Earn FREE Continuing Professional Education (CPE) credits by watching Webcasts on critical topics related to corporate compliance and risk. All Webcasts are conveniently available at any time to accommodate your busy schedule, and each Webcast earns one CPE credit.

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To register for a CPE Webcast:

  1. Select a Webcast from the list below
  2. Fill out the Webcast registration form
  3. Take a short quiz at the conclusion of the Webcast

CPE certificate (in PDF format) will be produced automatically upon successful completion of the Webcast. Retain the certificate for your records or submit per your state's CPE requirements. [PLEASE NOTE: During some Webcasts, the moderator will say "no CPE credit will be awarded for viewing pre-recorded Webcasts." Please disregard—certain Webcasts were recorded prior to our accreditation as an on-demand CPE provider.]

Webcasts (One CPE Credit Per Webcast; Each Approx. One Hour)

From Policy to Practice: Archiving Information to meet eDiscovery and Compliance Requirements

Regardless of your scale or sector, your organization's corpus of information will eventually be impacted by legal and/or regulatory obligations. Join this Webinar to learn how a multichannel archive and governance platform can help you provide timely responses to court orders or regulatory agencies, reduce operational and eDiscovery costs, and capitalize on opportunities within your information.
 

Leverage Case Studies for Enhanced Regulatory Compliance

In this webcast Richard M. Steinberg, CEO of Steinberg Governance Advisors, former leader of PwC's governance advisory practice, will discuss how compliance, operations, and reputational risks are inherently interrelated, with particular focus on how organizations can learn from past risk events that damaged their own companies, peers, or others. Steinberg will be joined by Laura Polak, global head of IBM Risk Analytics Consulting Engineering and Algo FIRST Content, who will demonstrate how case studies databases help compliance officers understand where and why processes and controls at other institutions have failed and how loss event inventories can be of critical use in identifying and effectively managing significant risks.
 

Dodd-Frank Compliance: Voice, Social, Record-Keeping and More

Businesses are struggling to meet a broad range of global regulatory demands on data across the enterprise, and the implementation of the Dodd-Frank Act has broadened these demands. Firms are now required to have the ability to quickly and accurately reconstruct trades, including related pre- and post-trade communications. These challenges can now be addressed across your trading data and your communications, including voice compliance through a partnership between Bloomberg Vault and Orange Business Services. Don't miss the opportunity to learn more during Bloomberg's Webinar on April 25th at 2:00 PM Eastern.
 

Compliance World Tour China - Compliance & Regulatory Risks

This Webcast will look at the compliance and regulatory risks of doing business in China, and will discuss the challenges and risks of doing business in China's heavily regulated economy, including corruption related risks; US anti-corruption enforcement efforts in China and new local anti-corruption laws; and other common challenges that US compliance departments might encounter in China, such as privacy risks, intellectual property related risks, and varying standards of legal protection for employees.
 

Strengthening Controls in 2013: Travel & Entertainment Expenses

For many organizations, T&E represents a significant spend, with a high risk of exposure to costly abuse, misuse and fraud. The sheer volume of transactions can make it difficult for T&E program managers to validate transaction controls in a cost-effective way. For other organizations, T&E may not be a significant area of expenditure, but analysing T&E spend can provide interesting insights into the organization's culture of compliance. Learn how T&E analysis not only supports compliance, but can lead to direct improvements in process efficiencies and generates considerable value through cash optimization.
 

Compliance World Tour India - Compliance & Regulatory Risks

This webcast will look at the compliance and regulatory risks of doing business in India, and will discuss India's current corruption risks and basic economic conditions; US anti-corruption enforcement efforts in India, and new anti-corruption laws locally; and other common risks or problems US compliance departments might encounter in India, such as privacy risks, intellectual property theft, and different standards of legal protection for employees.
 

IT and Regulatory Compliance: Is Your Operation Ready?

