WORKSHOPS

This workshop covers all major aspects of compliance and business ethics, addressing the challenges and reflecting the need for an effective compliance & business ethics framework. It also provides a broad understanding of compliance issues that arise and addresses the techniques and ethics used to implement a successful compliance function. The participants will be provided by practical tools to be proactive & mitigate related risks

Any Institution’s department, all employees levels ,Financial Institutions & non-financial institutions,  regulators, stock exchanges and depository centers, as well as brokers and other entities 

Certificate of participation issued by the UASA & SCA Professional Training & Examinations Centre.

15:00 - 16:20 Session 1

16:20 - 16:30 Break

16:30 - 17:50 Session 2

17:50 - 18:00 Break

18:00 - 19:00 Session 3

Code of Ethics / Code of Conduct & Principles 

Gifts & Human rights respect & Sustainability 

Ethics, the core part of CSR 

Diversity & Inclusion 

Entertainment & Promises 

Emotional manipulation & Confidentiality

Conflict of interest & Outside Business Activities 

Dress code and Health & Safety Ethics 

Ethics as a means to mitigate Bribery & Corruption

Anti-Trust & Competition laws 

Company assets protection

Ethics& social media 

Data protection & ethics 

Political activity Ethics  

Confidence &speak up 

Ethics Hotline mechanism

Reporting process & Whistle blowing 

Fundamentals of Internal Control Functions and means of coordination 

Successful Governance & Compliance Culture

Real-life examples (regional specific) & Overview of Compliance

Importance of compliance- cost, causes, and challenges  

International Initiatives & their impact - Dealing with regulatory requirements

Pillars of compliance & Compliance officer’s role

How can senior management assist in building the compliance culture 

Corporate governance role in setting compliance culture

Effective compliance culture elements & Best practices

Compliance monitoring plan & program

Compliance mitigation plan 

Enforcement & managing the relationship with the regulators