United States

Regulatory compliance webcast series - Spring 2015


Download webcast slides

Watch our complimentary webcast to gain clarity around regulatory compliance issues impacting your institution or organization. This first installment of our 2015 series is led by RSM presenters Ty Beasley, Rory Flynn, Robyn Ericson and Sonja Kriegsmann. Guest speakers include Camden Webb and Alan Clark of Williams Mullen.


  • CFPB investigation process and enforcement actions: We will explain the CFPB’s powers related to examinations, investigations and enforcement, as well as the powers of other federal agencies and state regulators. We will also review the investigation process, how the actions of the CFPB, U.S. Department of Justice and state attorneys’ general actions work, and highlight ways organizations can prepare for possible investigations. In addition, we will explain how civil actions can arise from regulatory examinations and investigations and take a look at the regulators’ current compliance priorities and discuss how to properly respond to adverse examination findings.
  • Using the compliance management system framework for vendor management: As the regulatory environment continues to evolve, challenges and risks are increasing. We’ll discuss the four components of an effective compliance management system and how they can be used to mitigate vendor risk.
  • Updates and reminders

Featured Presenters

Ty Beasley


Robyn Ericson


Sonja Kriegsmann


Webcast Details

Who should attend: Chief Compliance Officers, compliance professionals

Cost: Complimentary