Navigation auf uzh.ch
Der Kurs ist in zwei Module unterteilt. Im ersten Modul geht es darum, was unter Compliance zu verstehen ist, wie mit Risiken umgegangen wird und wie sie gemindert werden können. Des Weiteren geht es um die Erkennung von Compliance-Verletzungen und nachfolgend um Optionen für eine angemessene Reaktion.
Im zweiten Modul wird die praktische Anwendung anhand von Fallstudien vorbereitet. Um den grösstmöglichen Praxisnutzen für die Teilnehmenden sicherzustellen, begleitet ein Team von Experten aus verschiedenen Branchen den Kurs und erarbeitet gemeinsam mit dem Kurs verschiedene Lösungen. Dabei profitieren die Teilnehmenden nicht nur von der langjährigen Erfahrung der Experten, sondern auch von der Vielfalt ihres beruflichen Hintergrunds (z.B. Regierung, Wirtschaft, Universität).
Session | Date | Time | Topic |
---|---|---|---|
MODUL 1: COMPLIANCE SETUP | |||
1 | Fr, 19.01.2024 | 13.30–17.00 |
Introduction Core Concepts: Context and function, purpose, interdisciplinary, cross-border dimension |
Part I: Define / Establish Compliance | |||
2 | Sa, 20.01.2024 |
08.30–12.00 |
Strategic Requirements I: Corporate governance – management responsibility and strategical topic Embedding of compliance in company / corporate group, Compliance as a part of the business process, Compliance and risk management |
3a | Fr, 26.01.2024 | 13.30–17.00 |
Strategic Requirements II: Tone at the top – establishment of a compliance and ethical culture as the core element, compliance and sustainability, code of conduct |
4 | Sa, 27.01.2024 | 08.30–12.00 | Risk Management I: Operational and financial legal risk management, risk based approach, compliance approaches, compliance radar, Introduction into risk identification & assessment, risk mitigation measures |
5 | Fr, 02.02.2024 | 13.30–17.00 | Risk Management II: Example from industrial and financial sectors, analysis of existing compliance risk management models in different business sectors and in different geographical areas |
6 | Sa, 03.02.2024 | 08.30–12.00 | Workshop: Risk Management in different Sectors |
7 | Fr, 09.02.2024 | 13.30–17.00 | Policies and Organization: compliance policies, compliance as part of the Internal Control System, organization and human resources ect. |
8 | Sa, 10.02.2024 | 08.30–12.00 | Workshop: Policies and Organization in different Sectors |
3b | Sa, 16.02.2024 | 14.00-16.00 | Compliance is the result of good leadership - Experience from the practice |
Part II: Prevent / Promote | |||
9 | Fr, 23.02.2024 | 13.30–17.00 | Prevention and Promotion: Communication, trainings, consultation, responsible leadership in compliance implementation etc |
10 | Sa, 24.02.2024 | 08.30–12.00 | Compliance, Information & Technology: Compliance Operating Models and RegTech, Instant Payments, Green FinTechs, Metaverse and Extended Reality, Outlook: AI and ChatGPT |
11 | Fr, 01.03.2024 | 13.30–17.00 | Psychology and Compliance: Soft skills of the compliance officer to promote a culture of compliance and integrity enhanced through forensic interviewing technique. |
Part III: Detect | |||
12 | Sa, 02.03.2024 | 08.30–12.00 | Controlling: monitoring, case studies |
13 | Fr, 08.03.2024 | 13.30–17.00 | Compliance lapses / Reporting, Documentation, Whistleblowing: best practices and implementation generally, internal and external whistleblowing, legal protection |
14 | Sa, 09.03.2024 | 08.30–12.00 | Compliance lapses / Auditing: auditing, perspective of the internal audit, perspective of the external auditors, case studies |
Part IV: Respond / Remediate | |||
15 | Fr, 15.03.2024 | 13.30–17.00 | Investigations I: Internal investigations / Case management |
16 | Sa, 16.03.2024 | 08.30–12.00 | Investigations II: Dawn raids / Investigations by authorities |
17 | Fr, 22.03.2024 | 13.30–17.00 | Remediation: Program improvement, hallmarks of an effective compliance program, innovation in communication and learning |
MODULE 2: IMPLEMENTATION - WORKSHOPS ON CORE COMPLIANCE AREAS | |||
18 | Fr, 05.04.2024 | 13.30–17.00 | Workshop: Management Responsibility and Liability: Corporate Governance requirements, management (civil and criminal) liability, international dimensions |
19 | Sa, 06.04.2024 | 08.30–12.00 | Workshop: Insurance |
20 | Fr, 12.04.2024 | 13.30–17.00 | Workshop: Competition Law |
21 | Sa, 13.04.2024 | 08.30–12.00 | Workshop: Anticorruption/Antifraud: Anticorruption laws, Antifraud laws and laws on other offences against property, Laws on criminal insolvency |
22 | Fr, 19.04.2024 | 13.30–17.00 | Workshop: Capital Markets Law: Insider trading, market manipulation: Prevention and enforcement |
23 | Sa, 20.04.2024 | 08.30–12.00 | Compliance Organization in a global Group: Challenges in global implementation, digital compliance, compliance and human rights |
24 | Fr, 24.05.2024 | 13.30–17.00 | Workshop: Labor and Environment: Labor laws, environmental laws |
25 | Sa, 25.05.2023 | 08.30–12.00 | Workshop: Financial Services Regulation: Introduction to the conduct rules of MiFID II and FinSA (FIDLEG) |
26 | Fr, 31.05.2024 | 13.30–17.00 | Workshop: Anti Money Laundering |
27 | Sa, 01.06.2024 | 08.30–12.00 | Workshop: Health, Safety, Consumer Protection: Health, Safety Law, product liability, other consumer protection laws, compliance for therapeutic products and other pharma specific matters |
28 | Fr, 07.06.2024 | 13.30–17.00 | Workshop: Export Controls and International Sanctions Compliance |
29 | Sa, 08.06.2024 | 08.30–12.00 | Workshop: Data and Know-how Protection |
30 | Fr, 14.06.2024 | 13.30–17.00 | Outlook and Summary |