The course provides the conceptual framework of important considerations for establishing and maintaining a Code of Conduct and how it compliments and reinforces an organizations Compliance Program. The essential elements of a Compliance Program are reviewed along with real-life scenarios
At the conclusion of the session, the participant should have a basic understanding of:
- The importance of reinforcing an organizations Code of Conduct through leadership commitment, policies and procedures, and well-defined guidelines for non-compliance.
- The types of policies and procedures that are essential for a Compliance Program.
- The role and responsibilities of a Compliance Officer and Compliance Committee.
- How monitoring and audit should be implemented and managed, including establishing processes to properly manage non-compliance.