Serious thought and planning must go into finding dependable ways to improve the protection and preservation of regulated data and make it easy to find it when needed for discovery or recovery. In this webcast, you will learn about the shifting demands in IT data protection and recovery; what to look for in regulatory compliance, including operational readiness; how to develop and execute a sound regulatory compliance plan; and critical technology considerations to access and restore data when needed.
 

Your Information In the Cloud: Alleviating Data Security, Privacy, and Compliance Concerns

This Webcast will discuss how to enhance visibility to high risk and/or high value information; how you can search, classify, and apply policies to content to ensure it can be Discovered when required; how to move, preserve, and dispose of information defensively and efficiently; and how to enable earlier insight into data, while removing the hassles of managing large repositories in-house. We will highlight real-world case studies where customers have utilized Proofpoint to reduce eDiscovery and compliance cost, while also addressing critical data security and privacy concerns.
 

Tools to Build (and Maintain) a Modern-Day Compliance and Ethics Program

Organizations across the globe are facing common challenges when it comes to building and maintaining the effectiveness of their compliance and ethics program. New and more complex regulatory requirements, as well as increasingly aggressive enforcement are pressuring organizations to act and adapt quickly. In this Webinar, attendees will hear examples and observations from current programs and learn how to bridge the individual silos and effectively integrate them into a unified, modern-day GRC program.
 

Strengthening Controls in 2013: Order-to-Cash Cycle

The order-to-cash cycle can be a complicated process to analyze, let alone understand. The potential for controls gaps and weaknesses can lead to heightened risk and revenue leakage for an organization. Many of the important controls (checks/balances) involve multiple applications, people, and date sequences. It can be inherently difficult to provide assurance through the cycle of managing customer information, order entry, pricing, discounting, invoicing, receipts, and collections to identify process efficiency opportunities and prevent revenue leakage. Now more than ever, audit, finance, and compliance professionals involved in order-to-cash need certainty and confidence in their data to determine the reliability and effectiveness of the controls environment. Is this one of your business assurance goals for 2013?
 

Using SharePoint to Address the Unified Records Management Paradox

Electronic records are proliferating at an exponential pace. Physical records remain and can reside in a number of different locations; both in-house and potentially across multiple vendors. To ensure compliance across all of your records, you need a unified, consistent and defensive records management solution. Learn how Microsoft extended the functionality of SharePoint with the Iron Mountain Records and Information Management 360° Solution (RIM 360°) to gain these records management benefits and more.
 

Managing Compliance for Behavioral Change and Improved Business Process

Advice abounds about what you should do to identify and manage compliance risk and the extent of the documentation that you need to have on hand. But most compliance officers want to know answers to the 'how to' questions. How can I improve my program's effectiveness while working within budget and resource constraints? How can I understand the meaning of data so I can see and take action on emerging risks and trends in my organization? How can I easily integrate data from multiple places so I can make consistent and speedy decisions and recommendations? And how do I implement a program with the right balance of the behavioral side of compliance with the necessary controls and business processes of compliance? In this webcast those questions and others will be answered.
 

Collecting Consumer Data Online: 'Do Not Track' and Other Regulations

Retailers, consumer product manufacturers, and other businesses with a heavy presence in the consumer market face looming changes in online advertising and data privacy. Join our Webcast to get an inside view on the conflicting viewpoints around DNT and learn what you can do to keep yourself informed about these developments and ensure that your business is well positioned to address regulation around online behavioral tracking.
 

Don't Get Bitten by the FCPA! Using Data Analytics to Identify Red Flags

Does your organization have systems in place to highlight red flags for potential FCPA or U.K. Bribery Act violations? In this Webcast you will hear from Peter Millar, Director of Technology Application, and Chris Stewart-Smith, Senior Technical Consultant at ACL Services, on best practices for building a solid compliance program.
 

Effective Policy Management in a Dynamic and Distributed Business Environment

When an organization fails to establish strong policies, the organization quickly becomes something it never intended. Join Michael Rasmussen of Corporate Integrity and IBM for this Webcast that explores how to effectively manage and communicate policies in dynamic and distributed business environments.
 

