Advanced Course of Corporate Compliance

Advanced Course of Corporate Compliance

Monday 15 Feb 2021

  • Duration: One Week
  • City: London
  • Fees: Classroom: 3900 GBP / Online: 1950 GBP



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.

Course Outlines:

Day 1

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
– Corporate governance

Day 2

Tracking and Monitoring of Day to Day Operations

– Policies and Procedures
– Training
– Monitoring
– 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

Day 3

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

Day 4

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
detailed reports.
– Create and manage effective action plans in response to audit discoveries and
compliance violations.
– 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.

Day 5

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

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