:Module One
Introduction To Compliance
?a) What is corporate compliance
?b) Who is responsible for managing it
?c) What are the benefits of its introduction
d) Fostering a culture of accountability
The Regulatory Environment And The Role Of Regulators
a) Regulatory drivers
b) A variety of legal obligations and due diligence
:Module Two
The Regulatory Environment And The Role Of Regulators Continued
a) International responses to the problems of money laundering, economic crime, cyber-sabotage and terrorism
b) Non-compliance and its ramifications
Compliance And The Role Of Corporate Governance
?a) What is governance
b) The corporate constitution and governance structures
c) Duties and responsibilities of directors
d) Protection of stakeholder interests
:Module Three
Compliance And Business Ethics
?a) What is ethics
b) Ethics and corporate accountability: Sarbanes-Oxley
c) Benefits of a commitment to sound business ethics
d) Corporate ethics guidelines
Developing A Corporate Compliance Program
a) Code of conduct
b) Policies and procedures
Group Exercise
:Module Four
a) Best practice principles
b) Monitoring and auditing
Implementation Of Corporate Compliance
Implementation requirements
Case studies will be used to demonstrate how organizations have implemented compliance programs.
:Module Five
The Corporate Compliance Function
a) The location of the compliance function
b) Integration or independence of the compliance function
c) An optimal compliance architecture
d) The Compliance Officer
Issues In Compliance
a) The demand for Corporate Social Responsibility (CSR)
b) Fraud and corruption control
c) International money laundering
d) Whistleblower programs and the law
:Group Exercise
Final Examination
The final examination will be in a Multiple-Choice format