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The course is divided into two modules. The first module deals with what is meant by compliance, how risks are treated and how they can be mitigated. In addition, it deals with the recognition of compliance violations and, subsequently, with options for an adequate response.
In the second module, case studies are used to prepare for the practical application. In order to secure the highest practical value for the participants, a team of experts from various industries accompanies the course and works alongside the class to develop various solutions. Such, the participants do not only benefit from the many years of the experts experience, but also from the diversity of their professional background (e.g. government, business, university).
| 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 |
| 3 | 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 Compliance is the result of good leadership - Experience from the practice |
| 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 |
| 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. Role play training to promote a culture of compliance and integrity |
| 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 |
| 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 |
