ºÝºÝߣshows by User: complianceonline123 / http://www.slideshare.net/images/logo.gif ºÝºÝߣshows by User: complianceonline123 / Thu, 14 Apr 2016 11:54:32 GMT ºÝºÝߣShare feed for ºÝºÝߣshows by User: complianceonline123 Fda adverse event reporting requirements for otc drugs /slideshow/fda-adverse-event-reporting-requirements-for-otc-drugs/60910538 fdaadverseeventreportingrequirementsforotcdrugs-160414115433
ComplianceOnline webinar on regulatory requirements for adverse event reporting for dietary supplements and OTC products]]>
ComplianceOnline webinar on regulatory requirements for adverse event reporting for dietary supplements and OTC products]]> Thu, 14 Apr 2016 11:54:32 GMT /slideshow/fda-adverse-event-reporting-requirements-for-otc-drugs/60910538 complianceonline123@slideshare.net(complianceonline123) Fda adverse event reporting requirements for otc drugs complianceonline123 ComplianceOnline webinar on regulatory requirements for adverse event reporting for dietary supplements and OTC products <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/fdaadverseeventreportingrequirementsforotcdrugs-160414115433-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> ComplianceOnline webinar on regulatory requirements for adverse event reporting for dietary supplements and OTC products
Fda adverse event reporting requirements for otc drugs from complianceonline123
]]> 1056 13 https://cdn.slidesharecdn.com/ss_thumbnails/fdaadverseeventreportingrequirementsforotcdrugs-160414115433-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Social media risks rules policies procedures /slideshow/social-media-risks-rules-policies-procedures/60553015 socialmediarisksrulespoliciesprocedures-160406100617
Learn more about social media risks, rules, policies and procedures and best practices for legal and regulatory compliance.]]>
Learn more about social media risks, rules, policies and procedures and best practices for legal and regulatory compliance.]]> Wed, 06 Apr 2016 10:06:17 GMT /slideshow/social-media-risks-rules-policies-procedures/60553015 complianceonline123@slideshare.net(complianceonline123) Social media risks rules policies procedures complianceonline123 Learn more about social media risks, rules, policies and procedures and best practices for legal and regulatory compliance. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/socialmediarisksrulespoliciesprocedures-160406100617-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Learn more about social media risks, rules, policies and procedures and best practices for legal and regulatory compliance.
Social media risks rules policies procedures from complianceonline123
]]> 481 6 https://cdn.slidesharecdn.com/ss_thumbnails/socialmediarisksrulespoliciesprocedures-160406100617-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Fmla ada overlap /slideshow/fmla-ada-overlap/59623236 fmlaadaoverlap-160316093137
Understand the major provisions of FMLA and ADA and best practices for untangling obligations employers face under the two laws.]]>
Understand the major provisions of FMLA and ADA and best practices for untangling obligations employers face under the two laws.]]> Wed, 16 Mar 2016 09:31:37 GMT /slideshow/fmla-ada-overlap/59623236 complianceonline123@slideshare.net(complianceonline123) Fmla ada overlap complianceonline123 Understand the major provisions of FMLA and ADA and best practices for untangling obligations employers face under the two laws. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/fmlaadaoverlap-160316093137-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Understand the major provisions of FMLA and ADA and best practices for untangling obligations employers face under the two laws.
Fmla ada overlap from complianceonline123
]]> 974 8 https://cdn.slidesharecdn.com/ss_thumbnails/fmlaadaoverlap-160316093137-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Hipaa enforcement examples /slideshow/hipaa-enforcement-examples/59251708 hipaaenforcementexamples-160308111029
This HIPAA Privacy and Security Audits and Enforcement training will cover HIPAA Privacy, Security, and Breach Notification regulations (and the recent changes to them) and how they will be audited. Documentation requirements, enforcement actions and how to prepare and respond to an audit will also be explored.]]>
This HIPAA Privacy and Security Audits and Enforcement training will cover HIPAA Privacy, Security, and Breach Notification regulations (and the recent changes to them) and how they will be audited. Documentation requirements, enforcement actions and how to prepare and respond to an audit will also be explored.]]> Tue, 08 Mar 2016 11:10:29 GMT /slideshow/hipaa-enforcement-examples/59251708 complianceonline123@slideshare.net(complianceonline123) Hipaa enforcement examples complianceonline123 This HIPAA Privacy and Security Audits and Enforcement training will cover HIPAA Privacy, Security, and Breach Notification regulations (and the recent changes to them) and how they will be audited. Documentation requirements, enforcement actions and how to prepare and respond to an audit will also be explored. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/hipaaenforcementexamples-160308111029-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> This HIPAA Privacy and Security Audits and Enforcement training will cover HIPAA Privacy, Security, and Breach Notification regulations (and the recent changes to them) and how they will be audited. Documentation requirements, enforcement actions and how to prepare and respond to an audit will also be explored.
