The GDPR and UK Financial Advisers: Consent, Erasure & Accuracy

GDPR general data protection regulation 2018 eu presentation kit

General Data Protection Regulation (GDPR) Data Subject Consent is essentially targeted at giving data subjects more control over use of their data – for example in connection with marketing activities, which (in the absence of consent) could not otherwise be legally warranted by a data controller.

Giving a data subject the option to give or refuse consent protects individuals from unwanted and unjustified communication from service providers and is highly aimed at the business-to-consumer world. It will affect advisers given that it will dictate how they can approach new business opportunities from new or existing clients.

If an email, SMS message or phone call is sent or made to an individual and that individual follows it up with a request to understand where they gave permission for such correspondence, then it is the obligation of the firm to be able to prove the individual in question has indeed consented to receiving such correspondence. If the firm cannot provide this evidence, then this constitutes a breach.

GDPR and financial advisers: The Right Of Erasuregdpr uk financial services fca
While this does have an effect on correspondence with clients, it only affects certain types. The other relevant condition for advisers to be aware of here is the ‘necessary for the performance of the contract’ condition.

A client may well opt out of marketing communications, such as a firm’s newsletter, but the firm would still have to send them correspondence on things like portfolio updates and contracts as such correspondence is essential for the performance of the contract between the data subject and the firm. What would the data subject be expecting to receive from the firm?

The opt-in process for obtaining valid consent under the incoming General Data Protection Regulation (GDPR) will be quite onerous for firms marketing to individuals. It is therefore a good idea to get into started early and consider how the firm will market to prospects post-GDPR.
You can obtain a full GDPR presentation along with two question packs at https://goo.gl/n5JsXy

GDPR and financial advisers: Data Accuracy
Simple steps could be taken now, for instance, updating the privacy policy to make sure that the firm has made some inroads towards compliance. In marketing materials that are submitted now, it deserves including the double “opt-in” option in such correspondence. Provided the guidelines for obtaining valid consent under the GDPR are met, if people opt in now, then the firm will have the ability to correspond with them after 25 May 2018.

If consent from an individual is sought, they must respond to be considered to have opted in. Their silence or inaction are not indicative of consent. Similarly, where someone has opted into correspondence at an event, in person, the firm should consider a mechanism to follow up to gain their unequivocal written consent as a form of best practice.

This applies to of electronic opt-ins too and is called ‘double opt-in’. This is to avoid circumstances whereby an individual’s details may have been shared under false pretences, or by mistake. A face-to-face meeting does not constitute an explicit response. Compliance Consultant (http://www.complianceconsultant) can help you through this.

fca operational risk management rules mapping handbookConcerns Raised
How would you know if someone had given consent to be marketed to and, beyond that, how are they going to get clients to say yes in the future.

The topic of consent, is one of the few black and white areas of GDPR with draft guidance. If the person being marketed to – that is to say, being contacted outside the bounds of the performance of a contract – has not explicitly and unambiguously agreed to be contacted, then this would constitute a breach of the GDPR.

Clients can not be deceived at all. Having a pre-ticked box below an online form, for example, does not constitute consent. The user must be made aware of what their contact details will be used for, how their data will be processed and have the opportunity to make their own choice about whether or not they receive communication from the firm.

When it comes to legacy clients, where a firm may wish to contact them to notify them about new products and services, then it was agreed the firm would will need to seek their permission to do so.

This will have to be done in advance of GDPR entering force, since any correspondence after 25 May 2018 in this fashion will constitute a breach, since those individuals will not have consented to be contacted at all. If firms have not begun to seek consent – or fresh consent in order to meet the higher threshold under the GDPR – from existing contacts within their database, then they should seek to do so now.

If these individuals do not respond to requests, it is to be believed they do not wish to be contacted. It is worth demonstrating the benefits they will lose out on from desisting so, like special deals, new investment opportunities, industry news etc.

Beyond receiving their unambiguous consent to be marketed to, a firm also needs to keep it very easy for an individual to change their communication selections – or in other word, withdrawing consent. This is just like offering an unsubscribe option on emails – something firms should currently be doing.

