Course Overview
Why This Particular Executive Course?
Creating a culture of compliance is an important risk management
strategy. Corporate collapses have heavily focused on the need
for good corporate governance and an effective compliance
programme is an integral part of this structure. This intensive
course will provide a blueprint for you to follow to ensure that
the risk profile of your organisation is limited by a thorough
understanding of your regulatory environment.
Why Compliance Management?
In many financial markets, a formal compliance management
system is not only recommended, but required by the regulatory
community and by good corporate governance principles. Since
news of financial misreporting by firms like Enron, Worldcom,
Xerox and others the pressure on corporations to more
transparently manage their compliance exposures are mounting.
Course Timings: Registration will be at 07:30 on Day One. The course will commence promptly at 08:00 on each day and
conclude at 14:30. There will be breaks at approximately 10:30 and 12:30 and lunch will be served at the end of each day’s session.
Course Agenda
Introduction To Compliance
- What is corporate compliance?
- Who is responsible for managing it?
- What are the benefits of its introduction?
- Fostering a culture of accountability
Regulatory Drivers of Compliance
- US Sentencing Guidelines 1991
- The Committee of Sponsoring Organisations (COSO) Repot
1992
- The Sarbanes-Oxley Act 2002
- The Bribery Act, 2010 UK
Compliance And Business Ethics
- What is ethics?
- Ethics and corporate accountability: Sarbanes Oxley
- Benefits of a commitment to sound business ethics
- Corporate ethics guidelines
Compliance And The Role Of Corporate
Governance
- What is governance?
- The corporate constitution and governance structures
- Duties and responsibilities of directors
- Protection of stakeholder interests
Developing A Corporate Compliance Programme
- Code of conduct
- Policies and procedures
- Best practice principles
- Monitoring and auditing
Implementation Of Corporate Compliance
- Implementation requirements
- The location of the compliance function
- Optimal compliance architecture
- The compliance officer
- Integration or independence of the compliance function
Basel Accord And Compliance
- A global framework
- Basel accord and the role of the regulator
- The compliance expectations for financial institutions under
Basel accord
- Financial sector response to the Basel accord