Hipaa enforcement examples from complianceonline123
]]> 364 8 https://cdn.slidesharecdn.com/ss_thumbnails/hipaaenforcementexamples-160308111029-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Excel spreadsheets how to ensure 21 cfr part 11 compliance /slideshow/excel-spreadsheets-how-to-ensure-21-cfr-part-11-compliance/58844783 excelspreadsheets-howtoensure21cfrpart11compliance-160229092331
Learn to create a GxP compliant Excel spreadsheet application. Understand how to validate Excel spreadsheets with minimal documentation. Learn to configure Excel for audit trails, security features, and data entry verification.]]>
Learn to create a GxP compliant Excel spreadsheet application. Understand how to validate Excel spreadsheets with minimal documentation. Learn to configure Excel for audit trails, security features, and data entry verification.]]> Mon, 29 Feb 2016 09:23:30 GMT /slideshow/excel-spreadsheets-how-to-ensure-21-cfr-part-11-compliance/58844783 complianceonline123@slideshare.net(complianceonline123) Excel spreadsheets how to ensure 21 cfr part 11 compliance complianceonline123 Learn to create a GxP compliant Excel spreadsheet application. Understand how to validate Excel spreadsheets with minimal documentation. Learn to configure Excel for audit trails, security features, and data entry verification. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/excelspreadsheets-howtoensure21cfrpart11compliance-160229092331-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Learn to create a GxP compliant Excel spreadsheet application. Understand how to validate Excel spreadsheets with minimal documentation. Learn to configure Excel for audit trails, security features, and data entry verification.
Excel spreadsheets how to ensure 21 cfr part 11 compliance from complianceonline123
]]> 6425 13 https://cdn.slidesharecdn.com/ss_thumbnails/excelspreadsheets-howtoensure21cfrpart11compliance-160229092331-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Retail loss /slideshow/retail-loss/56334558 retailloss-151221111759
Learn retail loss detection strategies for small businesses. Learn to identify the most common loss and fraud hazards of retail entities.]]>
Learn retail loss detection strategies for small businesses. Learn to identify the most common loss and fraud hazards of retail entities.]]> Mon, 21 Dec 2015 11:17:59 GMT /slideshow/retail-loss/56334558 complianceonline123@slideshare.net(complianceonline123) Retail loss complianceonline123 Learn retail loss detection strategies for small businesses. Learn to identify the most common loss and fraud hazards of retail entities. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/retailloss-151221111759-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Learn retail loss detection strategies for small businesses. Learn to identify the most common loss and fraud hazards of retail entities.
Retail loss from complianceonline123
]]> 1376 6 https://cdn.slidesharecdn.com/ss_thumbnails/retailloss-151221111759-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Hipaa privacy rule /slideshow/hipaa-privacy-rule-56120094/56120094 hipaaprivacyrule-151214112741
Get trained on the best practices for conducting HIPAA compliance related risk assessment, gap analysis and risk analysis]]>
Get trained on the best practices for conducting HIPAA compliance related risk assessment, gap analysis and risk analysis]]> Mon, 14 Dec 2015 11:27:40 GMT /slideshow/hipaa-privacy-rule-56120094/56120094 complianceonline123@slideshare.net(complianceonline123) Hipaa privacy rule complianceonline123 Get trained on the best practices for conducting HIPAA compliance related risk assessment, gap analysis and risk analysis <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/hipaaprivacyrule-151214112741-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Get trained on the best practices for conducting HIPAA compliance related risk assessment, gap analysis and risk analysis
Hipaa privacy rule from complianceonline123
]]> 273 5 https://cdn.slidesharecdn.com/ss_thumbnails/hipaaprivacyrule-151214112741-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Fda warning letters /complianceonline123/fda-warning-letters-55890789 fdawarningletters-151207121258-lva1-app6892
Understand current Food and Drug Administration (FDA) regulatory guidance as well as current regulatory trends with regards to consent decree.]]>
Understand current Food and Drug Administration (FDA) regulatory guidance as well as current regulatory trends with regards to consent decree.]]> Mon, 07 Dec 2015 12:12:58 GMT /complianceonline123/fda-warning-letters-55890789 complianceonline123@slideshare.net(complianceonline123) Fda warning letters complianceonline123 Understand current Food and Drug Administration (FDA) regulatory guidance as well as current regulatory trends with regards to consent decree. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/fdawarningletters-151207121258-lva1-app6892-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Understand current Food and Drug Administration (FDA) regulatory guidance as well as current regulatory trends with regards to consent decree.
Fda warning letters from complianceonline123
]]> 708 7 https://cdn.slidesharecdn.com/ss_thumbnails/fdawarningletters-151207121258-lva1-app6892-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Dietary supplement /slideshow/dietary-supplement-55735474/55735474 dietarysupplement-151202113327-lva1-app6892
Understand and learn to apply FDA regulations for dietary supplements and to market them successfully in the U.S. while avoiding regulatory problems.]]>
Understand and learn to apply FDA regulations for dietary supplements and to market them successfully in the U.S. while avoiding regulatory problems.]]> Wed, 02 Dec 2015 11:33:27 GMT /slideshow/dietary-supplement-55735474/55735474 complianceonline123@slideshare.net(complianceonline123) Dietary supplement complianceonline123 Understand and learn to apply FDA regulations for dietary supplements and to market them successfully in the U.S. while avoiding regulatory problems. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/dietarysupplement-151202113327-lva1-app6892-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Understand and learn to apply FDA regulations for dietary supplements and to market them successfully in the U.S. while avoiding regulatory problems.
