Programme

Monday, February 11

  • -
    Compliance Infrastructure This course is designed to help compliance professionals understand the basic framework needed to establish a successful compliance program infrastructure. Program governance, selection of a qualified staff, management considerations, budgeting for compliance and the overall structure of the office are discussed. Time is spent exploring the various compliance roles and positions needed and qualifications for each. The auditing role along with qualifications is also explored. A compliance professional should be able to use what is taught in this course to establish an adequate structure from the onset that will help to facilitate a successful and effective compliance program for the long-term
  • 09:15 AM - 10:45 AM
    Introduction to Compliance This session provides a basic introduction to compliance and the compliance program. It covers the essential elements of a compliance program and reviews the organizational steps necessary to implement a successful compliance program.
  • 10:45 AM - 12:30 PM
    Organizational Ethics This course provides a basic introduction to compliance and compliance programs. It covers the seven essential elements of a compliance program and reviews the organizational steps necessary to implement a successful compliance program. The laws, rules and regulations pertinent to compliance programs are introduced. Challenges confronting compliance officers are discussed.
  • 01:30 PM - 02:30 PM
    Education & Training This session will cover the need for compliance and ethics training, the different types of training, targeted training, the dangers of ineffective training and the use of data to help prove "effectiveness."

Tuesday, February 12

  • 09:00 AM - 10:45 AM
    Creating & Reviewing Compliance Policies & Procedures This course focuses on the importance of policies and procedures as the foundation for any strong ethics and compliance program. It covers the legal, cultural, and efficiency reasons for having policies and procedures. The main purpose of the course is to clearly define policies, procedures, and guidelines; their specific elements, and how to create effective policies and procedures. It covers an updated view of best practices on codes of conduct. Finally, it covers the ways to review and update policies and procedures.
  • 01:45 PM - 02:00 PM
    Test Question & Answer
  • 02:00 PM - 03:15 PM
    Discipline & Program Improvement This session focuses on two of the most important elements of a program. When a failure is detected, discipline demonstrates a culture in which enforcement of the standards of the organization is serious. Discipline not only affects the individuals involved but is a message to the overall culture. Program improvement is an analysis after every failure to see what can be done in various elements of the program to prevent the same failure in the future. The program is always a work in progress.

Saturday, February 16

  • 11:00 AM - 12:45 PM
    Compliance & Ethics Risk Assessment In this session, participants will learn what risk is and how it can be assessed, who should be involved in risk assessments, ways to identify risk areas and what to do with the results of a risk assessment.

Programme subject to change.

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