Case Study: How Forest City Enterprises Overcame Compliance Reporting Challenges

This Webinar discusses how Forest City Enterprises, a national real estate company, was able to turn "pain into gain" with several strategies that lowered its total cost of compliance.
 

Leverage Records Management Best Practices to Optimize Microsoft SharePoint 2010 Deployments

Join Vivian Tero, Program Director for IDC's Governance, Risk & Compliance (GRC) Infrastructure service, as she gets to the bottom of this common conundrum. In this webcast, Miss Tero will share findings from an IDC Web survey of IT professionals about their organizations' current and planned MS SharePoint 2010 implementations. This was not a feather-weight study of theoretical "what ifs" and good intentions; it was a serious survey of 100 carefully screened panelists from a wide range of industries. Qualified panelists were required to have an ongoing, planned, or completed implementation of MS SharePoint 2010, where implementations were done at a line-of-business (LOB), country, regional, or enterprise level. Industries represented in the survey included banking, finance, insurance, manufacturing, retail, biotechnology, life sciences, healthcare, pharmaceuticals, energy and natural resources, utilities, and telecommunications.
 

Managing Third-Party Data on Your Website

Providing services and features to website visitors often requires deploying many third party service providers for analytics, marketing, payment processing, and data management.
 

The Building Blocks of Third-Party Risk: Managing Risk Across Dynamic Business Relationships

Business relationships with vendors, outsourced providers, distribution partners, and other business associates are essential in today's extended enterprise. Managing risk from these third parties is vitally important in the current regulatory environment. The nature of these relationships requires that information be shared, and risk accrues whenever sensitive information is shared with or processed by third parties.
 

The Importance of an ERP Security "Health Check" to Your Compliance Program

If every well-publicized incident of fraud or corporate wrongdoing makes you worry if your organization could be the next scandal, it's likely that a "health check" of your Enterprise Resource Planning (ERP) data may be in order.
 

What's happening in the world of records management today? Plenty.

Join Sue Trombley, managing director of Consulting at Iron Mountain, as she shares with you the results of Iron Mountain's third Compliance Benchmark Report. This report, entitled "Iron Mountain Compliance Benchmark Report: A View Into Unified Records Management," is a comprehensive review of the current state of physical and electronic records management best practices and will be presented publicly for the first time in this Compliance Week Webcast.
 

Avoiding Privacy Mis-Steps and Achieving Compliance With the EU Privacy Directive

The European Union's privacy directive was amended in 2009 to require that companies get "informed consent" when storing or accessing information on a user's computer or other device. These amendments—often referred to as the "Cookie Directive"—have been interpreted to require consent before any cookies or other tracking files are dropped. This is problematic for an online ecosystem that relies heavily on cookies to register a user's privacy preferences. Join Saira Nayak, director of privacy at TRUSTe, and Joseph McCafferty, Deputy Editor of Compliance Week, for this informative Webcast on how you can develop a strategy to comply with the EU's e-Privacy Directive.
 

Why Improving Policy Management Is So Critical for Compliance Effectiveness

Most compliance offices are involved in writing policies for gifts and entertainment, conflicts of interest, privacy, anti-corruption, and social media. Join a discussion with SAI Global and two organizations that face quite different policy challenges.
 

Searching for PCI-DSS Compliance in the Cloud

PCI-DSS compliance has long been one of the most challenging standards for an organization to achieve. Between understanding what needs to change in order to become PCI compliant, and the complexity of the standard itself, achieving PCI-DSS compliance can have a significant impact on an IT budget.
 

Streamlining Your Supplier Compliance Assessment Process

Supply chains have become a critical risk factor for any organization. All aspects of risk need to be assessed and managed, from financial risk to quality to regulatory compliance. Understanding and managing these risks extends through the entire life cycle of the supplier relationship. Sourcing professionals are investing in supplier risk and performance management software to provide a holistic view of their supply base. This webinar will help both compliance and sourcing and vendor management professionals understand how these new tools can help evaluate supplier risk, compliance, and performance across the enterprise.
 

