Day 1: Introduction to Legal and Regulatory Compliance
Objectives:
- Introduce participants to the concept of legal and regulatory compliance and its importance.
- Review the different legal and regulatory frameworks that govern compliance.
- Understand the relationship between compliance and risk protection within organizations.
Topics:
- The Concept of Legal and Regulatory Compliance
- Definition and objectives of compliance.
- The difference between legal compliance and regulatory compliance.
- The importance of compliance in maintaining organizational reputation and sustainability.
- Legal and Regulatory Frameworks for Compliance
- Local and international legal frameworks (e.g., anti-corruption laws, data protection, environmental compliance).
- International standards governing compliance, such as ISO standards (e.g., ISO 19600).
- Risks Associated with Non-Compliance
- Legal and financial risks arising from non-compliance.
- Real-life examples of how non-compliance has affected organizations.
Day 2: Standards and Procedures for Effective Compliance
Objectives:
- Learn about international and local standards for ensuring compliance.
- Learn how to design and implement compliance procedures within an organization.
- Explore how to apply procedures to ensure adherence to laws and regulations.
Topics:
- International and Local Compliance Standards
- Explanation of compliance standards such as ISO 19600 (Compliance Management), ISO 37001 (Anti-Bribery Management Systems).
- Local standards and regulations related to compliance (based on local legislation).
- Designing and Implementing Compliance Procedures
- How to design an effective compliance plan.
- Audit and monitoring procedures for ensuring compliance.
- Training employees on compliance concepts and policies.
- Technologies in Compliance
- Using modern technologies, software, and tools for compliance monitoring.
Day 3: Compliance Evaluation and Managing Risks Associated with Non-Compliance
Objectives:
- Learn how to evaluate the effectiveness of compliance procedures within an organization.
- Review how to manage risks associated with non-compliance.
- Understand the role of internal control and auditing in ensuring continuous compliance.
Topics:
- Evaluating Compliance Effectiveness
- How to measure the effectiveness of compliance policies and procedures.
- Tools for evaluating compliance, such as internal audits and legal reviews.
- Managing Risks Associated with Non-Compliance
- Identifying potential risks associated with non-compliance.
- How to develop strategies to mitigate and protect against risks.
- Role of Internal Control and Auditing in Ensuring Compliance
- The importance of internal controls in ensuring adherence to legal and regulatory standards.
- The role of internal audits in detecting and reviewing compliance violations.