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SCCE Compliance Auditing & Monitoring Conference

The Three Lines of Defense in Compliance: How to Prepare Your Organization for Compliance

3:45 PM CT – 4:45 PM CT

Learning Objectives:

  • The importance of accurate internal monitoring of risk
  • How to establish internal mechanisms and monitoring to ensure compliance standards are met
  • The importance of establishing internal audit functions to assure risk is properly managed


Fred Karlinsky
Shareholder, Greenberg Traurig

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We are actively monitoring attendance. At random times throughout this session, you will be prompted with a pop-up to confirm that you are still actively participating in the virtual session. You will not see the pop ups if you are in full screen mode or your pop-up blocker is on. In addition, make sure you are disconnected from any VPN as they can also cause interference and that you have a stable internet connection (hard line is always best).Active attendance monitoring is only required if you will be requesting external CEUs for NASBA or CLE credits. If you only need Compliance Certification Board (CCB)® CEUs, it is not required to participate in active monitoring.