Implications of New Dodd-Frank Rules for Risk Committees and CROs

The U.S. Federal Reserve Board recently proposed new rules implementing key provisions of the Dodd-Frank Act dealing with risk management by financial institutions. Join Richard M. Steinberg - CEO of Steinberg Governance Advisors, internationally recognized expert on governance, risk and compliance, principal author of COSO's internal control and ERM frameworks, and advisor to major company boards of directors and senior managements - as he outlines the new requirements and their implications.
 

A Product Strategy for Optimizing your Security Risk Management Environment

Bringing about change is never an easy thing to do, regardless of the environment. Individuals, groups and other entrenched interests can offer powerful resistance to a new direction, often because they have developed a comfort level with the existing paradigm and feel anxious about the unknown. This Webinar will address the product strategy and best practices considerations necessary for building a strong Security Risk Management Environment.
 

Third Party Compliance: Creating a Sustainable and Cost-Effective Third Party Due Diligence Process

Third party compliance, whether defined by FCPA, UK Bribery Act, or country-specific regulation involves a number of elements including anti-corruption policy, supplier code of conduct, training, certification and due diligence. Often, responsibilities are fragmented across multiple departments, communication is inconsistent, and business owners aren't motivated to scrutinize the third party entities whose relationships they rely on for their own success. This webcast will specifically address the practical 'how to's' around a sustainable, cost effective third party due diligence solution.
 

Aligning Security and Risk Management to the Business is the Best Path to Protection and Performance

Members of the IT staff often have the deepest understanding of the technical aspects of the subject but may not be in a position to evangelize the business stability, continuity and growth benefits that accrue from implementing an intelligent security framework. This Webinar will address these issues while outlining McAfee's strategy for Security Risk Management.
 

The Business Impact of VAT in the US and US Tax Trends

Join Thomson Reuters' indirect tax research and content experts for this live webcast as they discuss the unprecedented move the US government is seriously considering implementing - a value added tax (VAT) in the US.
 

Effective Access Control: Embedding GRC Management Throughout the Enterprise

Recent headlines in the news continue to remind all businesses across various industries, that regardless of the size of the organization, embedding governance, risk, and compliance (GRC) management into all business process is imperative. Organizations must mature in their access control practices and also actively seek GRC solutions which will enable them to minimize risk at each step of their business process. Join Aberdeen Group Sr. Research Analyst Financial Management & GRC, William Jan and Director of Solution Marketing for SAP BusinessObjects GRC Solutions, Sonny Dasgupta.
 

Practical Approaches For Aligning Risk and Compliance

With the rise of increased regulatory oversight, many companies are rethinking how their risk and compliance programs link together. Dodd-Frank is forcing many financial services institutions to align their risk and compliance policies, but companies in other verticals are also thinking about how the risk management and compliance functions can work together more efficiently to improve management information and to drive down overall cost of compliance.
 

Ready, Set, Go!: Enabling the Integration of Risk and Compliance Initiatives across the Enterprise

Join SAP and the Economist Intelligence Unit to hear the first hand report out of the not yet released research study from the Economist Intelligence Unit - Ascending the maturity curve: Effective management of enterprise risk and compliance.
 

Dealing with Wall Street Reform

Hear how banks and financial firms are preparing to deal with the largest regulatory reform they've seen in 75 years. This webinar will cover the organizational and programmatic changes being put in place to respond to the passage of Dodd-Frank.
 

Audit Committee Expectations - Internal Audit's Role in Risk Management

In this webinar, Richard M. Steinberg, Founder & CEO of Steinberg Governance Advisors, Inc., brings nationally recognized expertise in risk management and board and audit committee responsibilities as well as internal audit, to outline mandates of recent professional studies and expectations of audit committee chairs, providing practical advice on how CAEs can raise their games by adding demonstrable value to the companies they serve.
 

Don't Be Afraid of Social Media: Addressing Risk while Leveraging New Social Platforms

Tune in to this exclusive educational webinar to learn how a comprehensive Social Media Risk Strategy can be established to address risk while leveraging new social platforms.
 

