Event Details

Compliance Monitoring forms the final phase in the compliance risk management process. Monitoring closes the loop which completes the compliance cycle, it provides feedback on the effectiveness of the management of compliance risks and identifies areas of weakness that need to be improved or enhanced.

Compliance Monitoring

Compliance Monitoring forms the final phase in the compliance risk management process. Monitoring closes the loop which completes the compliance cycle, it provides feedback on the effectiveness of the management of compliance risks and identifies areas of weakness that need to be improved or enhanced. It is therefore highly recommended that individuals should have completed the Introduction to Compliance Management and the Compliance Risk Management Plan courses before registering for the Compliance Monitoring course.


Course content will cover the following:

• Compliance Monitoring fits in as an element of the compliance process, a brief explanation of the compliance process and the development of Compliance Risk Management Plans (CRMPs).

• An overview of compliance monitoring, the need and objectives as well as consequences of noncompliance.

• Explaining the risk‐based compliance monitoring approach with controls.

• Types of Compliance Monitoring

• Monitoring Tools

• The Compliance Monitoring process


Outline of the Compliance Monitoring course:

• The methodology for the monitoring of compliance by regulators

• The methodology for compliance monitoring by management

• The methodology for compliance monitoring by the compliance officer

• The starting point of compliance monitoring

• Independent monitoring

• Effectivenessreviews

• Materiality Sampling

• Statisticalsampling and non-statisticalsampling

• Working papers

• The compliance reports

• Recommendations that should be addressed in the compliance report

• The review process and the relevant role players

• Issues Log

• The review process to evaluate the implementation of the Compliance Risk Management Plans throughout your organisation


Course Outline: https://docs.mymembership.co.za/docmanager/52c7b7c8-d6fc-4150-8d1a-7b85c1f7012e/00159665.pdf 

Speakers

  • Daryl Glass (Duke Consulting)

    Daryl Glass

    Duke Consulting

    Daryl worked at the Liberty Group between 1992 and 2007 and served in various capacities including as Head of Forensic Services and Head of Group Compliance and Group Compliance Officer for all entities within the Group

    Since 2007, Daryl has run a business consultancy practice whose main focus is on Governance, Risk, Compliance and Forensic services. He has provided services to a broad range of South African and international clients within both the private and private sectors across various industries. Daryl’s focus is to equip and enable organisations, their governing bodies and management to efficiently and effectively manage all forms of risk and meet relevant leading practice requirements. He led the development of the Public Sector Compliance Framework as a consultant to National Treasury.

    Daryl participates extensively in the development and delivery of the core compliance training programmes of the Compliance Institute of Southern Africa and also previously served as a Director of the Institute between 1999 and 2006. Daryl has and does serve in various capacities on or as an advisor to the boards of several other organisations.

    Daryl is a Certified Compliance Professional and has a BCompt, MBA and Post-graduate diploma in Compliance Management.

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Documents

Compliance Monitoring Outline.pdfdownload

Tickets

Early Bird Member Rate

Early Bird Member Rate
*Closes 3 weeks prior to event date

Member Rate

Standard rate

Member Price R 4,830
Early Bird Non Member Rate

Early Bird Non Member Rate
Early bird rate expires 3 weeks prior to event date

Non Member Rate

Non Member rate

Standard Price R 5,313