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Regulatory Compliance – The Risk-Based Approach

$100.00 USD

Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the difference between companies that successfully navigate those risks, and those that become cautionary tales.

In this workshop, participants will be introduced to key concepts relating to an effective regulatory compliance program and strategies for assessing risks and managing the compliance function. You will also learn the fundamental principles of effective compliance and the components of an effective compliance program.





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Product Description

Upon completion of this course, participants should be able to:

  1. Explain what is meant by risk and compliance.
  2. Create a thorough risk profile for your organization.
  3. Tailor a comprehensive compliance program with features best suited to address your organization’s specific risk profile.
  4. Risk assessment process
  5. Examine the importance of compliance in supporting the financial, reputational, and functional aspects.
  6. Identify the fundamental components of a compliance program.
  7. Analyze the key roles and governance responsibilities of the Board of Directors, risk committees of the Board, executive and senior management.



General Risk Management & Compliance

Influence of Risk Assessment on Policies and Procedures

  • Basis for a risk based approach
  • Risk assessment process methodology
  • Organization’s risk profile

Building a Strong Compliance Culture

  • The Goal of Compliance Culture: Integrating Compliance Throughout the Organization
  • “Tone at the Top” to “Compliance at the Core”
  • Role of the 3 lines of defense
  • Developments in the Field of Compliance


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