Crafting a regulatory response program unifying all lines of defense
May 14 @ 1:00 pm – 2:00 pm EDT
Event details
A robust and comprehensive regulatory response program can enhance a financial services organization’s ability to sustainably navigate regulatory challenges while maintaining operational resilience and compliance.
This webinar from our “Transforming Financial Crime Challenges Into Opportunities” series will cover how to implement a regulatory response program across all three lines of defense. Crowe and industry specialists will discuss how to best craft proactive strategies, use technology, and foster collaboration among risk management, compliance, and business units.
You should leave this session with the ability to:
- Describe the examiner and regulatory agency processes for issuing enforcement actions and how to effectively communicate with examiners
- Identify opportunities for implementing proactive measures to address regulatory requirements and mitigate potential compliance issues
- Explain the importance of establishing an integrated regulatory response program across all three lines of defense
- Determine strategies for developing and implementing a regulatory response program to effectively address requirements outlined in enforcement actions
Continuing professional education
Prerequisites: None
Program level: Basic
Advance preparation: None
Delivery method: Webinar (group internet based)
Field of study: Specialized knowledge
This session is recommended for 1.0 hour of CPE credit.
Note: All participants MUST be logged into the webinar INDIVIDUALLY to receive CPE credit. CPE credit will only be granted in the name of the individual logged into the LIVE presentation. Crowe is unable to grant CPE credit for groups viewing the webinar or for viewing on-demand recordings of the webinar.
There is no registration fee for participating in this webinar; therefore, there is no cancellation fee.Additional CPE information
Presenters
Sydney Menefee, Partner, Consulting, Crowe
Shannon Moskal, Principal, Consulting, Crowe
Ralph Wright, Principal, Consulting, Crowe
Daniel Stipano, Partner, Davis Polk & Wardwell LLP
Who should attend?
Anti-money laundering officers, attorneys, board members, Bank Secrecy Act officers, chief audit executives, chief compliance officers, chief credit officers, chief executive officers, chief financial officers, chief information officers, chief information security officers, chief operations officers, chief risk officers, chief technology officers, compliance executives, general counsel, information security directors, information technology directors, internal audit directors, internal audit professionals, managing directors, managing partners, operations executives, partners, principals, and risk executives
Additional information
For additional information on this event, please contact Jonathan Losey.
