This presentation was put together by Melody at LCRB. It has been unedited by us at Formos and we feel this showcases what our platform is able to assist groups with.
Building a business case for expanding your AppSec ProgramNicolas Gohmert
This guide will help you develop a strong business case that can drive real-world results.
We’ll explain how to frame budget issues, identify key metrics, and use customer sentiment to
your advantage, all so you can get the funding you need to create a more mature AppSec program.
To understand the institutionalization of business ethics, the differences between voluntary and legally mandated organizational practices. Mandated, Core, and Voluntary Practices of Ethical Decisions. Whistle-Blower Protection
Regulatory rules and requirements are constantly changing, making compliance a moving target. This is particularly true in terms of those that impact information security and, increasingly, data security in the cloud. At the same time, regulators are asking for greater transparency and more detailed documentation, stepping up enforcement of the various rules and requirements and raising penalties for noncompliance.
According to Gartner, 70% of social implementations fail because they lack a business purpose. When it comes to harnessing the power of social software, a focus on business value is required. This whitepaper defines a strategic framework for gaining business value from social software. It outlines six successful rollout strategies. Each of the six approaches delivers different business results, and has a different level of risk. And most importantly, each has different requirements to succeed. To be successful with social software, you need to choose the rollout strategy that is best for your organization, and understand its requirements for success.
This presentation was put together by Melody at LCRB. It has been unedited by us at Formos and we feel this showcases what our platform is able to assist groups with.
Building a business case for expanding your AppSec ProgramNicolas Gohmert
This guide will help you develop a strong business case that can drive real-world results.
We’ll explain how to frame budget issues, identify key metrics, and use customer sentiment to
your advantage, all so you can get the funding you need to create a more mature AppSec program.
To understand the institutionalization of business ethics, the differences between voluntary and legally mandated organizational practices. Mandated, Core, and Voluntary Practices of Ethical Decisions. Whistle-Blower Protection
Regulatory rules and requirements are constantly changing, making compliance a moving target. This is particularly true in terms of those that impact information security and, increasingly, data security in the cloud. At the same time, regulators are asking for greater transparency and more detailed documentation, stepping up enforcement of the various rules and requirements and raising penalties for noncompliance.
According to Gartner, 70% of social implementations fail because they lack a business purpose. When it comes to harnessing the power of social software, a focus on business value is required. This whitepaper defines a strategic framework for gaining business value from social software. It outlines six successful rollout strategies. Each of the six approaches delivers different business results, and has a different level of risk. And most importantly, each has different requirements to succeed. To be successful with social software, you need to choose the rollout strategy that is best for your organization, and understand its requirements for success.
Enterprise Risk Management | ISO 31000 Implementation training himalya sharma
Enterprise Risk Management Implementation Training on ISO 31000 done by Industry Experts, customized for you & connected to your Industry, Products & Processes
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OL 600 Milestone Three Guidelines and Rubric
For your final project, you will analyze the WeaveTech: High Performance Change case study in order to develop a proposal. You will have to consider the
important aspects of the company within the case study when formulating the proposal. When developing your proposal, make sure that all elements align with
the mission, vision, and goals of the organization
This roadmap is a tool to help organizations effectively develop social business processes and to help identify and address potential issues before they become real problems.
This roadmap is a tool to help organizations effectively develop social business processes and to help identify and address potential issues before they become real problems.
The roadmap is designed as a framework – that is, it addresses a wide variety of issues and challenges, not all of which will be applicable to every organization. Organizations are encouraged to use this roadmap as a starting point, but to customize it to their particular circumstances including their regulatory environment, organizational culture, level of familiarity with different tools, and of course their overall strategic goals and objectives.
Organizations that follow this roadmap will move from tactical, ad hoc, and suboptimal approaches to social business technologies to a more strategic and systematic implementation.
Given the current regulatory environment and the resulting changes going on in the industry today, the chief risk officer has become the most important person in the financial institution.
WolfPAC Solutions Group Director Michael Cohn interviewed chief risk officers at financial institutions across the country to find out how they became a CRO, what skills and experience they bring to the role, and what is expected of them now.
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.
Excel spreadsheets how to ensure 21 cfr part 11 compliancecomplianceonline123
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.
Reaching Clean Power Plan Goals at No Cost: Securing the Smart Grid’s Potentialcomplianceonline123
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.
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 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 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.
This quick reference guide discusses the anti-money laundering requirements for non-bank financial institutions including for Money Services Business (MSB).
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
1. Trends in Audit, Risk, and Compliance: Integrating your ''ARC''
This webinar will provide an in-depth understanding about the key challenges and
opportunities in integrating your organization's audit, risk and compliance activities.
Why Should You Attend:
Governance, risk, and compliance systems involve multiple stakeholders, which often include
titles such as Audit, Risk, Compliance, Ethics, and Legal or combinations thereof. The term
“compliance” has come to take on many meanings, so that overlap, gap, and even conflict can
exist between organizational charters, duties, and responsibilities. Rather than emphasizing the
differences amongst these titled professionals, organizations must seek ways to emphasize the
similarities and unify their talents in a collaborative spirit.
This webinar will provide an in-depth understanding about the key challenges and
opportunities in integrating your organizational ARC. We will discuss the characteristics of an
effective and integrated enterprise-wide ARC program and about the role technology can play
in integrating and improving your ARC.
Learning Objectives:
Attendees will learn about
The key challenges and issues in managing enterprise-wide ARC activities.
The key characteristics of an effective and integrated enterprise-wide ARC program.
How technology can help integrate and improve your ARC.
Areas Covered in the Seminar:
What is driving changes to your ARC.
Internal Audit's role in driving value.
Trends in Auditing, Risk Management, and Compliance.
Key challenges and issues in managing enterprise-wide ARC activities.
Characteristics of an effective and integrated enterprise-wide ARC program.
How technology can help integrate and improve your ARC.
Who will benefit:
This webinar will provide valuable assistance to the following personnel:
Internal Audit
Risk Managers
Compliance Officers
Ethics
2. Legal Professionals
Senior Management
For more details visit us at:
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