Certificate in Corporate Compliance

This content is locked!

Certificate in Corporate Compliance

It looks like you don't currently have an active subscription. Accessing this content requires an active subscription. Click on the button below to upgrade your account and unlock this content.

Upgrade & Unlock

Course curriculum

1. Disclaimer
2. Welcome Message
3. Introduction to this Course
1. 🗣️ Instructor-Led Course Live Tutoring
1. Download — Audio Book
2. Download — Study Guide
3. Download — Course Slides
4. Download — Supplementary Resources
1. Introduction to this Module
2. Defining Compliance
3. Making Rules "Stick"
4. Knowing the Rules
5. Case Study: Enron's Systemic Compliance Failures
6. Module Summary
7. Multiple Choice Quiz
1. Introduction to this Module
2. Obligations are Numerous, Pervasive, and Varied
3. The Demands of a Settlement Agreement
4. The Board of Directors Has a Fiduciary Duty
5. Avoiding Reputational Harm
6. The Indispensable and Positive Value of Compliance
7. Module Summary
8. Multiple Choice Quiz
1. Introduction to this Module
2. Compliance & Risk Management
3. Risk Analysis
4. Risk Tolerance
5. Outsourcing Risk & Compliance
6. Insurance as Another Vehicle to Manage Risk
7. Module Summary
8. Multiple Choice Quiz
1. Introduction to this Module
2. Board Oversight and its Roles
3. Board-Level Corporate Compliance Sub-Committee
4. Management Level Corporate Compliance Committee or MCCC
5. Three Lines of Defence or TLOD Model
6. Corporate Compliance Functions
7. Role of the Compliance Officer
8. Module Summary
9. Multiple Choice Quiz
1. Introduction to this Module
2. Culture of Compliance
3. Compliance Objectives
4. Compliance Risks
5. Compliance Program
6. Compliance Organization
7. Compliance Communication
8. Compliance Monitoring & Continuous Improvement
9. Module Summary
10. Multiple Choice Quiz
1. Introduction to this Module
2. The Code of Conduct
3. Reporting Lines
4. Policies, Procedures, and Standards
5. Training
6. Information Flows
7. Compliance & Branding
8. Communications with Business Partners
9. Monitoring & Screening
10. Module Summary
11. Multiple Choice Quiz
1. Introduction to this Module
2. What is Non-Compliance?
3. Key Principles when Dealing with Non-Compliance
4. Senior Response Team
5. Reporting and Other Communication
6. Enforcing Discipline
7. Lessons Learned and Root Cause Analysis
8. Module Summary
9. Multiple Choice Quiz
1. How to take the Assessment
2. Assessment Policy
3. Final Assessment
1. Course Summary
2. Course Evaluation and Feedback

About this course

75 lessons
4.5 hours of video content

Certificate in Corporate Compliance

Course curriculum

Introduction

Tutored Learning

Resources

Module 1: Corporate Compliance Foundation

Module 2: Importance of Corporate Compliance

Module 3: Interaction Between Compliance and Risk Management

Module 4: Compliance Governance Structures and Key Functions

Module 5: Holistic Compliance Management System

Module 6: Key Elements of Compliance Management

Module 7: Dealing With Non-Compliance

Final Assessment

Completing this Course

About this course