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Course topic:
Format availability:
In-Person, Online streaming
Duration:
5 Days
Introduction to the course
In this Statutory, Legal and Compliance Requirements training course, we examine complexity of issues encountered compliance officers and managers which is a result of the regulatory regime and the increasingly dynamic nature of the business and the risk scenarios which arise as a consequence. We introduce, demonstrate and test best practice recommendations for the role of the Legal and Compliance Officer, and the ever increasing need within to comply with requisite statutory, regulation, and best practice and to ensure that their staff are appropriately trained.
This KC Academy training course is designed from legal compliance practitioner’s perspective and it provides a comprehensive overview of the regulatory environment, the role of compliance professionals, their functions and position within the regulatory regime and their relationship with the business and other stakeholders.
This Statutory, Legal and Compliance Requirements training course will highlight:
- The statutory and regulatory environment
- The role and powers of the authorities (from international perspective)
- The style and features of regulation
- The role and responsibilities of the compliance
- The issues to be considered in developing compliance policies and procedures
- A variety of core pieces of legislation which are relevant to the compliance function
- Best practice risk management techniques
- Key risk areas
Course details
This Statutory, Legal and Compliance Requirements training course will enhance your ability to identify and determine the statutory, legal and compliance requirements within your organisation. It will boost your skills in ensuring that work activities adhere and is compliant with legal frameworks, while seeking to provide an environment which minimises the risk to all who operate within it.
At the end of this Statutory, Legal and Compliance Requirements training course, you will learn to:
- The role and responsibilities of the compliance function, including the designated Compliance Officer roles, and the skills needed to successfully discharge these
- The issues to be considered in developing compliance policies and procedures
- A variety of core pieces of legislation which are relevant to the compliance function
- Key risk areas, including money laundering, cyber-crime, bribery and corruption, data protection loss and financial services regulation
- Best practice risk management techniques
In this Contracts Management training course, our expert presenter draws on practical experience and extensive discussion with compliance officers, policy makers, law officers, private sector contractors around the world. This Statutory, Legal and Compliance Requirements training course blends presentations with practical case studies and interactive exercises to ensure that participants have ample opportunity to discuss, challenge and understand the key principles in statutory, legal and compliance requirements
Success can be learned, and failures avoided, by examining others' experience. Throughout this Statutory, Legal and Compliance Requirements training course, we draw on practical examples of best practice and well-documented failures to maximize your team's chances of success. Through practical examples, open discussion and interactive exercises, your team can gain the skills and confidence to deal with statutory, legal and compliance requirements within your organisation.
Your team members will learn and have the opportunity to practice techniques for:
- Evaluating key elements of statutory, legal and compliance in the business
- Why risk management of legislative breach must be included in compliance framework
- Links between compliance, regulation and professional ethics
- Qualities required of compliance professionals
- Recent developments in legal and regulatory framework
This Statutory, Legal and Compliance Requirements training course is specifically designed for anyone in a compliance or risk management role in the business. Employees with management responsibility for compliance and any individual who wishes to learn fundamental compliance principles.
This KC Academy training course is suitable to a wide range of professionals but will greatly benefit:
- Compliance Officers and Employees
- Risk Managers
- Compliance Managers, Associates and Analysts
- Contract Executives and Managers
- Staff whose job role includes legal compliance responsibilities
Daily Agenda
DAY 1:
Understanding Risk, Statutory, Legal and Regulatory Compliance
- What is effective legal and regulatory compliance?
- Prudential Compliance
- What are the objectives of compliance?
- What is integrity in the eyes of the regulator?
- Managing Regulatory Compliance in a Dynamic Environment
Regulators and their Power
- The Role of the Regulator
- Regulatory Models
- Enforcement
- Regulatory Rules
- The Framework of a Regulator
- The Potential Liability of Regulators
DAY 2:
Understanding the Legal and Regulatory Environment
- The Need for, and objectives of Law and Regulation
- Sources of Law and Regulation
- Prevention of Money Laundering and Financial Crime
- Understanding Money Laundering Offences
- Designing an Effective Reporting System
- Terrorist Financing
- The USA PATRIOT Act and US Extraterritoriality
- Money Laundering and Tax Evasion
- Financial Crime
- Preventing Fraud
- Corruption
- Market Manipulation / Misleading Statements, Insider Dealing and Market Abuse
DAY 3:
Industry Knowledge and Awareness
- Codes of Corporate Governance
- Regulatory Principles
- Overview of Commercial Laws and Mechanisms Governing Legal Persons and Arrangements
- Regulators
- Products and Services
The Role of the Compliance Officer
- Compliance Structure
- The Role of the Compliance Officer
- Key Compliance Activities and Processes
- Risk-based Compliance Monitoring
- Investigating Compliance Breaches
- Training
DAY 4:
Compliance in Practice
- Compliance Governance
- Internal and External Relationships
- Links between Compliance, Culture and Ethics
- Specific Internal Compliance Control Issues
- Risk Management
Key Compliance Issues
- Practical Considerations
- Compliance Oversight and Internal Controls
DAY 5:
Legislation of Relevance to the Compliance Function: Risk Management
- Understanding where Disputes are most likely to Arise
- Understanding Regulatory Risk
- The Risk Management Process: What to remember when designing an effective risk management system?
- Opportunities and Threats from Risk Management Developments
- Dealing with Regulatory Issues and Enforcement
- Why risk management of legislative breach must be included in compliance framework?
- Key Risk Areas: Financial Crime and Money Laundering, Cyber-crime, Bribery and Corruption, Data Protection Loss
- Best Practice Risk Management Techniques
Frequently Asked Questions
There are no prerequisites. Our courses are open to students of all backgrounds who are 18 years of age and older. All courses are conducted in English. Video lectures include English subtitles and the option to slow-down, pause, or replay lectures for better retention. Discussion boards are a critical component of each of our courses; therefore, we suggest students have a conversational knowledge of English when pursuing a Certificate of Completion. For any of the art writing courses, students need to be 100% proficient in written English.
You should have an up-to-date web browser such as: Chrome, Safari, Firefox, or Internet Explorer. For more detailed information, please see the guides for supported browsers and basic computer specifications. Our Online Courses can be accessed on a mobile or tablet device, although we strongly encourage you to have access to a desktop or laptop computer and reliable internet connection for certain course components. Former students have told us it is easiest to read discussion threads and complete written assignments on a laptop or desktop computer.
Registration is available on our website. Just follow these simple steps: Click the “Apply Now” button in the top right corner of your screen. Select “Online Courses.” Choose your course(s). You will be asked for basic contact information and your credit card payment. We require full payment at the time of registration and all tuition is billed in US dollars. Be sure to check with your bank or credit card company, as your financial institution may charge a foreign transaction fee.
Our classes are kept small, at no more than 30 students, to better facilitate and encourage personalized interaction with the instructor and fellow participants. Your classmates come from all over the globe and contribute their global perspectives and experience. Some are currently working within the arts while others are just beginning. All classmates share in their passion for the art world.
It is recommended that you begin your course promptly. If you do need to start the course a few days late, contact your instructor as soon as possible after the course has opened to discuss your options. Registration closes on the Friday after the course begins.
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Course customization available
Course customization available
This training course is available to be conducted at your own pace & at your own time. Request for a quotation now and our training advisor will contact you shortly
