Seminar on Risk Reduction against Regulatory Enforcement by the Investment Advisory Community Panel | September 10, 2015 8:30 AM - September 11, 2015 4:30 PM |

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

Event Summary

September 10, 2015 - September 11, 2015
San Diego, CA 92101
United States
September 10, 2015 8:30 AM
September 11, 2015 4:30 PM
[email protected]
Click here to Visit


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
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
o Others
• Yourself
o 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
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: San Diego, CA Date: September 10th & 11th, 2015 Time: 8:30 AM to 4:30 PM
Price: $1,295.00 (Seminar for One Delegate)
Register now and save $200.
(Early Bird) Until July 31st, Early Bird Price: $1,295.00
From August 01 to September 08, Regular Price: $1,495.00
Contact Information:
NetZealous LLC,
DBA GlobalCompliancePanel
161 Mission Falls Lane,
Suite 216, Fremont, CA 94539, USA
USA Phone: 1-800-447-9407
Fax: 302-288-6884
[email protected]
Event Registration Link -