Monday 16 Aug 2021
- Duration: One Week
- City: London
- Fees: Classroom: 3900 GBP / Online: 1950 GBP
Monday 16 Aug 2021
It’s only relatively recently that corporate governance and compliance has come to prominence in the business world. Corporate governance is concerned with both the internal aspects of a company and the external aspects. Compliance is concerned with the process by which an organisation seeks to ensure that employees and other constituents conform to applicable norms. This course will help you understand the driving force behind the development of corporate governance in the last two decades, and the importance of corporate governance to the company itself, to directors and shareholders and other stake holders.
The course will also introduce you to the ways in which the compliance function is carried out.
Introduction to Compliance
Definition of a compliance management system
Tailoring to Each Institution
compliance management system Components for Strategic Level
Building an Effective Compliance Program
Tracking and Monitoring of Day to Day Operations
Policies and Procedures
Consumer Complaint Response
Legal and regulatory aspects of corporate governance and compliance
Codes of and reports on corporate governance and compliance
Application of governance rules and principles
Potential Legal Implications of the Failure in Compliance & Ethics,
responsibility and social culture
Potential Legal Implications of the Failure in Compliance & Ethics, responsibility
Regular ethics and compliance training programs
Ethical Responsibilities in the Employer-Employee Relationship
Ethical Workplace Conduct
The Roles and Responsibilities of Compliance Officers
Implement and manage an effective legal compliance program.
Develop and review company policies.
Advise management on the company’s compliance with laws and regulations through
Create and manage effective action plans in response to audit discoveries and
Regularly audit company procedures, practices, and documents to identify possible
weaknesses or risk.
Assess company operations to determine compliance risk.
Ensure all employees are educated on the latest regulations and processes.
Resolve employee concerns about legal compliance.
Enforcement The corporate compliance program
Enforcement The corporate compliance program at all levels within the company.
The Corporate Compliance Programs and Internal Controls
developing a code of conduct in the institution
Practical applications and comprehensive review