Dietary supplement from complianceonline123
]]> 1005 7 https://cdn.slidesharecdn.com/ss_thumbnails/dietarysupplement-151202113327-lva1-app6892-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Out in the open protecting your privacy in the digital age /slideshow/out-in-the-open-protecting-your-privacy-in-the-digital-age/53967795 outintheopen-protectingyourprivacyinthedigitalage-151015110259-lva1-app6892
Understand what the Internet of Things is and how it collects data and tracks you. Learn what are the risks attached to personal information and more. ]]>
Understand what the Internet of Things is and how it collects data and tracks you. Learn what are the risks attached to personal information and more. ]]> Thu, 15 Oct 2015 11:02:59 GMT /slideshow/out-in-the-open-protecting-your-privacy-in-the-digital-age/53967795 complianceonline123@slideshare.net(complianceonline123) Out in the open protecting your privacy in the digital age complianceonline123 Understand what the Internet of Things is and how it collects data and tracks you. Learn what are the risks attached to personal information and more. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/outintheopen-protectingyourprivacyinthedigitalage-151015110259-lva1-app6892-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Understand what the Internet of Things is and how it collects data and tracks you. Learn what are the risks attached to personal information and more.
Out in the open protecting your privacy in the digital age from complianceonline123
]]> 327 6 https://cdn.slidesharecdn.com/ss_thumbnails/outintheopen-protectingyourprivacyinthedigitalage-151015110259-lva1-app6892-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Reaching Clean Power Plan Goals at No Cost: Securing the Smart Grid’s Potential /slideshow/reaching-clean-power-plan-goals-at-no-cost-securing-the-smart-grids-potential/53182525 cleanpowerplanstheroadtoreclamation-150925065132-lva1-app6891
The webinar training on clean power plans and the smart grid’s role in compliance will discuss final 111(d) rule components under which smart grid capabilities will qualify.]]>
The webinar training on clean power plans and the smart grid’s role in compliance will discuss final 111(d) rule components under which smart grid capabilities will qualify.]]> Fri, 25 Sep 2015 06:51:32 GMT /slideshow/reaching-clean-power-plan-goals-at-no-cost-securing-the-smart-grids-potential/53182525 complianceonline123@slideshare.net(complianceonline123) Reaching Clean Power Plan Goals at No Cost: Securing the Smart Grid’s Potential complianceonline123 The webinar training on clean power plans and the smart grid’s role in compliance will discuss final 111(d) rule components under which smart grid capabilities will qualify. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/cleanpowerplanstheroadtoreclamation-150925065132-lva1-app6891-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> The webinar training on clean power plans and the smart grid’s role in compliance will discuss final 111(d) rule components under which smart grid capabilities will qualify.
Reaching Clean Power Plan Goals at No Cost: Securing the Smart Grid’s Potential from complianceonline123
]]> 271 5 https://cdn.slidesharecdn.com/ss_thumbnails/cleanpowerplanstheroadtoreclamation-150925065132-lva1-app6891-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Audit Process: How to Successfully Plan Audit /slideshow/audit-process-how-to-successfully-plan-audit/53146662 auditprocess-150924100057-lva1-app6891
Learn how to effectively plan your audit to successfully complete the auditing process. ]]>
Learn how to effectively plan your audit to successfully complete the auditing process. ]]> Thu, 24 Sep 2015 10:00:57 GMT /slideshow/audit-process-how-to-successfully-plan-audit/53146662 complianceonline123@slideshare.net(complianceonline123) Audit Process: How to Successfully Plan Audit complianceonline123 Learn how to effectively plan your audit to successfully complete the auditing process. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/auditprocess-150924100057-lva1-app6891-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Learn how to effectively plan your audit to successfully complete the auditing process.
Audit Process: How to Successfully Plan Audit from complianceonline123
]]> 1191 7 https://cdn.slidesharecdn.com/ss_thumbnails/auditprocess-150924100057-lva1-app6891-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Basics of internal audit /slideshow/basics-of-internal-audit/52886954 basicsofinternalaudit-150917113821-lva1-app6892
Learn what is internal audit, its structure and key steps in conducting the audit ]]>
Learn what is internal audit, its structure and key steps in conducting the audit ]]> Thu, 17 Sep 2015 11:38:20 GMT /slideshow/basics-of-internal-audit/52886954 complianceonline123@slideshare.net(complianceonline123) Basics of internal audit complianceonline123 Learn what is internal audit, its structure and key steps in conducting the audit <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/basicsofinternalaudit-150917113821-lva1-app6892-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Learn what is internal audit, its structure and key steps in conducting the audit
Basics of internal audit from complianceonline123
]]> 959 6 https://cdn.slidesharecdn.com/ss_thumbnails/basicsofinternalaudit-150917113821-lva1-app6892-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Free trade zones /slideshow/free-trade-zones-52567793/52567793 freetradezones-150909050102-lva1-app6892
What is a Free Trade Zone? A free trade zone (FTZ)is a designated area that eliminates traditional trade barriers, such as tariffs, some kind of taxes and fees and minimizes bureaucratic regulations. The goal of a free trade zone is to enhance global market presence of the Country or location by attracting new business and foreign investments. Tax-free trade zones generate foreign exchange through exports, and create economic value added. Free, foreign, and export processing zones all fall under the umbrella of being free trade zones. Because these terms are confusingly similar, they are often used interchangeably.]]>
What is a Free Trade Zone? A free trade zone (FTZ)is a designated area that eliminates traditional trade barriers, such as tariffs, some kind of taxes and fees and minimizes bureaucratic regulations. The goal of a free trade zone is to enhance global market presence of the Country or location by attracting new business and foreign investments. Tax-free trade zones generate foreign exchange through exports, and create economic value added. Free, foreign, and export processing zones all fall under the umbrella of being free trade zones. Because these terms are confusingly similar, they are often used interchangeably.]]> Wed, 09 Sep 2015 05:01:02 GMT /slideshow/free-trade-zones-52567793/52567793 complianceonline123@slideshare.net(complianceonline123) Free trade zones complianceonline123 What is a Free Trade Zone? A free trade zone (FTZ)is a designated area that eliminates traditional trade barriers, such as tariffs, some kind of taxes and fees and minimizes bureaucratic regulations. The goal of a free trade zone is to enhance global market presence of the Country or location by attracting new business and foreign investments. Tax-free trade zones generate foreign exchange through exports, and create economic value added. Free, foreign, and export processing zones all fall under the umbrella of being free trade zones. Because these terms are confusingly similar, they are often used interchangeably. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/freetradezones-150909050102-lva1-app6892-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> What is a Free Trade Zone? A free trade zone (FTZ)is a designated area that eliminates traditional trade barriers, such as tariffs, some kind of taxes and fees and minimizes bureaucratic regulations. The goal of a free trade zone is to enhance global market presence of the Country or location by attracting new business and foreign investments. Tax-free trade zones generate foreign exchange through exports, and create economic value added. Free, foreign, and export processing zones all fall under the umbrella of being free trade zones. Because these terms are confusingly similar, they are often used interchangeably.
