Legal / Law Training Course on Regulatory Compliance & Risk Management

Module 1: Introduction to Regulatory Compliance and Risk Management

• The meaning and scope of regulatory compliance
• Overview of the compliance landscape in corporate and public sectors
• Relationship between corporate governance, compliance, and risk management
• Key principles of enterprise risk management (ERM)
• Regulatory bodies and oversight institutions (local and international)
• Compliance failures: Lessons from corporate scandals (e.g., Enron, Wells Fargo, Volkswagen)

Module 2: Legal and Regulatory Frameworks

• Key legal instruments regulating corporate conduct
• Company law, securities law, and competition law
• Anti-bribery and anti-corruption laws (FCPA, UK Bribery Act, UNCAC)
• Data protection and privacy laws (GDPR, national regulations)
• Environmental and labor compliance laws
• Role of regulatory agencies and enforcement authorities
• Understanding licensing, permits, and statutory obligations

Module 3: Corporate Governance and Compliance Structures

• Linking governance to compliance: Roles and responsibilities of boards and management
• Compliance officer and compliance committee functions
• Drafting governance policies and compliance manuals
• Integrating compliance into strategic and operational planning
• Reporting lines and accountability mechanisms
• Practical session: Developing a compliance governance structure

Module 4: Building and Implementing an Effective Compliance Program

• Elements of an effective compliance program (based on ISO 37301)
• Compliance risk assessment and prioritization
• Designing compliance controls, monitoring systems, and internal audits
• Compliance communication, training, and awareness
• Continuous improvement and review of compliance systems
• Case study: Building a compliance culture in a multinational organization

Module 5: Risk Identification and Assessment Techniques

• Understanding types of risks (strategic, financial, operational, compliance, reputational)
• Legal implications of unmanaged risks
• Risk identification tools and methodologies (SWOT, PESTLE, and risk mapping)
• Risk quantification and prioritization techniques
• Establishing a risk appetite and tolerance framework
• Practical workshop: Developing a corporate risk register

Module 6: Risk Mitigation, Control, and Monitoring

• Risk response strategies: avoidance, reduction, transfer, and acceptance
• Designing and implementing risk mitigation controls
• Developing key risk indicators (KRIs)
• Integrating risk management with compliance audits
• Monitoring and reporting mechanisms for risk performance
• Case study: Effective risk mitigation in the financial and oil sectors

Module 7: Ethics, Anti-Corruption, and Whistleblowing Frameworks

• Ethical decision-making and integrity frameworks
• Anti-bribery, anti-money laundering, and corruption compliance
• Conflicts of interest and transparency management
• Whistleblower protection laws and internal reporting channels
• Investigating ethical violations and misconduct
• Group exercise: Drafting an anti-corruption policy

Module 8: Regulatory Reporting, Investigations, and Enforcement

• Legal requirements for corporate disclosure and reporting
• Handling regulatory investigations, inspections, and audits
• Managing compliance breaches and enforcement actions
• Legal liabilities of directors and officers
• Negotiating settlements and remediation plans
• Practical session: Preparing a compliance incident report

Module 9: Emerging Trends in Regulatory Compliance and Risk Management

• ESG (Environmental, Social, and Governance) compliance requirements
• Cybersecurity, data privacy, and digital risk management
• Supply chain compliance and third-party risk oversight
• International sanctions, trade compliance, and cross-border regulations
• Artificial intelligence and legal automation in compliance monitoring
• Case study: Adapting compliance programs to evolving global standards

Module 10: Developing a Corporate Compliance and Risk Management Framework

• Integrating compliance and risk into business strategy
• Framework for compliance governance and reporting
• Building a compliance scorecard and maturity assessment model
• Organizational change management for compliance improvement
• Workshop: Designing a corporate compliance and risk management plan
• Group presentations and evaluation