Compliance Basics
Global Codes of Conduct:
Compare and contrast various codes of conducts; look up global standards for the industries, as well as local laws and regulations. Look at Corporate Social Responsibility considerations and ethical considerations included in the Code of Conduct.
Risk Assessment:
Learn how to conduct a basic risk assessment, including inventory of documents, interview questions, heat maps and dashboards.
Create Teams to look at various companies: Morgan Stanley (JP Morgan); Citibank (Bank of America); Pfizer (GlaxoSmithKline). |
Chapter 1- Corporate Legal Departments: Current Status, Corporate Legal Departments, 4th ed. Basri and Kagan, PLI
Compliance Basics Power Point Presentation |
Look at Codes of Conduct for your assigned company and its assigned market competitor. |
Compliance Training: Learn the types of compliance training available; the dos and don’ts of “effective” compliance trainings; and review a training program for antitrust issues.
Auditing, Monitoring and Reporting: Learn the key to state of the art “effective” compliance programs- auditing, monitoring and reporting. |
Chapter 11: Corporate Compliance Programs, Corporate Legal Departments, 4th ed. Basri and Kagan, PLI |
Create a list of the 5 highest priority risks in the Code of Conduct for your assigned company, and create a list of the 5 highest risks for your assigned market competitor. |
Review the Critical Steps for an Effective Compliance Program: Learn the critical steps involved in a compliance program including written policies, procedures and internal controls; alignment; setting up the compliance department; background checks; discipline and incentives; and updating the compliance program. |
Chapter 16: Corporate Governance, Corporate Legal Departments, 4th ed. Basri and Kagan, PLI
In Re Caremark, Delaware Chancellery Court 1996. |
Create a risk assessment for your assigned company concerning an overall compliance program, including inventory of documents, interview questions, heat maps and dashboards |
Risk Assessment by Risk Area:
Hot topics include FCPA and Corruption, Antitrust/Competition, Intellectual Property, Environmental, Employment, Document Management, Financial Services (Banking, Hedge Funds and Private Equity Funds), and Pharmaceutical.
Review of the anti-bribery statutes, including FCPA, UK Bribery Act and the OECD Anti-Bribery Conventions.
The FCPA will be used as case study for issue spotting. |
Appendix 6- FCPA 4th ed. Basri and Kagan, PLI
FCPA Power Point Presentation.
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