Free trade zones from complianceonline123
]]> 9882 9 https://cdn.slidesharecdn.com/ss_thumbnails/freetradezones-150909050102-lva1-app6892-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Sec what you need to know /slideshow/sec-what-you-need-to-know/52286350 secwhatyouneedtoknow-150901093518-lva1-app6891
What is SEC? The U.S. Securities and Exchange Commission (SEC) oversees the key participants in the securities world. Concerned with promoting disclosure of important market information, maintaining fair dealing, and protecting against fraud. Responsibilities include: Interpret and enforce federal securities laws Issue new rules and amend existing rules Oversee inspection of securities firms, brokers, investment advisers and ratings agencies Oversee private regulatory organizations in securities, accounting, auditing fields Coordinate U.S. securities regulation with federal, state, and foreign authorities SEC Organization: Division of Corporate Finance:Reviews documents required to be filed with the Commission Division of Trading: Assists in maintaining fair, orderly and efficient markets. Division of Investment Management: Maintains oversight of America’s $26T investment management industry Division of Enforcement: Recommends commencement of investigations of SEC law violations Division of Economic and Risk Analysis: Integrates robust economic analysis and data analytics Laws Governing SEC: Securities Act of 1933 Securities Exchange Act of 1934 Trust Indenture Act of 1939 Investment Company Act of 1940 Investment Advisers Act of 1940 Sarbanes-Oxley Act of 2002 Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 Jumpstart Our Business Startups Act of 2012 SEC Reports: 8k - A report of unscheduled material events or corporate changes at a company that could be of importance to the shareholders or SEC 10k - Comprehensive summary report of a company's performance. Submitted annually to the SEC 10Q - A comprehensive report of a company's performance that must be submitted quarterly by all public companies to SEC. In10-Q, firms are required to disclose relevant information regarding their financial position. 18K - Use to update the SEC and investors regarding the status of a domestically traded foreign security and its issuer. 20F - A form issued by the SEC that must be submitted by all "foreign private issuers" that have listed equity shares on exchanges in the U.S. SEC Investigations: Can be triggered in many ways Investigation is not the same as prosecution Investigations involve fact finding and are usually not public During an investigation, neither the staff nor the Commission makes any determination of wrongdoing Following investigation, SEC staff present findings to the Commission Commission can authorize the staff to file a case in federal court or bring an administrative action. ]]>
What is SEC? The U.S. Securities and Exchange Commission (SEC) oversees the key participants in the securities world. Concerned with promoting disclosure of important market information, maintaining fair dealing, and protecting against fraud. Responsibilities include: Interpret and enforce federal securities laws Issue new rules and amend existing rules Oversee inspection of securities firms, brokers, investment advisers and ratings agencies Oversee private regulatory organizations in securities, accounting, auditing fields Coordinate U.S. securities regulation with federal, state, and foreign authorities SEC Organization: Division of Corporate Finance:Reviews documents required to be filed with the Commission Division of Trading: Assists in maintaining fair, orderly and efficient markets. Division of Investment Management: Maintains oversight of America’s $26T investment management industry Division of Enforcement: Recommends commencement of investigations of SEC law violations Division of Economic and Risk Analysis: Integrates robust economic analysis and data analytics Laws Governing SEC: Securities Act of 1933 Securities Exchange Act of 1934 Trust Indenture Act of 1939 Investment Company Act of 1940 Investment Advisers Act of 1940 Sarbanes-Oxley Act of 2002 Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 Jumpstart Our Business Startups Act of 2012 SEC Reports: 8k - A report of unscheduled material events or corporate changes at a company that could be of importance to the shareholders or SEC 10k - Comprehensive summary report of a company's performance. Submitted annually to the SEC 10Q - A comprehensive report of a company's performance that must be submitted quarterly by all public companies to SEC. In10-Q, firms are required to disclose relevant information regarding their financial position. 18K - Use to update the SEC and investors regarding the status of a domestically traded foreign security and its issuer. 