Compliance - General concepts and Audit
General Objectives:
For some time now, Audits of organizations have greatly expanded the scope of their work and the complexity of their activities, and as a result they face an ever-changing and increasingly complicated regulatory environment. Added to this, recent cases of negative exposure of the image of companies generated by facts related to ethics, corruption, moral harassment, fraud, environmental impacts and other various Compliance failures lead regulators, investors and the general public to pay more attention than ever to corporate practices aimed at meeting regulatory issues.
The objective of this Course is to make participants aware that Compliance Failures can also result in litigation, financial fines, regulatory restrictions and reputational damage. For many organizations, outsourcing part or all of the Compliance function is the most effective way to achieve high performance in this area. Outsourcing all or part of the Compliance area allows for greater added value, cost reduction and reallocation of trained resources to strategic areas of the organization.
Specific Objectives:
At the end of this Course participants will know how to:
- Define and establish the need for a Compliance Department;
- Avoid personal responsibilities: duties and obligations of "high managerial agents";
- Define risk profiles among employees;
- Manage legal issues in compliance;
- Detect alarm and protection mechanisms;
- Establish the fundamental elements of a compliance program;
- Apply compliance standards to your business;
- Measure the efficiency of a compliance program;
- Systematize critical compliance indices;
- Incorporate compliance into operational procedures;
- Adapt the conduct of internal investigations;
- Perform program maintenance and improvement;
- Be able to deal with shareholders in case of internal investigation;
- Prevent money laundering through compliance;
- Assess the impact of the Board of Directors and the Chief Executive Officer on the compliance culture;
- Turn compliance into a competitive advantage.
CONTENTS
Module A – Concepts
- Module I - Fundamentals of Compliance
- Module II - Why a compliance department is needed
- Module III - What are the functions of the Compliance Department?
- Module IV - The Legal Framework of Compliance
- Module V - How to establish a Compliance Program
- Module VI - The Effectiveness of Compliance Programs
- Module VII - How to carry out Program Maintenance and Improvement
- Module VIII - Internal investigations
- Module IX - The Relationship of Ani-Fraunde Programs with Compliance Programs
- Module X - How can a Multinational implement an effective Compliance Program, worldwide, adapted to the specificities of each Country?
- Module XI - What is the Relationship of Boards of Directors with Compliance?
- Module XII - How to turn Compliance into a competitive advantage and how to deal with crises
- Module I - Why a Compliance Audit?
- Module II - Structure of a Compliance Audit
- Module III - What are the s for a Compliance Audit? What is the role of Internal Auditors in a Compliance Audit? Knowing the Auditee
- Module IV - Skills and Training of Internal Auditors
- Module V - Tools and Methodologies for a Compliance Audit
- Module VI - How to plan Compliance Audits
- Module VII - How to design a Compliance Audit Program
- Module VIII - How to write a Compliance Audit Report
Angola | Cabo- Verde | Moçambique | Portugal | S. Tomé e Princípe
