Compliance Strategies for Enhancing Legal & Regulatory Proof

Course Overview "Compliance Strategies for Enhancing Legal and Regulatory Proof" is an extensive three-day course intended to take delegates through the compliance challenges that all companies face in undertaking business both domestically and internationally. One key challenge, for example, is that of managing effective relationships with regulators and this crucial area is, again, covered extensively in the course and is intended to help delegates consider - often for the first time - how relationships with regulators of all industries can be managed, developed and changed, using strategy and tactics, stakeholder management and techniques for fundamentally re-setting regulator relationships. The course is organised on a highly interactive basis, with plenty of opportunity for questions and discussion. Delegates: The course will be relevant to a wide range of delegates from differing backgrounds including legal, finance, general management, strategy, regulation and compliance; compliance delegates will range from Chief Compliance Officers through to more junior compliance officers. Delegate Materials: In addition to the core course materials, delegates will also receive related Whitepapers and published short articles produced by the Course Leader View our 60 Second Interview with the Course Director - Keith Read We took the opportunity to ask our expert Course Director a few questions on the current market challenges and how he became involved in this exciting industry. This is what he had to say. Summary of course content Understand compliance rules, principles and values Achieve ‘demonstrable compliance’ Recognize the ‘cost of compliance’ Achieve culture and behaviour change Methodology As with all Euromoney Training courses, this programme makes use of case-studies and exercises to ensure that you As part of the course, delegates will undertake a combination of case studies and group discussions/exercises. Delegates will also have the opportunity to apply the techniques and lessons learnt from the Case Studies to their own company, organisation, and role. Who should attend this training course? The course will be relevant to a wide range of delegates from differing backgrounds including: Legal Finance General management Strategy Regulation Compliance delegates will range from: Chief Compliance Officer through to more junior compliance officers
Registration commences at 8:30 Programme runs from 9:00 - 5:00 daily An introduction to compliance Legal and statutory requirements Regulation and regulators Compliance and corporate governance The compliance challenge Compliance training and communications strategy Ethics basics Why employees do the wrong thing Examples of compliance failure Achieving a culture of compliance The challenge of international compliance Why is compliance difficult? Day 2 Dealing with the Board Demonstrable compliance Can you prove compliance? The cost of compliance Managing compliance investigations Leading-edge compliance Data Privacy basics The Whistleblower challenges What keeps a compliance officer awake at night? Compliance risk management Group Exercise Enhancing your effectiveness as a compliance officer Developing your compliance strategy Regulator relationships What are the types of relationship, and their characteristics? How do the relationships develop? Board-level relationships Case Study 1 - Analysing a regulator relationship Re-setting the relationship Transparency Types of regulator Personal and professional relationships Communications with regulators Legal and statutory requirements Making relationship step-changes Day 3 How to disagree - positively Demonstrable independence Keeping promises Leading-edge relationship management techniques ‘Treat your regulators as you would treat your customers’ Involving the regulator When things go wrong Case Study 2 - Building a new regulatory relationship Goodwill - and building a reservoir Measuring your relationship Developing your relationship strategy