There is often discussion whether it would be acceptable to include a small amount of marketing in documents that are distributed to individuals as part of the performance of the contract. This could, for example, be used as a vehicle to update them of new investment opportunities. The answer is that yes it can, but the marketing must, however, be relevant to the overarching reason of the letter and should not detract from that as the main message.smr smcr fca aper

Data subject consent: Key actions and considerations

As consent from individuals must be unambiguous and they must also have the opportunity to redefine their communication preferences at any time. How will you achieve this?

How will you ensure the person competing the form/questionnaire/application is over the minimum age?

Even if the client “Opts-Out” certain correspondence may be necessary for the performance of the contract with the individual concerned, in which case consent would not be required; how will you explain this?

The fall back position is simple; If there is ANY uncertainty about whether a firm has consent from an individual, then it should consider that it does not have consent.

Data subject consent: Questions for the all industry advisers

Have you started gathering consent from clients and prospects and if so, how? How is it recorded?

Does this data form part of Senior Management MI Packs?

How and when are you going to seek consent from legacy clients?

Do you currently capture consent and, if so, how would yo demonstrate this?

 

Compliance Consultant can assist you in all your GDPR preparation and can work with most websites, back office systems and financial promotion strategies. Contact us now on 0203 815 7939

 

Specialist Regulatory Compliance Consultancy

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ISO 27001 & ISMS Terms & Definitions Explained Part 4 By Luv Johar

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The Application of Academic Research

INTRODUCTION

This article will seek to highlight the numerous academic aspects of the martial arts and sciences and how they might be serious interest and value as objects of research by various specialists. It will demonstrate their worth to researchers from other disciplines, providing them with a wealth of potential material to examine, experiment with and catalog. Indeed, they are an extremely rich resource that has, for the most part, been completely neglected, with only a few brave and / or curious even bothering to explore the possibility.

It will highlight the efforts of the IMAS in challenging hard to encourage and promote education, training, research and qualifications in the martial arts and sciences and, by so doing, gradually causing them to become more accepted as an academic subject of very real merit and worth.

ACADEMIC FACETS READILY FOUND WITHIN THE MARTIAL ARTS AND SCIENCES

Researchers in the following disciplines would find much of worth in the martial arts and sciences:

1. Anthropology

Anthropology is the scientific study of the Human Being, at all times and in all types of societies, cultures, civilizations and situations. The origin of anthropology is to be found in both the Natural Sciences and the Humanities. It asks questions such as: What defines a human being? Why do we tend to have the way we do? And why do we develop particular belief systems?

Therefore, it is quite easy to see from the above that the martial arts and sciences have a great deal to offer this subject specialism, particularly in what is called "cultural anthropology" which is a sub-division that tends to concentrate upon "ethnology" or the study of certain systematic comparisons between different cultures. For example: A well known author wrote and published a definitive work upon the European knight. This book was very well received and, a couple of years later, the same person decided to write another work, this time upon the Japanese Samurai, so drawing comparisons between the two while also highlighting certain differences in the attitudes and behavior of each. (We can see from this example one of the many "crossovers" that frequently occurs between academic disciplines. anthropological text)

The comparison between the different warrior castes and their indigenous martial arts would be a perfectly acceptable study for any cultural anthropologist to embark upon and would no doubt, yield a wealth of interesting data for the researcher (s).

1. Philosophy

Philosophy deals with the life's really BIG questions such as who are we? And why are we here? The meaning of truth and even life itself, Etc. There are many different schools of philosophy, as well as diverse areas of study (Epistemology, Logic, etc.) But, the areas that would be of special relevance in the martial arts would be both Aesthetics (which concerns itself with art) and Ethics (which concerns itself with morals, duty, scruples and generally "doing the right thing for the right reasons)

The martial arts would be most relevant to the oriental schools of philosophy that have their origin in religions such as Buddhism and Daoism, but certain European schools would also find much of interest, in particular Stoicism which concerns itself with the control of the emotions, and the Existentism of Nietzsche, Kierkegaard and Sartre amongst others, that subscribes to the theory that the human being must take full responsibility for the human condition rather than simply blaming it upon "Fate" or "God".

2. Psychology

Psychology is the study of the functions of the human mind. It concerns itself with perception, cognition, personality and behavior, etc. Again, it has many schools (Behaviorism, Cognitivism and Humanism, etc) and specialist areas (such as educational, industrial, etc) However, the martial arts would be of most use to psychologists researching the following aspects:

o Anger Management
o Conflict Resolution
o Stress Control
o Sports enhancement
o Education
o Performance coaching
o Etc.

