If They Come Looking, They’ll Find Something!

Protect your company through proactive risk mitigation and understanding how regulators work and the key reasons they investigate businesses.


Regulators are those governmental agencies which have oversight into our operations.  

When a regulator calls us or comes to visit, it’s usually the result of unhappy customers – which we have not satisfied – who complains to them.  Subsequently, the regulators will ask many questions about our business practices and how we operate.  They have the authority to fine us and try to impose penalties in an effort to ensure our compliance with the myriad of laws which we must follow.

This workshop highlights business risk and the continuous cycle of supervision which each of these agencies perform when it come to businesses within their purview.  

Key Takeaways: 

  • Business risk and how to avoid the regulatory oversight altogether
  • The four (4) elements of the regulatory cycle
  • The importance of ongoing employee training, and signed, employee acknowledgements
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