20F - A form issued by the SEC that must be submitted by all "foreign private issuers" that have listed equity shares on exchanges in the U.S. SEC Investigations: Can be triggered in many ways Investigation is not the same as prosecution Investigations involve fact finding and are usually not public During an investigation, neither the staff nor the Commission makes any determination of wrongdoing Following investigation, SEC staff present findings to the Commission Commission can authorize the staff to file a case in federal court or bring an administrative action. ]]> Tue, 01 Sep 2015 09:35:18 GMT /slideshow/sec-what-you-need-to-know/52286350 complianceonline123@slideshare.net(complianceonline123) Sec what you need to know complianceonline123 What is SEC? The U.S. Securities and Exchange Commission (SEC) oversees the key participants in the securities world. Concerned with promoting disclosure of important market information, maintaining fair dealing, and protecting against fraud. Responsibilities include: Interpret and enforce federal securities laws Issue new rules and amend existing rules Oversee inspection of securities firms, brokers, investment advisers and ratings agencies Oversee private regulatory organizations in securities, accounting, auditing fields Coordinate U.S. securities regulation with federal, state, and foreign authorities SEC Organization: Division of Corporate Finance:Reviews documents required to be filed with the Commission Division of Trading: Assists in maintaining fair, orderly and efficient markets. Division of Investment Management: Maintains oversight of America’s $26T investment management industry Division of Enforcement: Recommends commencement of investigations of SEC law violations Division of Economic and Risk Analysis: Integrates robust economic analysis and data analytics Laws Governing SEC: Securities Act of 1933 Securities Exchange Act of 1934 Trust Indenture Act of 1939 Investment Company Act of 1940 Investment Advisers Act of 1940 Sarbanes-Oxley Act of 2002 Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 Jumpstart Our Business Startups Act of 2012 SEC Reports: 8k - A report of unscheduled material events or corporate changes at a company that could be of importance to the shareholders or SEC 10k - Comprehensive summary report of a company's performance. Submitted annually to the SEC 10Q - A comprehensive report of a company's performance that must be submitted quarterly by all public companies to SEC. In10-Q, firms are required to disclose relevant information regarding their financial position. 18K - Use to update the SEC and investors regarding the status of a domestically traded foreign security and its issuer. 20F - A form issued by the SEC that must be submitted by all "foreign private issuers" that have listed equity shares on exchanges in the U.S. SEC Investigations: Can be triggered in many ways Investigation is not the same as prosecution Investigations involve fact finding and are usually not public During an investigation, neither the staff nor the Commission makes any determination of wrongdoing Following investigation, SEC staff present findings to the Commission Commission can authorize the staff to file a case in federal court or bring an administrative action. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/secwhatyouneedtoknow-150901093518-lva1-app6891-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> What is SEC? The U.S. Securities and Exchange Commission (SEC) oversees the key participants in the securities world. Concerned with promoting disclosure of important market information, maintaining fair dealing, and protecting against fraud. Responsibilities include: Interpret and enforce federal securities laws Issue new rules and amend existing rules Oversee inspection of securities firms, brokers, investment advisers and ratings agencies Oversee private regulatory organizations in securities, accounting, auditing fields Coordinate U.S. securities regulation with federal, state, and foreign authorities SEC Organization: Division of Corporate Finance:Reviews documents required to be filed with the Commission Division of Trading: Assists in maintaining fair, orderly and efficient markets. Division of Investment Management: Maintains oversight of America’s $26T investment management industry Division of Enforcement: Recommends commencement of investigations of SEC law violations Division of Economic and Risk Analysis: Integrates robust economic analysis and data analytics Laws Governing SEC: Securities Act of 1933 Securities Exchange Act of 1934 Trust Indenture Act of 1939 Investment Company Act of 1940 Investment Advisers Act of 1940 Sarbanes-Oxley Act of 2002 Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 Jumpstart Our Business Startups Act of 2012 SEC Reports: 8k - A report of unscheduled material events or corporate changes at a company that could be of importance to the shareholders or SEC 10k - Comprehensive summary report of a company&#39;s performance. Submitted annually to the SEC 10Q - A comprehensive report of a company&#39;s performance that must be submitted quarterly by all public companies to SEC. In10-Q, firms are required to disclose relevant information regarding their financial position. 18K - Use to update the SEC and investors regarding the status of a domestically traded foreign security and its issuer. 20F - A form issued by the SEC that must be submitted by all &quot;foreign private issuers&quot; that have listed equity shares on exchanges in the U.S. SEC Investigations: Can be triggered in many ways Investigation is not the same as prosecution Investigations involve fact finding and are usually not public During an investigation, neither the staff nor the Commission makes any determination of wrongdoing Following investigation, SEC staff present findings to the Commission Commission can authorize the staff to file a case in federal court or bring an administrative action.