There is a lot of interest in the way that martial artists utilize certain mental disciplines or "mindset" if you will. The ability to control their mental and physical abilities to the extent where ordinary flesh and bone can be used to break hard objects for example.

The psychology of warfare and the mindset of traditional warrior castes may even be able to shed some light upon the causes and treatment of certain mental health issues suffered by modern soldiers, chiefly, post traumatic stress disorder (PTSD) which causes such a lot of misery to so many. So, once again, martial arts have a lot to offer from a psychological standpoint.

3. Sociology

Sociology is the study of human society and behavior. It encompasss such things as the way society and culture influence the individual and also how individuals manage to find their place in the greater scheme of things and concentrates upon building up a body of knowledge regarding the effect that such things as religious and political beliefs exert upon the attitudes and behavior of communities and society at large.

Up until quite recently, members of local communities maintained quite strong, close relationships with each other. They went to the same school, relaxed in the same bars or cafes, and worshiped in the same church or temple. These days, most of that has changed. Parents will actually up-stakes and move to another area in order to try and get their child in to the school of their choosing, because of the improved transport system, people tend to travel further afield if they want to go for a night out and not that many people are as devout with their religious observances as they were in times gone by. And, even if they are, it is now possible to worship in many different temples and churches, with it being possible to change your conviction, or even your entire religion, almost every week!

Because of this changing social structure, people are now far more independent rather than co-dependent. In the UK in particular, our churches and public houses are shutting down at an alarming rate, so this process is continuing and may even be speeding up somewhat.

In this climate, local martial arts clubs tend to end as bastions of strength in the community. The vast majority are run by local people for local people, and make a very real and concrete contribution to their communities: Martial arts instructors continue to play an important part in keeping their local communities healthy and safer, and can also exert a significant influence upon the children and young people that come to them for lessons. They take part in important events in their local area such as putting on displays at garden parties and fees, and engaging in fund-raising activities for charity, etc. In this manner, martial arts clubs actually help act as the "cement" of their local communities, attracting literally all sorts of people to come together in a spirit of trust and respect. Therefore, as instructors, we must be mindful of this fact: Our field of influence extends way beyond the mat, into the family unit and through the community at large.

Sociologists with an interest in the historical aspects of their science would find much of interest in the martial arts, as wars have always played a pivotal role in shaping the society we live in. The selection, training and fighting arts of the warrior, together with their strict code of ethical conduct, have had a heavy influence not only in the way that wars were gone, but also in how nations ever evolved and came into being.

Therefore, martial arts can prove to be a rich source of both historic and contemporary information to sociologists.

4. Theology / Religious Studies

The martial arts of every country have always been very heavily influenced by certain religious beliefs and philosophies. Even today, it is possible to see the residue of these influences very clearly in not only the various histories of our arts, but also the rituals and traditions that are still so much a part of them. If we look into the historical origins and of many combative systems, we will find monks, practices and philosophers nurturing them and helping them to develop, if not actually inventing them altogether.

Indeed, if it were not for the warrior monks of many cultures and societies, then the martial arts we all know, love and learn today might not have survived at all. This is especially true when we look at such arts as Gatka from India, Shaolin Kung Fu from china, certain styles of Bersilat from Malaysia and Kyudo from Japan. Each of these martial arts is inseparably and indelibly linked to a religious belief and philosophy, with each still retaining certain undeniable aspects of these within their training territory and philosophies. Still other martial arts, such as Thai-Boxing and Sumo wrestling, clearly still bear the marks of theology upon some of their practices, requiring special blessings, prayers, rites and rituals as an integral part of their competitions.

5. Historic

As already stated above: War and religion are two of the sharpest tool's employed in the molding of human culture and society. In this way, it could have argued that the martial arts and sciences have helped to both build and destroy entire empires and nations. Fighting and the use of weapons are so ancient that they actually even predate our own species: The great apes have been shown to demonstrate crude strategy and tactics, as well as modifying sticks into forms of primitive spear. The most primitive of weapons would include the stick, stone and bone, and any combination thereof the martial arts we practice now as a healthy pass time were then, quite literally the tools of the trade. It was upon the battlefield that a great deal of martial arts and sciences have their roots and maintained development, from ancient times up until the present, with people like Fairbairn and Styers researching, experimenting and modifying the traditional techniques found in the Japanese and Chinese systems so that they could be of more efficient use in 20th century conflicts, the Israeli armed forces developing Krav Maga, and the United States Marine Corps with their military martial arts programs of today which aid young marines to prepare for and fight battles, physically and mentally . These constant modifications are a necessary part of evolution where only the strongest survive.

