6c. ALL LAB - Regulatory Change Management (Intermediate - CLOSED)
Regardless of your firm size, Advisers face challenges when confronted with a new regulatory rule. From the adoption of new policies to the implementation of new internal procedures, regulatory change management refers to the process through which organizations monitor, assess, and adapt to changes in regulations that impact their operations. During this interactive lab, hear from compliance experts and your peers on processes to help organizations navigate the dynamic regulatory environment and mitigate risks associated with regulatory change management. Attendees will be seated in working groups according to their firm’s size.
This session is closed to both regulators and members of the press.
The following learning objectives will be met using case studies, examples, group discussions, and other application activities:
Hear how firms stay abreast of evolving regulations from the varying regulatory bodies.
Discuss how firms evaluate the impact on the business and delegate owners within the change management process.
Share best practices for building and implementing a regulatory change management program.
Discuss lessons learned from those who prepared to apply past regulatory changes based on proposed rules.
