When a compliance organization or regulator calls and tells you they’re coming to review your program or to investigate an issue, it’s important to understand the process, the possible motivation of your visitors and how your organization can best respond. During this webinar, you will learn the types of issues that give rise to a regulatory or compliance visit, the objectives and goals of these reviews and how to prepare for a visit.

BKD Forensics Institute – Fall 2014

They’re Here:  Understanding Your Compliance Regulator’s Motivation

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They’re Here:  Understanding Your Compliance Regulator’s Motivation

Date:  Wednesday, October 22, 2014
Time:
  11:30 a.m. - 12:30 p.m. Central time
CPE Credit:
  One CPE credit in Specialized Knowledge & Applications field of study may be awarded upon verification of participant attendance.

Presentation
Group Attendance Sheet

Learning Objectives

Upon completion of this webinar, participants will be able to:

  • Discuss compliance investigations and how they begin
  • Decide how to respond to such investigations
  • Identify steps necessary to mitigate likelihood of an investigation into misconduct
  • Discuss steps to rectify issues identified during an investigation

CPE INFORMATION

Audience: CFOs, attorneys, business owners, anyone interested in current events in technology
Program Level:  Overview
Delivery Method:  Group Internet-Based
Advance Preparation:  None
Prerequisites:  None
Refund Policy:  There is no fee associated with this webinar.
Contact Information If you have concerns or would like information regarding program cancellation policies or CPE credit, contact us at [email protected], at 800.472.2745 or visit BKD’s FAQs.

BKD, LLP is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.