Historians already find much of interest in the martial arts. Here, you have serious researchers who delve into the weapons and armour of bygone eras. In addition, you have very respected institutions such as the Imperial War Museum that actually employ martial artists and masters at Arms to demonstrate their abilities, so allowing the general public a rare opportunity to witness historical combat "up close and personal". Martial arts, then, are actually pieces of "Living History" that allow both historians and the general public a unique insight into the past.

In addition to the above, there are several other disciplines that would find much of interest and worth in the study of martial arts. The very practice of martial arts techniques themselves contains a wealth of scientific application. Anatomy, Physiology, Bio-Mechanics, Kinetics, etc, are all a very real part of any training session. Health and fitness, Sports Science, Teaching methods and coaching all also have their place. It is about time that the martial arts and sciences were acknowledged and accepted as being the rich repository of knowledge that they truly are.

CONCLUSION

All of the above is already happening (albeit in an extremely sporadic way.) Research papers have been submitted by academics of several students through the past few decades. Even so, there is not enough of this valuable research for martial arts per se to be taken seriously as a subject worthy of stringent academic examination in its own right, with only certain specialized aspects being investigated by researchers from several other specialties. And, it has to be said, the majority of faculty within the Institute (myself included) have, of course, all undergone their academic training and gained qualifications in various academic disciplines other than that of the martial arts and sciences, simply because the opportunity did not exist for us to research the arts we all loved to practice and teach. In a way, this has helped to make our faculty both strong and varied. But, the time has now come for the martial arts to "come of age" as an academic subject in its own right. Indeed, this is one of the main reasons as to why this institute has come into being, and remains one of its primary goals.

Earlier this year, the Institute of Martial Arts and Sciences held its first ever conference. It was a small affair but, never the less several very interesting research papers were submitted and presented. It is held that this research will soon be published so others might gain access to them and perhaps even be inspired to conduct research of their own. In addition, members of faculty permanently work hard at establishing strong links with several other studied institutions and universities the world over, and continuously publishing books, articles and letters in both specialist journals and the martial arts press. So it has already started. The face of martial arts have changed irrevocably for the better, thanks to a scant handful of determined academics, researchers and educators who also happened to be very highly ranked martial arts practitioners. It is those few who have made it possible at last for the martial arts to be studied not only on the mat in a martial arts club, in the sporting arena or even on the battlefield, but also in classes and lecture halls. Martial artists can now also sit academic exams as well as under grading examination tests. And they can gain useful academic, professionally accredited qualifications as well as belts or sashes, and these qualifications mean just as much outside of the martial arts club as they do within it. Martial arts and those who practice them are now beginning to gain the status and recognition they so richly deserve.

Complete Assistance in the preparation for the implementation of the SMR/CR can be obtained from us at Complaince Consultant Where we have experience in the banking sector from 2015/2016.

Source by Jaimie Lee-Barron

The Auditing Roundtable Basic EHS Skills Training Trailer

For more information call: (480) 659-3738

The Auditing Roundtable is pleased to present this short trailer which introduces our latest training offering: Basic Environmental, Health & Safety Auditing Skills. The Basic Skills Auditing Course is designed to assist you in learning the fundamental principles and techniques all auditors should understand. This training course is applicable to environmental, health and safety, management system, or, any other auditing process.

About the Instructor: Ray Kane is a long time auditing veteran with over 30 years experience in the EHS auditing profession. He is a recognized author, lecturer and instructor on auditing skills and program development and has previously served on the Auditing Roundtable and BEAC Board of Directors.

The course consists of a Workbook and a DVD with six separate modules and a Summary.

Disk 1
Module 1- Ethics and Standards of Conduct
Module 2- EHS Audit Program Design and Planning
Module 3- EHS Pre -Audit Activities

Disk 2
Module 4- EHS On-Site Audit Activities

Disk 3
Module 5- Post- Audit Activities
Module 6- Internal Controls
Summary of Lessons Learned

After each module, attachments are provided. These are either training exercises or supplementary material that is associated with the training points in the modules. You are encouraged to follow the module discussion in the video segments. The student workbook that is included contains the screen graphics and attachments referred to in the DVD and has a notes section under most of the screen graphics with additional information relating to the graphics presented.

