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.
Upon completing the first day of this workshop, participants will be able to:
Completion of the workshop’s second day will prepare participants to:
Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: Basic knowledge of internal control and regulatory compliance programs.
For Registration :