Sec what you need to know from complianceonline123
]]> 510 10 https://cdn.slidesharecdn.com/ss_thumbnails/secwhatyouneedtoknow-150901093518-lva1-app6891-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Auditing your grc programs /slideshow/auditing-your-grc-programs/52076990 auditingyourgrcprograms-150826053824-lva1-app6891
What Constitutes a GRC Program? Governance, risk and compliance or GRC programs are complex – an organization has to use its GRC program to address the regulatory requirements expected of, among others, the following: Enterprise Risk Management COSO Internal Controls Environmental Compliance (EPA rules) Anti Trust Anti Money Laundering Anti Bribery/Corruption Quality Management and Standards such as ISO 9000, 9001 Process Management such as Six Sigma Anti Harassment Human Capital Whistle-blowing HR Processes The areas listed above are just few of those that come under the purview of a robust GRC program. Why Audit a GRC Program? Given the complex nature of regulations around the world today and the increasing risks of doing business, it is important that the GRC program in an organization is audited frequently. Most of the lapses in corporate governance occur due to outdated GRC programs that have not been audited and updated to reflect the current regulatory environment. Internal audits of GRC programs allow management and the board to identify risks and areas that need strengthening and root out any non-compliance. An audit can help evaluate the adequacy of the program’s design and effectiveness as well as new practices and technologies to be implemented. Audits of the GRC program have to be carried out periodically – these should supplement an ongoing, daily evaluation of the effectiveness of the program, including monitoring of controls and responses. Internal Audit Process – The General Steps: Define evaluation scope, objectives, and the type of evaluation. Define the level and type of assurance Identify the evaluation team and skills required. Develop evaluation plan. Perform design adequacy evaluation. Perform operational effectiveness evaluation. Communicate evaluation results and ensure follow-up to address issues.]]>
What Constitutes a GRC Program? Governance, risk and compliance or GRC programs are complex – an organization has to use its GRC program to address the regulatory requirements expected of, among others, the following: Enterprise Risk Management COSO Internal Controls Environmental Compliance (EPA rules) Anti Trust Anti Money Laundering Anti Bribery/Corruption Quality Management and Standards such as ISO 9000, 9001 Process Management such as Six Sigma Anti Harassment Human Capital Whistle-blowing HR Processes The areas listed above are just few of those that come under the purview of a robust GRC program. Why Audit a GRC Program? Given the complex nature of regulations around the world today and the increasing risks of doing business, it is important that the GRC program in an organization is audited frequently. Most of the lapses in corporate governance occur due to outdated GRC programs that have not been audited and updated to reflect the current regulatory environment. Internal audits of GRC programs allow management and the board to identify risks and areas that need strengthening and root out any non-compliance. An audit can help evaluate the adequacy of the program’s design and effectiveness as well as new practices and technologies to be implemented. Audits of the GRC program have to be carried out periodically – these should supplement an ongoing, daily evaluation of the effectiveness of the program, including monitoring of controls and responses. Internal Audit Process – The General Steps: Define evaluation scope, objectives, and the type of evaluation. Define the level and type of assurance Identify the evaluation team and skills required. Develop evaluation plan. Perform design adequacy evaluation. Perform operational effectiveness evaluation. Communicate evaluation results and ensure follow-up to address issues.]]> Wed, 26 Aug 2015 05:38:24 GMT /slideshow/auditing-your-grc-programs/52076990 complianceonline123@slideshare.net(complianceonline123) Auditing your grc programs complianceonline123 What Constitutes a GRC Program? Governance, risk and compliance or GRC programs are complex – an organization has to use its GRC program to address the regulatory requirements expected of, among others, the following: Enterprise Risk Management COSO Internal Controls Environmental Compliance (EPA rules) Anti Trust Anti Money Laundering Anti Bribery/Corruption Quality Management and Standards such as ISO 9000, 9001 Process Management such as Six Sigma Anti Harassment Human Capital Whistle-blowing HR Processes The areas listed above are just few of those that come under the purview of a robust GRC program. Why Audit a GRC Program? Given the complex nature of regulations around the world today and the increasing risks of doing business, it is important that the GRC program in an organization is audited frequently. Most of the lapses in corporate governance occur due to outdated GRC programs that have not been audited and updated to reflect the current regulatory environment. Internal audits of GRC programs allow management and the board to identify risks and areas that need strengthening and root out any non-compliance. An audit can help evaluate the adequacy of the program’s design and effectiveness as well as new practices and technologies to be implemented. Audits of the GRC program have to be carried out periodically – these should supplement an ongoing, daily evaluation of the effectiveness of the program, including monitoring of controls and responses. Internal Audit Process – The General Steps: Define evaluation scope, objectives, and the type of evaluation. Define the level and type of assurance Identify the evaluation team and skills required. Develop evaluation plan. Perform design adequacy evaluation. Perform operational effectiveness evaluation. Communicate evaluation results and ensure follow-up to address issues. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/auditingyourgrcprograms-150826053824-lva1-app6891-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> What Constitutes a GRC Program? Governance, risk and compliance or GRC programs are complex – an organization has to use its GRC program to address the regulatory requirements expected of, among others, the following: Enterprise Risk Management COSO Internal Controls Environmental Compliance (EPA rules) Anti Trust Anti Money Laundering Anti Bribery/Corruption Quality Management and Standards such as ISO 9000, 9001 Process Management such as Six Sigma Anti Harassment Human Capital Whistle-blowing HR Processes The areas listed above are just few of those that come under the purview of a robust GRC program. Why Audit a GRC Program? Given the complex nature of regulations around the world today and the increasing risks of doing business, it is important that the GRC program in an organization is audited frequently. Most of the lapses in corporate governance occur due to outdated GRC programs that have not been audited and updated to reflect the current regulatory environment. Internal audits of GRC programs allow management and the board to identify risks and areas that need strengthening and root out any non-compliance. An audit can help evaluate the adequacy of the program’s design and effectiveness as well as new practices and technologies to be implemented. Audits of the GRC program have to be carried out periodically – these should supplement an ongoing, daily evaluation of the effectiveness of the program, including monitoring of controls and responses. Internal Audit Process – The General Steps: Define evaluation scope, objectives, and the type of evaluation. Define the level and type of assurance Identify the evaluation team and skills required. Develop evaluation plan. Perform design adequacy evaluation. Perform operational effectiveness evaluation. Communicate evaluation results and ensure follow-up to address issues.