Nexus for Sales and Use Tax - the Impact of Amazon Laws on E-commerce

Join Thomson Reuters and Compliance Week for a complimentary webcast discussing the current and proposed legislation affecting web-based retailers and the resulting compliance issues and solutions available for businesses.
 

Financial Services Firms Accelerate Shift to Cloud-Based Archiving for Compliance

A new Forrester survey commissioned by Bloomberg found that half of financial services firms plan to move to hosted archiving solutions by the end of 2012. Join this webcast to hear Brian Hill, Senior Analyst at Forrester Research and Harald Collet, Global Business Manager for Bloomberg Vault analyze and discuss the mounting compliance challenges for financial services firms and why firms are now turning to hosted compliance solutions to meet the challenge. The webcast will include the results of a recent survey conducted by Forrester Research of 187 North American compliance and legal decision makers in financial services.
 

Enabling Enterprise Risk and Compliance Management to Improve Predictability and Performance

In a complex, riskier and highly regulated business environment, it is more important than ever for companies to unify strategy, risk, and compliance management across their organization. Hear how you can thrive and build a risk resilient business like your peers from around the world, and uncover the unified approach to risk and compliance management to help you optimize your performance in a highly regulated world.
 

Five Ways to Evaluate the Performance-Focus of Your Operational Risk Management Program

It's a common situation, boards and senior executives want more benefit from the operational risk management function, operational risk leaders want to bring more value to the institution, and regulators want managed risk, not just policies and paperwork. Yet, on the path to progress the problem that confronts many is, "What does 'good' look like?" It's not all spelled out in Basel-land. Much time and effort have been consumed in search of an answer. Join us as we learn to ask the questions and use the answers to make daily tasks easier and grow benefits.
 

Managing Risk in the World of Sales and Use Tax

Administrative requirements for corporate tax departments have risen dramatically over the past few years. Especially in the current economical climate, state and local governments are constantly on the hunt for new sources of revenue to cover budget shortfalls. This has led to ever changing rates and rules, in addition to increased audit frequency. Managing sales and use tax is a growing burden for businesses big and small. For these reasons, it makes sense to realign internal resources and outsource time intensive tax compliance functions to drive value in areas affecting your bottom line. In this complimentary educational webinar, Thomson Reuters will discuss the current state of sales and use taxes and effectively leveraging outsourced solutions to ease corporate tax department burdens.
 

Compliance Week is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Nashville, TN 37219-2417. Web site: www.nasba.org

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Events of the Week

Addressing the Challenges of Solvency II Pillars 2 and 3
Sponsored by IBM

FCPA: The Guide and Lessons Learned From 2012
Sponsored by Crowe Horwath

Who's Minding the Files? Managing the File Transfer Explosion
Sponsored by IBM

e-Books

Getting It In Writing: The Art of Policy Management
Sponsored by NAVEX Global

Information Governance: Managing the Lifecycle of Data
Sponsored by HP Autonomy

Anti-Money Laundering Illustrated: Visualizing an Effective Capability
Sponsored by OCEG

Thought Leadership

Today's Chief Audit Executive: Continuing on a Path to Value Creation
Sponsored by Grant Thornton

What Does an Effective Customer Risk Assessment Program Look Like?
Sponsored by OCEG

Getting Ready for the Physician Payment 'Sunshine' Rule
Sponsored by Bloomberg BNA

New Compliance Week and Kroll Benchmarking Report on Anti-Bribery & Corruption
Sponsored by Kroll

Upcoming Webcasts

Strengthening Controls in 2013, Part 3: Purchase-to-Pay Cycle
Sponsored by ACL

Evolution of Compliance: 2013 State of Compliance Survey Results
Sponsored by PwC

Compliance Week Podcasts ...

Every week we chat with leading thinkers in compliance, auditing, risk management, public policy and more. These short (10-15 minutes) interviews are free to all. Follow Compliance Week podcasts on iTunes.