February 9 - 12, 2020
2020 Basic Compliance & Ethics Academy Dubai
Dubai, United Arab EmiratesProgramme
Sunday |
|
| Registration and Welcome Coffee (provided) | 8:30 – 9:00 |
| Welcome and Introduction | 9:00 – 9:15 |
| Introduction to Compliance This session provides a basic introduction to compliance and the compliance program. It covers the essential elements of a compliance program and reviews the organizational steps necessary to implement a successful compliance program. |
9:15 – 10:30 |
| Break | 10:30 – 10:45 |
| Organizational Ethics This course provides a basic introduction to compliance and compliance programs. It covers the seven essential elements of a compliance program and reviews the organizational steps necessary to implement a successful compliance program. The laws, rules, and regulations pertinent to compliance programs are introduced. Challenges confronting compliance officers are discussed |
10:45 – 12:30 |
| Lunch (provided) | 12:30 – 13:30 |
| Education and Training This session will cover the need for compliance and ethics training, the different types of training, targeted training, the dangers of ineffective training, and the use of data to help prove “effectiveness.” |
13:30 – 15:15 |
| Break | 15:15 – 15:30 |
| Compliance Infrastructure This course is designed to help compliance professionals understand the basic framework needed to establish a successful compliance program infrastructure. Program governance, selection of a qualified staff, management considerations, budgeting for compliance, and the overall structure of the office are discussed. Time is spent exploring the various compliance roles and positions needed and qualifications for each. The auditing role along with qualifications is also explored. A compliance professional should be able to use what is taught in this course to establish an adequate structure from the onset that will help to facilitate a successful and effective compliance program for the long-term. |
15:30 – 17:15 |
Monday |
|
| Welcome Coffee (provided) | 8:30 – 9:00 |
| Creating and Reviewing Compliance Policies and Procedures This course focuses on the importance of policies and procedures as the foundation for any strong ethics and compliance program. It covers the legal, cultural, and efficiency reasons for having policies and procedures. The main purpose of the course is to clearly define policies, procedures, and guidelines, their specific elements, and how to create effective policies and procedures. It covers an updated view of best practices on codes of conduct. Finally, it covers the ways to review and update policies and procedures. |
9:00 – 10:45 |
| Break | 10:45 – 11:00 |
| Compliance and Ethics Risk Assessment In this session, participants will learn what risk is and how it can be assessed, who should be involved in risk assessments, ways to identify risk areas, and what to do with the results of a risk assessment. |
11:00 – 12:45 |
| Lunch (provided) | 12:45 – 13:45 |
| Test Question and Answer | 13:45 – 14:00 |
| Discipline and Program Improvement This session focuses on two of the most important elements of a program. When a failure is detected, discipline demonstrates a culture in which enforcement of the standards of the organization is serious. Discipline not only affects the individuals involved but is a message to the overall culture. Program improvement is an analysis after every failure to see what can be done in various elements of the program to prevent the same failure in the future. The program is always a work in progress. |
14:00 – 15:15 |
| Break | 15:15 – 15:30 |
| Investigations This session is focused on the aspects of a compliance investigation. The session overviews the considerations for who should conduct such investigations based on the nature of the investigations as well as considerations for determining whether the investigations should be conducted under attorney-client privilege. The session also addresses considerations for what information to provide to the workforce during an investigation and how to report the investigation findings. The duties and obligations of the board of directors and key leaders in the organization are also addressed in this session. |
15:30– 17:15 |
| Networking Reception | 17:15– 18:15 |
Tuesday |
|
| Welcome Coffee (provided) | 8:30 – 9:00 |
| Auditing and Monitoring The goal for this session is to provide compliance professionals with a solid understanding of the role of auditing and monitoring in the compliance system. It begins with determining the role of auditing and monitoring in the organizational governance process – specifically what assurance the board and management need to meet their responsibilities. Next the session explores the relationship between monitoring activities and internal control. A practical process for developing effective monitoring plans and strategies is then presented along with attributes needed for these plans to provide assurance on the effectiveness of the compliance program. Finally, the session ends with a discussion of internal reporting systems as a key part of an organization’s monitoring activities. |
9:00 – 10:45 |
| Break | 10:45 – 11:00 |
| Privacy This session is an overview of key privacy laws and regulations that could impact a US or global organization. The privacy session provides a basic high level introduction to law and regulations in all segments of industry. It covers laws and regulations from both the private and governmental industry segments. Law and regulations for activities in the US, Europe, Asia, and other areas of the world are touched on in this session |
11:00 – 12:45 |
| Lunch (provided) | 12:45 – 13:45 |
| Obtaining Buy-in and Commitment Obtaining buy-in and commitment from leadership is still the number one obstacle to compliance. This session will focus on understanding management/leadership styles and developing methods to help in getting the buy-in that is needed for an effective compliance program |
13:45 – 15:00 |
| Break | 15:00 – 15:15 |
| E&C Programs: Effectiveness and Evaluation This session focuses on ethics and compliance program effectiveness and evaluation to include core components of program design, implementation, and management, among other key areas. Effectiveness considerations are explored to include strategies and approaches across program elements, organizational impact, global standards, stakeholder expectations, and best practices. The course will also consider methods, tools, and resources for evaluating effectiveness and suggested steps for managing program risks, reporting, and opportunities to take the ethics and compliance program to the next level. Overall, this course provides valuable insight and reinforcement of fundamental program requirements, needs, and objectives. |
15:15 – 17:00 |
Wedneday |
|
| Welcome Coffee (provided) | 8:00 – 8:30 |
| Using Incentives in the Compliance Program The incentives session will explain why it is so important to include incentives in the scope of a compliance program. The session reviews the different ways to do this, including personnel evaluations, rewards, and awards, and giving compliance a role in promotion decisions. The coverage also includes the importance of company incentive programs in general and why the compliance officer needs a seat at the table when any corporate incentive system is being developed. We ask the difficult question whether those who report fellow employees should get rewards for doing so. |
8:30 – 9:30 |
| Break | 9:30 – 9:45 |
| Conflicts of Interest Conflicts of interest are some of the most common and challenging issues for compliance and ethics programs. Employees are expected to act in the best interests of their organizations and exercise sound judgment unclouded by personal interest or divided loyalties, but that does not always occur. This session is designed to assist compliance professionals in understanding ethical and organizational risks that result from conflicts of interest and how they occur; gifts, gratuities, and kickbacks; policy development; disclosure programs; detection and auditing for compliance; training; case studies; and best practices. |
9:45 – 11:30 |
| Break | 11:30 – 11:45 |
| Anti-Corruption and Bribery This course explores the domestic and global administrative and law enforcement efforts surrounding anti-corruption enforcement principles and provides a practical (hands-on) approach for dealing with these and other organizational compliance and ethics risks. |
11:45 – 13:15 |
| Lunch (provided) | 13:15 – 14:15 |
| Exam Check-In Time | 14:15 – 14:45 |
| Exam Time – Certified Compliance & Ethics Professional-International (CCEP-I)® Exam (optional) The exam is optional. You must apply and be approved to sit for the CCEP-I exam by CCB, separately from your academy registration. |
14:45 – 18:15 |