Improving Regulatory Relationships
Think about how you could improve relationships between your organization and those agencies that regulate it. List and discuss what your organization could do to improve these relationships, using material from the reading and lecture as a basis for this discussion.
I propose that you think about your relationships with regulators in four categories:
- relationships in ordinary periods where no proposed regulation is being considered and no examination is underway,
- relationships when a rule is proposed or likely to be proposed by your regulator;
- relationships when you are being examined by your regulator, and
- relationships when your regulator is investigating your firm or individuals associated with your firm. It is critical for the success of your business and the success of your regulator that you interact with your regulator in a constructive way in each of these circumstances.
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