Event Details
This is a practical training session that will provide attendees with the knowledge to develop and implement an effective compliance policy and framework within their organisation. The training is set over 2 non-consecutive days.
The complete course will be facilitated over two (2) days (5 hours per day) allowing for ten (10) hours in total time. The training will be delivered in a webinar making use of informative slides while also allowing for facilitation and group discussion. Attendees will be provided with example templates of a compliance policy and framework that can be customised and adapted to their organisation's needs. The break between session 1 and 2 will be 4 weeks apart to allow for delegates: • 3 weeks to work on homework; and • 1 week for questions.
Who should attend:
This course will benefit compliance officers who either need to:
• Develop a compliance policy and framework for their organisation; or
• Review and/or update their organisation's existing compliance policy and framework; or
• Assess the appropriateness and effectiveness of their organisation's existing compliance policy and framework.
Investment:
Virtual
Member Early Bird rate: R 3,000 excl VAT / R3,450 incl VAT
Member Standard rate: R4,000 excl VAT / R4,600 incl VAT
Non-member Early Bird rate: R 3,300 excl VAT / R3,795 incl VAT
Non-member Standard rate: R4,400 excl VAT / R5,060 incl VAT
CPD: 10 hours
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
