Presentation by Gates Garrity-Rokous, ‎Vice President and Chief Compliance Officer at The Ohio State University, for The Risk Institute 2015 Annual Conference, "DISRUPTION: Implications for Risk Management" at The Ohio State University Fisher College of Business, October 8, 2015.

1. Regulatory Requirements
Leveraging Regulatory Opportunities
Gates Garrity-Rokous
Vice President and Chief Compliance Officer
The Ohio State University

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What is “Disruptive” Regulation?
• New regulation/interpretation
• Enforcement
• Customer/supplier impact
• Regulatory stasis

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Think like a regulator
• Stakeholders
• Competition
• Creating a regulator’s
mindset

9. 9
New Regulations:
Opportunities
• Regulatory arbitrage
• Lifting the market
• Informal regulation

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Enforcement: Opportunities
• Change relationship
• Lift industry bar
• Tools

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Customers & Suppliers
• Anticipation
• Market advantage
• 3rd party risk

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Regulatory Stasis:
• Change culture: link regulatory
compliance with innovation

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Leverage Disruption
• Engagement
• Excellence
• Organizational Commitment

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Engagement: Opportunities
• Owners
• Scorecard of key regulators
• Tie engagement to performance
incentives

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Excellence: Opportunities
• Solving the customer’s
regulatory challenges
• 3rd party regulatory risk score

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Organizational Commitment
• Policy of regulatory excellence
• Identify employee and leader
responsibilities
• Assess, resource, anticipate
• Relate
• Control