ComplianceOnline

Mitigating Strategies for New Product Development Process & Approvals - Policy, Governance and Methodology

Instructor: Mario Mosse
Product ID: 705132
Training Level: Intermediate
  • Duration: 90 Min

recorded version

$249.00
1x Person - Unlimited viewing for 6 Months
(For multiple locations contact Customer Care)
Recorded Link and Ref. material will be available in My CO Section
Last Recorded Date: Jul-2017

Training CD

$399.00
One CD is for usage in one location only.
(For multiple locations contact Customer Care)
CD and Ref. material will be shipped within 15 business days

Customer Care

Fax: +1-650-565-8542

Email: customercare@complianceonline.com

Read Frequently Asked Questions

Many financial scandals and significant operational losses can be traced back to poorly designed or improperly implemented products. Other problems arise from faulty legal and operational processes that lead to improper documentation and other issues. This training program will address risks and corresponding mitigating strategies involved in the new product development process. It will also discuss risk assessment protocol and product monitoring.


"Mitigating Strategies for New Product Development Process & Approvals - Policy, Governance and Methodology" - This course is approved by NASBA (National Association of State Boards of Accountancy). Attendees of Live Webinar are eligible for 1.8 CPE credit up on full completion of the course.

Why Should You Attend:

A rigorous and well-documented process for developing and implementing new products is an essential tool to ascertain that all risks have been properly identified, evaluated and addressed before a product goes to market. This webinar will discuss why the process must include a comprehensive risk assessment and checkpoints to ensure that appropriate stop-or-go decisions are made throughout the product development life cycle.

It will also discuss how risk officers have played a key role in the product development process, ensuring compliance with the overall process, and making sure subject matter experts are involved at the appropriate times and required approvals are obtained at the end of each phase.

Areas Covered in the Webinar:

  • Product Development Life Cycle
  • Policy, Governance and Methodology
  • Product Development Process
  • Risk Assessment Protocol
  • New Product Approval
  • New Product Implementation
  • Post-Implementation Review
  • Product Monitoring

Who Will Benefit:

This webinar will provide valuable information to individuals occupying the following positions in the financial services industry:

  • Asset Managers
  • Broker/Dealers
  • Supervisors
  • Financial Officers
  • Compliance and Risk Officers
  • Internal Auditors
  • Operational Risk Managers
  • Internal and External Auditors
  • Board Members
  • IT Managers
  • General (Legal) Counsel
  • Operational Risk Managers
  • CFOs (Chief Financial Officers)
  • COOs (Chief Operating Officers)
  • CROs (Chief Risk Officers)
  • CIOs (Chief Information Officers)
  • CPAs (Certified Public Accountants)
  • CBAs (Chartered Bank Auditors)
  • CIAs (Certified Internal Auditors)
  • CFEs (Certified Fraud Examiners)
  • Regulators who supervise or examine banks or financial institutions
Instructor Profile:
Mario Mosse

Mario Mosse
President, MMosse Consulting LLC

Mario Mosse has over 40 years of experience in enterprise risk management, internal audit and regulatory compliance at financial services companies. He is the president of MMosse Consulting, LLC, where he provides risk management advice and training to the financial services industry. Previously, he was the head of Operational Risk Management at Prudential Financial, Inc. and with The Chase Manhattan Bank, where he held several senior positions in risk management and internal audit.

Topic Background:

Many financial scandals and significant operational losses can be traced back to poorly designed or improperly implemented products. The 2007/2008 financial crisis highlighted the wide-spread damages caused by products that did not perform as expected or were unsuitable for the target clientele. Other problems arose from faulty legal and operational processes that led to improper documentation and dubious interactions with clients. In the aftermath of the financial crisis, regulators have become particularly concerned with financial institutions that do not have a solid process for vetting new products and addressing the significant risks inherent to the product development process.

We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail cpe@nasba.org.


Field of Study Minutes CPE
Business Management & Organization 30 0.6
Finance 30 0.6
Specialized Knowledge and Applications 30 0.6
Total Duration - 90 Min Total Credits - 1.8

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Refund Policy

Registrants may cancel up to two working days prior to the course start date and will receive a letter of credit to be used towards a future course up to one year from date of issuance. ComplianceOnline would process/provide refund if the Live Webinar has been cancelled. The attendee could choose between the recorded version of the webinar or refund for any cancelled webinar. Refunds will not be given to participants who do not show up for the webinar. On-Demand Recordings can be requested in exchange.

Webinar may be cancelled due to lack of enrolment or unavoidable factors. Registrants will be notified 24hours in advance if a cancellation occurs. Substitutions can happen any time.

If you have any concern about the content of the webinar and not satisfied please contact us at below email or by call mentioning your feedback for resolution of the matter.

We respect feedback/opinions of our customers which enables us to improve our products and services. To contact us please email customercare@complianceonline.com call +1-888-717-2436 (Toll Free).

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