Managing Regulatory Relationships-Playing by the Regulator's Rulebook

Date: Wednesday, January 25, 2017 | Time: 10 am PST | 1 pm EST

Panelists

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The rise in compliance violations, coupled with the onset of rigorous new laws, have prompted regulators to issue increasingly strict regulatory exams. Given that a single negative review can adversely affect a firm’s profitability and reputation, the onus is on banks and financial institutions to do their homework, and ensure that they are well-prepared to face these exams.

For regulatory engagement managers, the biggest task is managing the extensive documentation created during different stages of the exam process. Without a centralized system to manage the required paperwork, it can be difficult to track, retrieve, and deliver timely information to regulators.

Please join Michael Rasmussen, Chief GRC Pundit of GRC 20/20 Research, and Kristen Gantt, Regional Vice President, MetricStream to find out more on:

  • Preparing for a regulatory exam - Challenges and ways to overcome them
  • Strengthening regulatory relationship with a robust regulatory exam management process
  • Core elements of an effective regulatory examination management program
  • Adopting technology to streamline the overall examination process and gain process visibility

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Speaker3Nisha Sharma
Senior Manager
MetricStream
 

Ms. Sharma leads the marketing efforts for Audit and Risk Management Solutions offerings within MetricStream. She has over 9 years of experience primarily in consulting and marketing and was associated with the tax consulting practice for one of the big 4 consulting firms and have been engaged with multiple Fortune 500 organizations in this capacity. She has a Bachelor of Commerce (Honors) from Delhi University.

Speaker4Nisha Sharma
Senior Manager
MetricStream
 

Ms. Sharma leads the marketing efforts for Audit and Risk Management Solutions offerings within MetricStream. She has over 9 years of experience primarily in consulting and marketing and was associated with the tax consulting practice for one of the big 4 consulting firms and have been engaged with multiple Fortune 500 organizations in this capacity. She has a Bachelor of Commerce (Honors) from Delhi University.