Identifying Red Flags in Ethics and Compliance Program

  • Accountant
  • CPA (CA)
  • CFE
  • CMA
  • CPA (US)
  • CA - ICAEW
  • ACCA
  • MAFF
  • CA - Ireland
  • CA - Scotland
  • CPA - Ireland
  • CFIRS
  • CWS

Published: October, 2021

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  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description

Overview

  • Destroyed faith
    10 mins
  • Corporate Social Responsibility
    21 mins
  • The Fraud Triaangle
    39 mins
  • Ethics vs. Compliance
    76 mins
  • Human aspect of Ethical Dilemmas in the organizational context
    97 mins
  • Ethics
    110 mins
  • Ethics and Compliance: Role of executives
    126 mins
  • Testing of ongoing assessment
    156 mins
  • Anticorruption compliance
    166 mins
  • Ways that a company can establish and reinforce tone at the top
    195 mins
  • How to establish a robust ethics and compliance program
    222 mins
  • Red Flags for Corrupt business practices
    249 mins

Course Description

Ethics and compliances are what guide us, to tell the truth, keep our promises, or help someone in need. But it is not limited to these ideas. It provides clarity, transparency into action and results, a safe environment to operate in that is just impossible to get in its absence. Therefore we must understand the red flags that suggest when it is not being followed. 

It is observed that businesses are coming under increased scrutiny, both at home and abroad, to ensure that their domestic and foreign operations comply with anti-corruption and anti-bribery legislation. International trends towards tougher legislation and increased enforcement of anti-corruption laws internationally make non-compliance a real risk that companies must address as a business priority. There are significant financial, business, and reputational repercussions to not having an anti-corruption policy and effective compliance program in place. These could include criminal charges, hefty fines, and lost revenues. Corruption has widespread economic effects – such as the development and quality of infrastructure – and social effects – like the erosion of trust and threats to national security.

One of the most challenging aspects of anti-corruption compliance is ensuring that it is integrated into company operations and the overall business strategy. In the same way that security regulations are only effective if they are accepted, understood, and implemented by all, anti-corruption procedures require employees to accept and appreciate their effectiveness in order to ensure appropriate implementation.

Although talented people with the best intentions design anti-corruption compliance procedures, they are up against audacious individuals who can be very creative at bypassing predefined rules. It is, therefore, necessary to question our way of addressing the issue on a regular basis. Compliance must evolve constantly to adapt to the ever-changing methods used by criminals. Beyond the illegal exchange of money, corruption can include the agreement to exchange a bribe, hiding the information through bookkeeping, encouraging employees to seek out unethical agreements, or preventing them from going to the authorities.

A robust ethics and compliance program is much more than just policies and documentation. Ethics and compliance must be ingrained in the company culture and fostered throughout a company’s processes and interactions. On a positive note, a shift in the cultural acceptance for corporate corruption is occurring as awareness of the issue spreads globally and corporations embrace a more level playing field on which to do business. 

This Online Ethics CPE Webinar covers the following Key Topics:

  • Anti-bribery prohibitions.
  • What constitutes bribery and corruption? 
  • Consequences of corruption.
  • Anti-corruption training and certifications for employees.
  • Training Executives on Anti-Corruption Laws: Best Practices.
  • Ways that a company can establish and reinforce tone at the top.
  • How to Establish a Robust Ethics & Compliance Program.
  • How to integrate compliance and ethics in the organization's value.
  • Compare examples of what makes a compliance program effective.
  • Questions that need to be addressed and documented in order to have an effective and robust Ethics and Compliance Program in an organization.

This Online CPE webinar on Ethics outlines strategies for creating and maintaining a strong ethics and compliance program that will keep companies safe from corruption and associated risks. It is also a must for those in charge of internal control, risk management, or internal audit functions of the company.

If exploring the subject of fraud and internal controls interests you, you may be interested in Certified Fraud Analyst Course


Learning Objectives

  • To appraise the importance of training and follow-up.
  • To assess how to instill ethics from the top of the organization.
  • To compare examples of what makes a compliance program effective.
  • To integrate compliance and ethics in the organization's values.

Recommended For

  • This Online CPE webinar on Ethics is recommended for CPA (US), CPA (CA), CMA, CFE, Other Professionals, CEOs, CFOs, top management executives, and board members of a company who wants to ensure ethics and compliances in their respective departments and businesses.

Who Should Attend?

  • Accountant
  • Accounting Firm
  • Accounting Managers
  • Certified Management Accountant (CMA)
  • Certified Public Accountant (CPA)
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Entrepreneurial CPA
  • Senior Accountant
  • Staff of Accounting Firm
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 8 CPD Credit of Professional and ethical behavior for Chartered Professional Accountant (CPA Canada)
  • 8 CPE Credit of Ethics (Behavioral) for Certified Public Accountants (CPA-US)
  • 8 CPE Credit of Professional Ethics for Certified Management Accountants (CMA)
  • 8 CPE Credit of Ethics and Professional Conduct for Certified Fraud Examiner (CFE)
  • 8 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 8 CE Credit for Certified Wealth Strategist (CWS)
  • 8 General Credit for Accountant/Bookeeper
  • 8 CPD Credit for CA - ICAEW
  • 8 CPD Credit for Chartered Certified Accountants (ACCA)
  • 8 CPD Credit for Chartered Accountants - Ireland (CAI)
  • 8 CPD Credit for CPA - Ireland
  • 8 CPD Credit for Chartered Accountants - Scotland
  • 8 CPE Credit for Master Analyst In Financial Forensics (MAFF)

Additional details

  • Course Level :
    Basic
  • Credits :
    8
  • Instructional Method :
    QAS Self Study
  • Pre-requisites :
    None
  • Advance Preparation :
    None

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MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

Presenter

About Presenter

MARC TASSE

President, EGREGIA STRATEGIC CONSULTING GROUP INC.

Mr. Tassé is a globally recognized expert on corporate misconduct, crisis response, and ethical leadership, who has extensive experience as an independent special advisor to various board chairs and CEOs of corporations and organizations, federal and provincial departments, agencies as well as crown corporations, on "high profile and sensitive cases” related to alleged corruption, fraud, money laundering, financial misconduct, conflict of interest, and breach of fiduciary duty.

As an investigative and forensic accountant, Mr. Tassé has experience in matters involving misappropriation of funds, fraudulent financial transactions, and tracing and recovery of stolen funds.

Mr. Tassé helps clients to manage legal, reputational and operational risks and to achieve best standards both nationally and internationally. He advises Canadian and international corporations and organizations on compliance with anti-corruption legislation and policies in force at the municipal, provincial, federal and international levels.

Mr. Tassé examines domestic and transnational financial crime from different angles and explores what motivates people to break the law, how wrongdoers cover their tracks, what can be done to put a stop to the looting, and the importance of Artificial Intelligence, Data Analytics and Machine Learning for fraud/corruption prevention and detection

Faq

FAQs content

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Ratings and Review

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SP

Steven Proctor, CFE

Mar 20th, 2022

questions were very poorly written with many grammatical errors.

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