Effective Compliance – The Management of Legal and Regulatory Risk
Course
In City of London
Description
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Type
Workshop
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Location
City of london
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Class hours
6h
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Duration
1 Day
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Start date
Different dates available
Failure to comply with relevant laws and regulations can severely damage an organisation’s profits and, perhaps more importantly, its reputation. Effective compliance is essential for an organisation to succeed in the long term. This practical, interactive course provides an overview of requirements examining the twin-track nature of compliance. First, the external component – the necessity of complying with applicable laws and regulations and secondly, the internal component – the need for all employees to comply with internal policies, procedures and controls.
Facilities
Location
Start date
Start date
About this course
Compliance Officers, together with those aspiring to the role; risk officers and risk management professionals; internal auditors; directors with responsibility for compliance; managers in both the private and public sector with responsibility for managing legal and regulatory risk; all staff with compliance responsibilities.
Reviews
Subjects
- Organisational Change
- Risk Assessment
- Risk
- Compliance
- Ethics
- Fraud Prevention
- IT risk
- Compliance Management
- Regulations
- Legal profession
Teachers and trainers (1)
Steve Giles
Teacher
Steve qualified with Deloitte & Touche in 1983. From 1990 he specialised in special projects & forensics (including headline cases such as Polly Peck & BCCI), working on a variety of governance, risk management, fraud assignments both in the UK and abroad. Steve left Deloittes in 1997 and since then has built up a track record of success on an independent basis in helping executives, through risk-based techniques, to find solutions to a variety of unusual business problems.
Course programme
- Twin-track compliance requirements: external and internal
- The role and key qualities of the Compliance Officer
- The responsibility framework and linkage between risk and controls
- Essential compliance controls and managing the key areas of risk
- Interaction with the regulators – examples of what can happen if things go wrong
- Compliance in action – focus session on anti-fraud and corruption
- Why do controls break down?
- Ethics, integrity and organisational culture
- Developing and maintaining a compliance culture
- Learning the lessons – examples of compliance failures
Effective Compliance – The Management of Legal and Regulatory Risk