majestically on a rise at the end of the Benjamin Franklin Parkway. The vast collections of this temple of art make it the third-largest art museum in the country, and an absolute must-see on the city's cultural circuit.
Among its impressive holdings in Renaissance, American, Impressionist and Modern art, some standouts include a great Rogier van der Weyden altarpiece, a large Bathers by Cezanne, a room devoted to Philadelphia's own Thomas Eakins, and Marcel Duchamp's notorious mixed-media Bride Stripped Bare by her Bachelors (The Large Glass), exactly as the dada master installed it.

Valley Forge National Historical Park

Valley Forge National Historical Park

With more than 3,600 acres of rolling hills and well-worn trails, Valley Forge is now a magnet for runners, bicyclists and picnickers as well as history buffs.
The vast expanse of open space links the Schuylkill River Trail to the Horse Shoe Trail, turning the park into a major hub in a 75-mile system linking Philadelphia to the Appalachian Trail.

The Liberty Bell Center

The Liberty Bell Center

The Liberty Bell has a new home, and it is as powerful and dramatic as the Bell itself. Throughout the expansive, light-filled Center, larger-than-life historic documents and graphic images explore the facts and the myths surrounding the Bell.

National Constitution Center

National Constitution Center

The 160,000-square-foot National Constitution Center explores and explains this amazing document through high-tech exhibits, artifacts, and interactive displays. The Kimmel Theater, a 350-seat star-shaped theater, features “Freedom Rising,” a multimedia production combining film, a live actor and video projection on a 360° screen to tell the stirring story of “We the people.”

The Franklin Institute

The Franklin Institute

An innovator in designing hands-on exhibits before “interactive” became a buzzword, The Franklin Institute is as clever as its namesake. Its eminently touchable attractions explore science in disciplines ranging from sports to space.
Highlights include The Sports Challenge, which uses virtual-reality technology to illustrate the physics of sports; The Train Factory's climb-aboard steam engine; Space Command's simulated earth-orbit research station; a fully equipped weather station; and exhibits on electricity.

The Barnes Foundation

The Barnes Foundation

The Barnes Foundation was created in 1922, a school originating with Barnes’ educational experimentation in his Argyrol (pharmaceutical) factory. Barnes and The Foundation’s first director of education, John Dewey, were interested in fostering cognitive development through new approaches to education, and in heightening critical-thinking and problem-solving skills through the study of art. Barnes, like Dewey, was actively engaged in development of an intellectual framework and educational philosophies and practices with many of the best artists and thinkers of his day.

The Rocky Statue

The Rocky Statue

One of Philadelphia’s most famous pieces of public art is a bigger-than-life boxer… literally. Originally created for Rocky III, the sculpture is now a real-life monument to a celluloid hero. The fictional Rocky Balboa of Sylvester Stallone’s Rocky movies was immortalized in bronze in 1980. After filming for the movie completed, Stallone donated the statue to the City of Philadelphia.

Franklin Square

Franklin Square

Franklin Square, one of Philadelphia’s five original public squares laid out by William Penn in his original plan for the city, has undergone a dramatic renovation. The park now boasts several family-friendly attractions, including a miniature golf course, classic carousel, burger joint, storytelling bench, picnic area and more.

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