Course Details
Course Outline
5 days course
Introduction to Corporate Governance and Compliance
- Introduction to compliance and significant role in corporate governance and risk management
- Defining compliance management system, and exploring its structure, objectives, and functions
- Discussing how compliance is customized to fit different industries and organizational structures
- Identifying the core elements of a compliance management system for the strategic level
- Describing the process of building an effective compliance program
- Understanding corporate governance principles and framework
- Real-world examples of successful compliance management systems
Tracking and Monitoring of Day to Day Operations
- Guidelines for developing effective policies and procedures
- Strategies to train employees on compliance to enhance their awareness and adherence to compliance policies
- Exploring monitoring techniques and tools to measure compliance effectiveness
- Strategies to handle and resolve consumer complaints
- Discussing legal obligations and regulatory frameworks of corporate governance and compliance
- Reviewing industry codes and global standards for reporting corporate governance and compliance
- Discovering the application of governance rules and principles and their role in ensuring accountability and transparency
Compliance Failure Implications, Ethics, Responsibility and Social Culture
- Discussing potential legal implications and consequences of non-compliance
- Understanding the ethical considerations and responsibilities in compliance
- Defining corporate social responsibility (CSR) and its role within the corporate governance framework
- Recognizing the importance of regulating compliance training programs and how they promote ethical behavior
- Exploring ethical responsibilities in the employer-employee relationship
- Methods encouraging ethical workplace conduct within the organization
- Guidelines to develop reporting mechanisms and provide whistleblower protection
Compliance Officers’ Roles and Responsibilities
- Strategies and best practices for implementing and managing an effective compliance system
- Discussing the importance of reviewing and updating company policies
- Understanding the compliance officer’s responsibility in advising management on compliance through reports
- Guidelines and tools for creating and managing action plans for compliance violations
- Techniques and tools for assessing compliance risks in operations
- Strategies for resolving employee concerns about legal compliance
Enforcement of Corporate Compliance Program
- Discussing how to establish an enforcement mechanism of the corporate compliance program at all levels
- Methods to integrate internal control systems with compliance frameworks
- Guidelines and techniques for developing a code of conduct for the organization
- Techniques and tools for conducting compliance audits and evaluations
- Case studies and real-world examples about the applications of compliance principles
- Key takeaway and Q&A session