You can pause the video modules whenever you wish and refer to the information in the student workbook. In this way you can proceed at your own pace, starting and stopping the modules and reviewing the materials in more detail as you wish.
This course is designed to assist those new or prospective auditors that plan to apply for certification from the Board of Environmental Health and Safety Certifications, also known as BEAC. This course focuses on the basic auditing principles, skills and competencies specified in the BEAC Auditing Standards and the BEAC certification exam study guides and which are typically included in BEAC certification exams.

Taking this course is no guarantee that students will automatically be certified. The BEAC certification process includes other requirements and skills not included in this Auditing Roundtable basic skills training course.

This course will also be useful to those who simply want to have comprehensive refresher training on basic EHS auditing skills.

The Auditing Roundtable has also developed two additional courses; one that provides training on the auditing details of environmental regulatory compliance requirements and the other that provides training on the auditing details of occupational health and safety regulatory requirements for EHS audits. These courses are not currently offered in DVD format like this Basic Skills training course. Please contact the Auditing Roundtable for more information on the schedule for these course offerings.

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S7C Conference – Islamic Banking and Finance: Regulatory, Risk and Compliance

This advanced two day training programme has been designed to provide delegates with comprehensive training in the latest regulatory, risk, and compliance issues affecting the Islamic banking and finance industry today. Delegates will be instructed on risks affecting Islamic finance practices and products, on developing integrated risk management frameworks, and on the latest legal, regulatory and Shari’ah compliance issues affecting Islamic banks and financial institutions. Delegates will also gain insights into the latest trends in Islamic finance products (e.g. derivatives) and practices (e.g. microfinance).

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Daniel Rajkumar Testimonial Video for Vedanvi

Vedanvi helped Rebuildingsociety.com, a peer to peer lender prepare for FCA authorisation. Vedanvi also helps Rebuildingsociety.com develop a risk, compliance and governance framework.

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Spring Summit 2017

Don’t miss this unique opportunity to get information you normally receive in three events ALL in one event with three separate tracks. You can earn at least 8 hours of content in each track. Some tracks will offer more than 8 hours, but you will receive no less than 8 hours per track. Mix and match the topics that meet your specific needs!

Employee Benefit Plans Track – Whether you’re an auditor of employee benefit plans or an administrator of such plans, this conference has topics designed specifically for you. Plan sponsors and auditors, come discover information that will help you build a better package, remain compliant, learn the latest in ERISA regulations, best practices and more.

Government Track – Designed to help you with both awareness and comprehension of the latest regulatory changes. With guidance on compliance, ethics and governance issues specific to governmental entities, you’ll be prepared to meet the rigors of today’s standards with newfound clarity.

Nonprofit Track – Created for CPAs working in nonprofits or firms with nonprofits, the sessions in this track will help you master new financial reporting standards, financial and compliance audits, and the latest legislative updates during this very transitional time.

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The Role of Project Management Training Companies in Project Management Development

Introduction

For many years Project Managers learned their trade by experience, typically an Engineer would be promoted to the role of Project Manager and if they succeeded in delivering their first project they would be rewarded with larger more challenging projects (almost until they failed). Organisations, however, found this ‘learning by experience’ approach very expensive, because mistakes made early in a project (such as poor definition of scope or failure to understand risks) can have dramatic consequences during implementation. Since the 1990’s project management has become more recognised as a profession, with widely recognised bodies of knowledge (APM, PMI & Prince 2 methodology) and associated training and certification. An understanding of these frameworks provides organisations and individuals with a structured process for the planning and execution of projects and organisations. Project Management Training has made it their business to provide class room training to teach these methods and support individuals often linked to certification. However organisations and individuals still find the ability to delivery projects successfully challenging.

The aim of this paper is to look beyond training and to the implementation of a learning culture within a world class project delivery organisation.

Definitions

Training is defined by the CIPD as ‘an instructor-led and content based intervention leading to a change in behaviour’; it often involves time away from the work place in a classroom or equivalent. In many organisations this is the primary form of development for employees.

