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2 Day Workshop by Mike Rasmussen - Regulatory Change and Effective Policy Management

Mike Rasmussen, J.D., GRCP, CCEP, OCEG Fellow, Principal Analyst
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Course Description:

This is a two day workshop led by Michael Rasmussen, an internationally recognized pundit on governance, risk management, and compliance (GRC). The first day will cover how to create a regulatory intelligence strategy and process that monitors regulatory changes, and the second day of the conference will help attendees understand how to implement and effectively manage policies of an organization.

Day 1 – Regulatory Change Management


Day 2 - Effective Policy Management

In the time it takes you to consider this workshop your business has changed. Business drifts in a sea of change. One particular area of change that bears down on the organization is the siege of changing laws, regulations, and enforcement actions.

When regulatory change management is an ad hoc process with little to no documentation, accountability, and task management, there is no possibility to be intelligent about regulatory risk that impacts your business. The typical organization does not have adequate processes in place to monitor regulatory change, determine impact on business processes, prioritize, and make changes to policies. Information itself is not enough organizations are overwhelmed by data through legal and regulatory newsletters, Websites, e-mails, and content aggregators.

The organization needs a defined regulatory change management process to assimilate the intake of relevant information, track accountability on who needs to perform what actions, model the potential impact on the organization, establish priorities, and determine if the organizations policies, procedures, and controls need to be adjusted to address the change.

This workshop enables the attendee to build a regulatory intelligence strategy and process that monitors regulatory change, measures impact on the business, while implementing   appropriate policy, training, and control updates.

  • Develop a regulatory taxonomy/framework indexed to your organizations enterprise risk taxonomy
  • Understand roles and responsibilities in the regulatory change management process
  • Conduct a business impact analysis to understand regulatory change impact on your business
  • Map regulations to policies so that you know what policies to review when regulations change
  • Revise communication and training programs to keep them current with regulatory change
  • Monitor and audit action plans to ensure that changes to regulations are driven into the controls of the business


Policies & procedures must be in place to safeguard and educate staff, to protect the organization against unnecessary risk, ensure the consistent operation of the business, uphold ethical values of the organization, and to defend the organization should it land in turbulent legal waters.

However, effectively managing policies is easier said than done. Ad hoc or passive approaches mean that key policies are out-dated, scattered across the business, and not consistent– resulting in confusion for recipients; and an insufficient level of governance and reporting for auditors and regulators.

It is no longer enough to simply make policies available. Organizations need to guarantee receipt, affirmation AND understanding of policies across the business.

To consistently manage and communicate policies, organizations are turning toward defined processes and technologies to manage the Policy lifecycle. The continual growth of regulatory requirements, complex business operations, and global expansion demand a well thought-out and implemented approach to policy management.

This workshop provides a collaborative learning environment in which the attendees will be guided through lectures and discussions to learn how to implement an effective policy management process within their organizations.

  • Defining a process lifecycle for managing policies
  • Establishing policy ownership and accountability
  • Providing consistency in policies through consistent style and language
  • Communicating policies across extended business relationships
  • Tracking policies attestation and delivering effective training
  • Monitoring metrics to establish effectiveness and/or issues with policies
  • Relating policy management to risk, issue/case, and other GRC areas

Who will Benefit:

Both the days of the conference will be beneficial for below titles from any company.

  • Compliance Officers/Managers
  • Internal Policy Managers/Administrators
  • Human Resources
  • Legal
  • IT/Information Security
  • Business Operations
  • Health and Safety

Course Outline:

Day 1 – Regulatory Change Management


Day 2 - Effective Policy Management

  • 8:00 to 8:30 AM
    • Breakfast &
    • Introductions
  • 8:30 - 10:15 AM
    • Disarray of Regulatory Change
    • Understand Regulatory Change Management Lifecycle
    • Roles & Responsibilities in Regulatory Change
  • 10:30 AM- 12:00 PM
    • Regulatory Taxonomy
    • Relationship of Regulatory Change to Enterprise Risk
    • Business Impact Analysis
  • 12:00 - 1:00 PM
    • Networking Lunch
    • Sponsor/Case Study Presentation
  • 1:00 - 3:00 PM
    • Information Architecture of Regulatory Change
    • Technology Enablement of Regulatory Change
  • 3:15 - 5:00 PM
    • Responding to Change in Policies,Training, and Audit Programs

  • 8:00 to 8:30 AM
    • Breakfast and
    • Introductions
  • 8:30 - 10:15 AM
    • Disarray of Policy Management
    • Policy Management Lifecycle
    • Roles & Responsibilities in Policy Management
  • 10:30 AM- 12:00 PM
    • Consistent Style and Writing of Policies
    • Policy Management Best Practices
  • 12:00 - 1:00 PM
    • Networking Lunch
    • Sponsor/Case Study Presentation
  • 1:00 - 3:00 PM
    • Technology Enablement of Policy Management
    • Effective Communication & Training
    • Tracking Attestations
  • 3:15 - 5:00 PM
    • Relationship of Policies to Other Areas of GRC

Meet Your Instructor

Michael Rasmussen
J.D., GRCP, CCEP, OCEG Fellow, Principal Analyst

Michael Rasmussen is an internationally recognized pundit on the topics of business ethics, corporate culture, policy management, and compliance. With more than 18 years of experience, Michael helps organizations understand their culture and improve related Governance, Risk, and Compliance (GRC) strategies, processes, and technologies that deliver business agility, efficiency, and effectiveness. He is a sought-after keynote speaker, author, and advisor on compliance and risk management strategies. He is noted for being one of the earliest advocates for a collaborative and integrated approach to GRC.

