Introduction to Compliance

Catalog description

Focuses on the framework underlying the recent surge in compliance programs and an overview of the relationship between corporate governance, risk and compliance. Identify common features of a compliance program and examine specific regulations affecting corporate compliance, such as Sarbanes-Oxley, SEC investigations, anti-money laundering, data protection, consumer finance, anti-corruption laws (such as the Foreign Corrupt Practices Act) and health care. Discuss the role of a compliance officer and the coordination and integration of counsel and other experts, such as accountants. Exploration of ethical considerations of a compliance program, such as privilege and confidentiality and the role of legal counsel versus the compliance officer, and will emphasize building a culture of compliance in an organization.