Seminar on Risk Reduction against Regulatory Enforcement by the Investment Advisory Community Panel

Overview:

This training will help make you aware of the importance of your clean enforcement record.

We will explore what a compliance program is and how to protect against each kind of exposure.

You will be trained about protecting your compliance reputation to make it a profit enhancer.

How the world of finance deals with compliance and how you can use your favorable compliance record as magnet for investors will be explored.

How protecting your compliance record against enforcement action will be focused upon and use of special insurance to protect your compliance record and bottom line will be explained.

Expanding the depth and breadth of the markets to which you sell by creating a multiplier of revenue with clean compliance to further increase your market reach. You will be instructed about how and when to utilize this successful strategy for growing your enterprise

Why you should attend:

• How protecting against enforcement action is a profit enhancer
• Protecting against enforcement action as a magnet for investors
• Use of insurance or insurance like products to protect both your clean record and bottom-line
• How protecting against enforcement action gives you a Second Life
• Protecting against enforcement to multiply your market reach

Areas Covered in the Session:

Upon completing this course participants should:

·         Understand how identify and protect compliance integrity

·         Utilize compliance integrity

·         Evaluate effectiveness, suitability and adaptability of implemented solutions/corrective actions

·         Receive a tool box of methods to assist you in knowing if you have a comprehensive, bullet proof system for growing compliance integrity into revenue

·         To investigate and to evaluate and prioritize solutions

·         Problem solving methods to help you assess which is best for your situation

·         Develop successful implementation plans

·         Differentiate between proactive and reactive actions

·         Understand where an issue can be localized or must be evaluated in the larger context for systemic effect

·         Perform opportunity assessments effectively

·         Understand where companies adopt best practices

Agenda:

Day 1 Schedule:

Lecture 1: Process Overview

Lecture 2: Identifying what to protect with compliance integrity

• How to use the compliance integrity system

Lecture 3: Protecting others

Lecture 4: Protecting yourself

• Tips and pitfalls for choosing to protect
  • Others
• Yourself
  • Internal Sources, External Sources, and Outputs

Lecture 5: Partnering for compliance integrity development

Lecture 6: What should you be looking for?

• Corrections
• Management

Lecture 7: Building a compliance culture

Lecture 8: Ideal characteristics and Record

• People, process, tools

Lecture 9: The Ideal record

Lecture 10: The Law Perspective and Analysis

Day 2 Schedule:

• The 5 Why's;
• Revenue strategies diagram
• Compliance integrity marketing charts;
• Process mapping;
• Tree Analysis (FTA)

Lecture 11: IP Analysis

Lecture 12: The compliance integrity Profit Plan

• Establishing
• Relating a plan to each identified compliance integrity opportunity

Lecture 13: Plan Execution

Lecture 14: The Verification of Effectiveness

• Plan and execution

Lecture 15: documentation expectations

Lecture 16: reviews approvals

Lecture 17: closure

Lecture 18: Case Study Exercise from current compliance integrity best practices

Speaker:

Steven Lehat brings three decades of regulatory law solutions to your enterprise. Problems relating to trademarks, copyrights, the internet, franchising, CPSC, EPA, FDA, FTC, securities, and import/export transactions are solved within the context of the "totality of your operations." Companies of all sizes including international trade leaders like Pier 1 Imports, Bacardi and Hyundai Heavy Industries and foreign governments such as the Kingdom of Jordan and Trinidad and Tobago seek this guidance, and now you can bring this expertise into your inner circle. Steven Lehat implements worldwide trademark programs, establishes internet start-ups, and deflects government imposed penalties from regulatory agencies of all kinds.

Location: Philadelphia, PA      Date: July 30th & 31st, 2015    Time: 9:00 AM to 6:00 PM

Venue: WILL BE ANNOUNCED SOON

Price: $1,295.00 (Seminar for One Delegate)

Register now and save $200. 

(Early Bird) Until June 25, Early Bird Price: $1,295.00 

From June 26 to July 28, Regular Price: $1,495.00

Contact Information:

NetZealous LLC,

DBA GlobalCompliancePanel

161 Mission Falls Lane,

Suite 216, Fremont, CA 94539, USA         

USA Phone: 800-447-9407

Fax: 302-288-6884

support@globalcompliancepanel.com          

http://www.globalcompliancepanel.com

Event Registration Link - http://bit.ly/1EZnqYk