Auditing your grc programs from complianceonline123
]]> 321 7 https://cdn.slidesharecdn.com/ss_thumbnails/auditingyourgrcprograms-150826053824-lva1-app6891-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Aml non bank finanacial institutions /slideshow/aml-non-bank-finanacial-institutions/51135913 aml-nonbankfinanacialinstitutions-150731102734-lva1-app6891
This quick reference guide discusses the anti-money laundering requirements for non-bank financial institutions including for Money Services Business (MSB). ]]>
This quick reference guide discusses the anti-money laundering requirements for non-bank financial institutions including for Money Services Business (MSB). ]]> Fri, 31 Jul 2015 10:27:34 GMT /slideshow/aml-non-bank-finanacial-institutions/51135913 complianceonline123@slideshare.net(complianceonline123) Aml non bank finanacial institutions complianceonline123 This quick reference guide discusses the anti-money laundering requirements for non-bank financial institutions including for Money Services Business (MSB). <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/aml-nonbankfinanacialinstitutions-150731102734-lva1-app6891-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> This quick reference guide discusses the anti-money laundering requirements for non-bank financial institutions including for Money Services Business (MSB).
Aml non bank finanacial institutions from complianceonline123
]]> 585 7 https://cdn.slidesharecdn.com/ss_thumbnails/aml-nonbankfinanacialinstitutions-150731102734-lva1-app6891-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Gdp how to manage documentation lifecycle /slideshow/gdp-how-to-manage-documentation-lifecycle/50500514 gdp-howtomanagedocumentationlifecycle-150714084733-lva1-app6891
Learn how to manage document cycle from preparation through final evaluation and get trained on the key documentation requirements.]]>
Learn how to manage document cycle from preparation through final evaluation and get trained on the key documentation requirements.]]> Tue, 14 Jul 2015 08:47:33 GMT /slideshow/gdp-how-to-manage-documentation-lifecycle/50500514 complianceonline123@slideshare.net(complianceonline123) Gdp how to manage documentation lifecycle complianceonline123 Learn how to manage document cycle from preparation through final evaluation and get trained on the key documentation requirements. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/gdp-howtomanagedocumentationlifecycle-150714084733-lva1-app6891-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> Learn how to manage document cycle from preparation through final evaluation and get trained on the key documentation requirements.
Gdp how to manage documentation lifecycle from complianceonline123
]]> 427 1 https://cdn.slidesharecdn.com/ss_thumbnails/gdp-howtomanagedocumentationlifecycle-150714084733-lva1-app6891-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Workplace harrasment /slideshow/workplace-harrasment/50331111 workplaceharrasment-150709042445-lva1-app6892
What is Workplace Harassment? Harassment is any unwelcome verbal or physical conduct based on protected bases (race, color, religion, sex, national origin, age, disability, retaliation, and sexual orientation) when: The conduct culminates in a tangible employment action, or The conduct was sufficiently severe or pervasive to create a hostile work environment. How to Determine Harassment Exists? To determine whether the harassment exists: Evaluate frequency and severity of misconduct Apply reasonable person standard Would a reasonable person find the behavior hostile, intimidating or abusive? Tangible effect on job not necessary Psychological harm not necessary What is Sexual Harassment? EEOC defines sexual harassment as: Unwelcome sexual advances Requests for sexual favors Other verbal or physical conduct of a sexual nature Two most common forms of sexual harassment are: Quid pro quo harassment Hostile work environment harassment Who Can Be Involved in Harassment? Those who commit, employees at all levels: Manager Co-worker Customers Vendors Members of opposite sex, members of same sex, etc. Those who are targeted: Victims Bystanders Witnesses who are affected by the harassment How to Prevent and Respond to Harassment? Review and understand company harassment policy Comply with Title VII of the Civil Rights Act, which prohibits harassment and discrimination Know how and when to respond to harassment issues Report harassment immediately]]>
What is Workplace Harassment? Harassment is any unwelcome verbal or physical conduct based on protected bases (race, color, religion, sex, national origin, age, disability, retaliation, and sexual orientation) when: The conduct culminates in a tangible employment action, or The conduct was sufficiently severe or pervasive to create a hostile work environment. How to Determine Harassment Exists? To determine whether the harassment exists: Evaluate frequency and severity of misconduct Apply reasonable person standard Would a reasonable person find the behavior hostile, intimidating or abusive? Tangible effect on job not necessary Psychological harm not necessary What is Sexual Harassment? EEOC defines sexual harassment as: Unwelcome sexual advances Requests for sexual favors Other verbal or physical conduct of a sexual nature Two most common forms of sexual harassment are: Quid pro quo harassment Hostile work environment harassment Who Can Be Involved in Harassment? Those who commit, employees at all levels: Manager Co-worker Customers Vendors Members of opposite sex, members of same sex, etc. Those who are targeted: Victims Bystanders Witnesses who are affected by the harassment How to Prevent and Respond