June 8 - 11, 2021
Compliance & Ethics Essentials Workshop
Virtual , Singapore Time (SGT)Agenda
This virtual conference takes place in Singapore Time (SGT)
TUESDAY / DAY ONE
| Welcome and Introduction | 8:55 – 9:00 SGT |
| Intro and Background to C&E Programs • History and evolution of compliance and ethics programs • Introduction to the required elements of a compliance and ethics program • Expectations of enforcement and regulators |
9:00 – 10:15 SGT |
| Conference Break | 10:15 – 10:30 SGT |
| Governance, Oversight, Authority • Compliance responsibilities at each level of an organization • Positioning and structure of the compliance function • Relationship with the board of directors |
10:30 – 12:00 SGT |
| Mid-Conference Break | 12:00 – 12:45 SGT |
| Standards and Procedures • Understanding the importance of written standards including policies, procedures, and the code of conduct • Form, function, and maintenance of written standards of conduct to support the compliance program • Types and purposes of written standards and procedures |
12:45 – 14:15 SGT |
WEDNESDAY / DAY TWO
| Communication and Training • Risk-based identification of training needs • Development and delivery of compliance training • Compliance and ethics-related communications |
9:00 – 10:15 SGT |
| Conference Break | 10:15 – 10:30 SGT |
| Risk Assessment: Part 1 • Performing compliance risk assessments • Risk criteria to consider • Design and implementation of risk responses |
10:30 – 11:30 SGT |
| Mid-Conference Break | 11:30 – 11:45 SGT |
| Risk Assessment: Part 2 • Performing compliance risk assessments • Risk criteria to consider • Design and implementation of risk responses |
11:45 – 12:30 SGT |
| Conference Break | 12:30 – 13:15 SGT |
| Due Diligence in Delegation of Authority • Identifying who has important compliance responsibilities • Issues with employee background checks • Due diligence for vendors and other third parties |
13:15 – 14:30 SGT |
THURSDAY / DAY THREE
| Optional Networking Hour Use this hour to interact and engage with fellow attendees and instructors. Recap the last two days, ask questions, and make connections. |
8:00 – 9:00 SGT |
| Investigations • Key steps in performing compliance investigations • Conducting effective interviews and gathering evidence • Concluding and reporting on investigations |
9:00 – 10:15 SGT |
| Conference Break | 10:15 – 10:30 SGT |
| Monitoring, Auditing, and Reporting Systems: Part 1 • Understanding the essential aspects of auditing and monitoring • Developing the compliance auditing and monitoring plan • Techniques and approaches to auditing and monitoring |
10:30 – 11:30 SGT |
| Mid-Conference Break | 11:30 – 12:15 SGT |
| Monitoring, Auditing, and Reporting Systems: Part 2 • Understanding the essential aspects of auditing and monitoring • Developing the compliance auditing and monitoring plan • Techniques and approaches to auditing and monitoring |
12:15 – 13:15 SGT |
| Conference Break | 13:15 – 13:30 SGT |
| Incentives and Enforcement • Active promotion of the compliance and ethics program • Use of incentives to encourage compliance • Discipline for identified wrongdoing |
13:30 – 14:45 SGT |
FRIDAY / DAY FOUR
| Response to Wrongdoing • Actions to take when wrongdoing is discovered • Performing root cause analysis • Designing and implementing remediation actions |
9:00 – 10:15 SGT |
| Conference Break | 10:15 – 10:30 SGT |
| Hot/Common Compliance Issues • Overview of FCPA, UK Bribery, and other anticorruption laws • Privacy and data security issues, including cybersecurity • Conflicts of interest |
10:30 – 11:30 SGT |
| Mid-Conference Break | 11:30 – 11:45 SGT |
| Program Improvement • Methods of assessing performance of the compliance and ethics program • Focus on continuous improvement of the program • Internal vs. third party assessments |
11:45 – 12:30 SGT |
| Conference Break | 12:30 – 13:15 SGT |
| What is Next for Me and My Program? • Key skills necessary for compliance professionals • Taking action to have a successful career in compliance • Applying what you have learned to your compliance program |
13:15 – 14:30 SGT |
All sessions for the Compliance & Ethics Essentials Workshop are Basic knowledge level:
Basic Program knowledge level is most beneficial to Compliance Professionals new to a skill or an attribute. These individuals are often at the staff or entry level in organizations, although such programs may also benefit a seasoned professional with limited exposure to the area.