Michael has served in leading roles to create public policy contributions for U.S. Congressional reports and committees, and currently serves on the Leadership Council of the Open Compliance and Ethics Group (OCEG) and chairs OCEG’s Technology Council. Michael is quoted extensively in the press and is respected for his commentary on broadcast news channels. In June 2007, Treasury & Risk recognized Michael as one of the 100 most influential people in finance with specific accolades noting his work in “Governance and Compliance: Saving the Planet and the Corporation.” In October 2008, he was recognized as a “Rising Star in Rocky Times: Corporate America’s Outstanding Executives Under the Age of 40.”

Michael has worked in the analyst, consultancy, and enterprise sectors. Prior to founding Corporate Integrity, Michael was a Vice-President and ’Top Analyst’ at Forrester Research, Inc. Before Forrester, he led the risk/compliance consulting practice at a professional services firm in the Midwest.

Michael’s educational experience consists of a JD and a B of S in Business. Michael is currently pursuing a MDiv. He is a CCEP (Certified Compliance and Ethic Professional) as well as a CISSP (Certified Information Systems Security Professional). OCEG/GRC Certify has recognized him as an GRC Fellow for his contributions and advancement of GRC practices around the world.

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Group Registrations

Significant tuition discounts are available for teams of two or more from the same company. You must register at the same time and provide a single payment to take advantage of the discount.

2 Attendees - Get 10% off
3 to 6 Attendees - Get 20% off
7 to 10 Attendees - Get 25% off
10+ Attendees - Get 30% off

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Written cancellations through fax or email (from the person who has registered for this conference) received at least 10 calendar days prior to the start date of the event will receive a refund — less a $150 administration fee. No cancellations will be accepted — nor refunds issued — within 10 calendar days from the start date of the event.

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What past attendees say about ComplianceOnline Seminars

This was an excellent, content rich seminar covering great topics that were extremely helpful.
- Health Reform Consultant, Blue Cross Blue Shield of Michigan

I really enjoyed the subject matter and the interaction among the participants. The regulatory change session was extremely valuable. ComplianceOnline is a great organization that coordinates GRC education.
- Policy Project Manager, Sallie Mae

Michael is well informed and a dynamic speaker who presents his knowledge in a quick, easy to understand method.
- Audit Team Leader, Blue Cross Blue Shield Michigan

Michael is very professional and knowledgeable and seminar was very informative. Regulatory change management topic was extremely valuable because it directly effects my role. Though I am not involved in policy management directly, gained extensive knowledge from this seminar. I would highly recommend this seminar to business regulatory managers.
- Global Regulatory Manager, Personal Care, AkzoNobel Surface Chemistry

All topics in this seminar were extremely valuable especially policy management because as a vendor, we were trying to find out the differences between what we offer and what customers are looking for!
- Analytical Consultant, SAS Institute Inc.

It was a great training and was highly informative. Policy management system topic was most valuable. Seminar was very interesting.
- Senior Analyst, Enterprise Risk Management, American International Group (AIG)

Regulatory change management topic was highly beneficial and valuable.
- Project Manager, Discover Financial Services

Policy management session was most valuable because it is related to my role.
- Business Leader, Risk Governance and Administration, Visa Inc

I had registered for a seminar but unfortunately I was not able to attend. The company was very understanding and extremely helpful. I plan on attending a future event soon.
- Director of Regulatory Affairs, Nickell Physician & Pharmacy Services

Media Partners


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  • Announcement article of the conference on the Magazine and/or Website.
  • Dedicated email blast to all subscribers of Media Partner.
  • Article on the Magazine and/or Website after the conference.

Local Attractions

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Coney Island is a seaside resort in Brooklyn famous for its historic Ferris Wheel and roller coaster, the Cyclone. Long past its heyday, it is still a popular tourist attraction.

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Lincoln Center is a large complex devoted to music, dance, and theater. The most famous building at the center is the Metropolitan Opera House, designed by Wallace K. Harrison.

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Completed in 1900, this neo-Gothic masterpiece is the country's largest roman catholic cathedral. It is located at Fifth Avenue near Rockefeller Center, now a posh area but at the time of construction well out of the city center.

Times Square, the most bustling square of New York is known for its many Broadway theatres, cinemas and electronic billboards. It is one of those places that make New York a city that never sleeps.

Washington square park, located in Greenwich village, was created in 1826. The main attraction of the park is the Washington Arch, constructed for the centennial of President Washington's inauguration.

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