Learning is defined as ‘a self directed, work based process leading to an increased adaptive capacity’, it involves equipping individuals with the ability to ‘learn to learn’ and possess the capabilities that employers need to build and sustain a competitive advantage. In a learning culture, individuals actively seek to acquire the knowledge and skills required to deliver the organisations objectives. Most individuals learn best from experience and this learning can be triggered by a wide variety of learning interventions which are integrated within the normal workplace. Along with knowledge management, ‘learning’ most definitely holds its place in supporting the longer term development of Project Delivery competence.

Learning Interventions

Training Companies could develop a wide range of learning interventions, including:

Action Learning

The individuals identify a particular project problem, for which they take ownership and define the steps required to resolve it. Colleagues work in learning sets (or groups) to provide support and to challenge each others approach. This provides significant benefit in identifying and addressing specific weakness within the organisation. It can free up inflexible thinking and generate radical solutions. However, clear sponsorship is needed from within the organisations and the solutions can be threatening if radical solutions emerge. Project Management Training Companies can offer support for the facilitation and formation of learning sets within an organisation, providing advice and steering in order to ensure the group maintains momentum.

Blended Learning

It is becoming increasingly more recognised that individuals learn best in small chunks of two to three hours, (school lessons have always been 30-45 minutes). Blended learning, which usually includes e-learning, enables individuals to access information in smaller chunks. Training Companies is proactively evaluating the development and deployment of both generic and bespoke e-learning solutions.

Mentoring and Coaching

Coaching is a one-to-one method of enhancing performance and skills. Coaching is usually organised as a number of short one-to-one sessions over a period of several months, in which individuals are paired with an appropriate coach. Training Companies’s coaching model is a four step process including 1) Setting goals based on reality, 2) evaluating options for development, 3) committing to action and 4) reviewing outcomes. Project Management Training Companies have pilot one-to-one coaching programmes running within Transport for London. We need to evaluate the benefits of these programmes and potential market.

CPD – Continuing Professional Development

Continuing Professional Development supports the ongoing education of project managers ensuring individuals remain up to date. Within the project management community, the APM and other bodies arrange regular CPD events aimed at enhancing an individual’s knowledge usually focussed towards specific knowledge areas (such as Risk, Managing Project Teams etc). Training Companies arranges their own industry specific, regular PM seminars delivered by Guest Speakers and Training Companies’s own consultants. These events generally last for half a day and encourage individuals to share ideas and discuss issues within their own industry.

Within an organisation PM forums can provide a powerful way of debating and discussing issues relevant to the PM community. This can range in duration from 1 hour (‘break and learn’ lunchtime sessions to half day events. Highly bespoke forums can form ‘surgeries’ providing a safe environment for Project Managers to discuss issues. 

Development (or assessment) Centres

In a development centre, individuals take part in a number of job simulations and tests observed by Consultant assessors who evaluate their performance against pre-defined criteria. The APM Practitioner Qualification is one form of assessment centre offered by Training Companies, however the feedback is based on the APM BOK and can be limited and indirect.

Some clients prefer bespoke development centres/job simulation events which focus on the key behaviours important to their own organisation, often involving senior managers from within the organisation as the observers and/or contributors. Training Companies can work with partners who have significant experience developing and delivering management development centres and these will have a pivotal role in any ‘learning’ solution.

Knowledge Management

Knowledge management systems encourage individuals to store, retrieve and make available information which supports the successful delivery of projects. Systems can range from template documents, lessons learned and discussion on key topics, access to key Project Management portals, websites and on-line forums. Project Management Training Companies does not currently support knowledge management systems but is investigating systems to support an alumni community which would have access to such a shared resource.

Conclusions

Class room based project management training is a significant improvement to ‘learning on the job’, providing individuals and organisations with a structured approach to project management. Looking to the future, successful project delivery will require individuals to take the learning out of the class room and apply it back in the day job. In this paper we have identified a number of learning interventions that support the shift from training to learning. Several of these will require significant development effort both in terms of approach and infrastructure. Project Management Training Companies need to seek a client partner to work on these assessing the feasibility of these approaches and define the scope of any Training Companies.

Complete Assistance in the preparation for the implementation of the SMR/CR can be obtained from us at Complaince Consultant Where we have experience in the banking sector from 2015/2016.