to Harassment? Review and understand company harassment policy Comply with Title VII of the Civil Rights Act, which prohibits harassment and discrimination Know how and when to respond to harassment issues Report harassment immediately]]> Thu, 09 Jul 2015 04:24:45 GMT /slideshow/workplace-harrasment/50331111 complianceonline123@slideshare.net(complianceonline123) Workplace harrasment complianceonline123 What is Workplace Harassment? Harassment is any unwelcome verbal or physical conduct based on protected bases (race, color, religion, sex, national origin, age, disability, retaliation, and sexual orientation) when: The conduct culminates in a tangible employment action, or The conduct was sufficiently severe or pervasive to create a hostile work environment. How to Determine Harassment Exists? To determine whether the harassment exists: Evaluate frequency and severity of misconduct Apply reasonable person standard Would a reasonable person find the behavior hostile, intimidating or abusive? Tangible effect on job not necessary Psychological harm not necessary What is Sexual Harassment? EEOC defines sexual harassment as: Unwelcome sexual advances Requests for sexual favors Other verbal or physical conduct of a sexual nature Two most common forms of sexual harassment are: Quid pro quo harassment Hostile work environment harassment Who Can Be Involved in Harassment? Those who commit, employees at all levels: Manager Co-worker Customers Vendors Members of opposite sex, members of same sex, etc. Those who are targeted: Victims Bystanders Witnesses who are affected by the harassment How to Prevent and Respond to Harassment? Review and understand company harassment policy Comply with Title VII of the Civil Rights Act, which prohibits harassment and discrimination Know how and when to respond to harassment issues Report harassment immediately <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/workplaceharrasment-150709042445-lva1-app6892-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> What is Workplace Harassment? Harassment is any unwelcome verbal or physical conduct based on protected bases (race, color, religion, sex, national origin, age, disability, retaliation, and sexual orientation) when: The conduct culminates in a tangible employment action, or The conduct was sufficiently severe or pervasive to create a hostile work environment. How to Determine Harassment Exists? To determine whether the harassment exists: Evaluate frequency and severity of misconduct Apply reasonable person standard Would a reasonable person find the behavior hostile, intimidating or abusive? Tangible effect on job not necessary Psychological harm not necessary What is Sexual Harassment? EEOC defines sexual harassment as: Unwelcome sexual advances Requests for sexual favors Other verbal or physical conduct of a sexual nature Two most common forms of sexual harassment are: Quid pro quo harassment Hostile work environment harassment Who Can Be Involved in Harassment? Those who commit, employees at all levels: Manager Co-worker Customers Vendors Members of opposite sex, members of same sex, etc. Those who are targeted: Victims Bystanders Witnesses who are affected by the harassment How to Prevent and Respond to Harassment? Review and understand company harassment policy Comply with Title VII of the Civil Rights Act, which prohibits harassment and discrimination Know how and when to respond to harassment issues Report harassment immediately
Workplace harrasment from complianceonline123
]]> 1753 4 https://cdn.slidesharecdn.com/ss_thumbnails/workplaceharrasment-150709042445-lva1-app6892-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 Good documentation practices /slideshow/good-documentation-practices-48925594/48925594 gooddocumentationpractices-150603060429-lva1-app6892
This quick reference guide discusses key documentation requirements and tips to good documentation practices.]]>
This quick reference guide discusses key documentation requirements and tips to good documentation practices.]]> Wed, 03 Jun 2015 06:04:29 GMT /slideshow/good-documentation-practices-48925594/48925594 complianceonline123@slideshare.net(complianceonline123) Good documentation practices complianceonline123 This quick reference guide discusses key documentation requirements and tips to good documentation practices. <img style="border:1px solid #C3E6D8;float:right;" alt="" src="https://cdn.slidesharecdn.com/ss_thumbnails/gooddocumentationpractices-150603060429-lva1-app6892-thumbnail.jpg?width=120&amp;height=120&amp;fit=bounds" /><br> This quick reference guide discusses key documentation requirements and tips to good documentation practices.
Good documentation practices from complianceonline123
]]> 2107 3 https://cdn.slidesharecdn.com/ss_thumbnails/gooddocumentationpractices-150603060429-lva1-app6892-thumbnail.jpg?width=120&height=120&fit=bounds presentation Black http://activitystrea.ms/schema/1.0/post http://activitystrea.ms/schema/1.0/posted 0 https://public.slidesharecdn.com/v2/images/profile-picture.png https://cdn.slidesharecdn.com/ss_thumbnails/fdaadverseeventreportingrequirementsforotcdrugs-160414115433-thumbnail.jpg?width=320&height=320&fit=bounds slideshow/fda-adverse-event-reporting-requirements-for-otc-drugs/60910538 Fda adverse event repo... https://cdn.slidesharecdn.com/ss_thumbnails/socialmediarisksrulespoliciesprocedures-160406100617-thumbnail.jpg?width=320&height=320&fit=bounds slideshow/social-media-risks-rules-policies-procedures/60553015 Social media risks rul... https://cdn.slidesharecdn.com/ss_thumbnails/fmlaadaoverlap-160316093137-thumbnail.jpg?width=320&height=320&fit=bounds slideshow/fmla-ada-overlap/59623236 Fmla ada overlap