Source by Paul Naybour

2015 National Settlement Services Opening Video (NS3)

Watch the opening day video from the 11th Annual National Settlement Services Summit (NS3). The 2015 theme Building for the Future set the tone for 3 days of educational business, regulatory and compliance sessions led by veteran speakers and noted industry experts.

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Trends in Fraud and Abuse in Home Care: Thought Leaders in Health Law Video Series

Attorneys David E. Matyas, Jason E. Christ, and Melissa L. Jampol, Members of the Firm in the Health Care and Life Sciences practice at Epstein Becker Green, examine what home care organizations can do as they face increasing government scrutiny and fraud and abuse enforcement.

This video looks at the following:

* Recent civil and criminal penalties faced by home care organizations

* How to create a plan in advance of an investigation

* The importance of an active compliance program

* Individual responsibility in monitoring fraud and abuse

Learn more about Epstein Becker Green’s capabilities related to fraud and abuse counseling: http://www.ebglaw.com/fraud-and-abuse-counseling-and-defense/.

This video features attorneys with experience working on fraud and abuse issues from a variety of perspectives.

JASON E. CHRIST concentrates his practice in health care fraud and abuse, risk adjustment payment, government investigations, and health regulatory counseling. He is an adjunct professor at American University Washington College of Law’s Health Law and Policy Institute, where he routinely speaks and writes on matters concerning health care fraud and abuse and electronic discovery.

MELISSA JAMPOL most recently served as an Assistant U.S. Attorney in the U.S. Attorney’s Office for the District of New Jersey. She worked in the Health Care and Government Fraud, Violent Crime, and Organized Crime & Gang Units, where she led significant, complex investigations and prosecuted a broad range of high-profile criminal cases, including those involving health care fraud and Anti-Kickback Statute violations.

DAVID MATYAS has over 20 years of experience advising clients on federal and state fraud issues, such as anti-kickback, self-referral, false claims, and regulatory compliance. He also serves on the Board of Directors for the Community Health Accreditation Program (CHAP), a nonprofit accrediting body for more than 5,000 community-based health care organizations (home health, hospice, and home medical equipment) worldwide.

The Thought Leaders in Health Law video series tracks the latest trends in multiple areas of the health care and life sciences industries, featuring attorneys and advisors from Epstein Becker Green and EBG Advisors.

Visit http://www.ebglaw.com/thoughtleaders

These materials have been provided for informational purposes only and are not intended and should not be construed to constitute legal advice. The content of these materials is copyrighted to Epstein Becker & Green, P.C. THOUGHT LEADERS IN HEALTH LAW® is a registered trademark of Epstein Becker & Green, P.C. ATTORNEY ADVERTISING.

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Keynote: Tackling the Global Regulatory Landscape as a Company

– Bringing one world view to global food regulations
– Discussing the high-profile issues currently shaping the global regulatory landscape
– How should industry seek to exceed expectations as it operates across borders and jurisdictions?
– What is the culture within your company? How do you collaborate on regulatory expectations to secure business alignment and the right balance on risk management?
– Transparency and proactive partnership – industry and regulators working together beyond compliance
Are we meeting consumer needs?

Martin Slayne has broad experience working across sectors and geographies, leading in scientific, regulatory and food safety roles. Martin joined The Hershey Company in 2014 to head up the Company’s new Global Scientific & Regulatory Affairs organization, based in Hershey, Pennsylvania. Martin was born in Wales, UK. He started his career in scientific research, moved to UK government sector in London, and then to the European Commission in Brussels. In 2005, he moved to the food industry sector in the US, responsible for global regulatory, food safety and nutrition leadership in Fortune 500 food companies. Martin was previously with Kraft Foods through the company split into Mondelez International, where as Chief Food Safety Officer he established and led the Global Food Safety and Scientific & Regulatory Affairs organization. His original move to the US was to join PepsiCo, at the Frito-Lay HQ near Dallas, where he led PepsiCo’s global cross-functional community on scientific & regulatory affairs, food safety and nutrition. Before moving to the US, Martin was responsible for establishing legislation on chemical food safety at the European Commission in Brussels, including EU representation at Codex Alimentarius, and inter-governmental collaboration. Prior to Brussels, Martin built his responsibilities across food, animal feed, veterinary and agricultural science and policy at the UK Food Standards Agency and Ministry of Agriculture Fisheries and Food in London. Martin has a PhD in medical microbiology research.

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