BUILDING AN EFFECTIVE COMPLIANCE FUNCTION WORKSHOP

Size: px
Start display at page:

Download "BUILDING AN EFFECTIVE COMPLIANCE FUNCTION WORKSHOP"

Transcription

1 BUILDING AN EFFECTIVE COMPLIANCE FUNCTION WORKSHOP CLASA will be hosting a one day workshop on the HOW of building an effective compliance function for your organization First, we will briefly review the reasons for compliance, considerations impacting placement of the compliance function and varying approaches to creating a program. Then we will discuss the critical importance of measuring your program s effectiveness, and explore some tools to measure effectiveness and to tailor that measurement process for particular companies and stages of compliance. On completion of this Workshop delegates will: Understand what compliance means to your organization; Understand why there is a need for a compliance function within your organization; Have a better understanding of what types of laws, rules, regulations and other provisions apply to your organisation; Know how to start constructing an effective compliance function within your organization; Know how to measure the effectiveness of the compliance function; Know how to conduct a 360 review of your current compliance function; Know which policies and procedures should be drafted and implemented to enhance and support your compliance function. COURSE INFO: When: Where: Time: 28 August 2014 Coastlands Umhlanga Hotel & 08:30 16:00 Convention Centre, Umhlanga, KZN Costs: CLASA Members: R4, (excl. VAT) Non CLASA members: R5, (excl. VAT) To book your place, please send your completed registration form to the CLASA offices by 14 August 2014 Enquiries: Ronel Lindeque (ext. 3) info@clasa.co.za

2 OUTLINE OF THE WORKSHOP MODULE 1: DEFINITION OF COMPLIANCE What is legal compliance? Compliance principles and approaches King III Governance and ethics re analysed What drives compliance? MODULE 2: THE COMPLIANCE PROGRAM STARTING POINTS Why do you need a compliance program? Where to begin Core requirements of any compliance program Three paths to compliance MODULE 3: RISK MANAGEMENT & COMPLIANCE MUST BE ALIGNED What is risk? Risk management principles, approaches and procedures Identification of risks the how to Risk assessments documented Identification and quantification of controls Assessing adequacy of such controls versus level of exposure Risk inventory MODULE 4: APPLICABLE LAWS How to ascertain what Laws apply to an organization Types of laws Conflict with other laws Awareness of what has to be compiled with and the required controls which have to be implemented within each business unit or area of operation MODULE 5: MOVING TOWARDS A RISK / COMPLIANCE INTEGRATED APPROACH Determining the business and other operational risks Setting up a risk matrix Aligning with the compliance matrix Correctly managing your legal exposure and risk MODULE 6: BUILDING BLOCKS OF A COMPLIANCE PROGRAM Compliance culture values versus rules based How to draft a compliance policy and related procedures Developing a Regulatory Universe & Compliance Framework Analysis of applicable laws Compliance Risk Management Plans (CRMP)

3 MODULE 7: IMPLEMENTATION OF COMPLIANCE PROGRAM Evaluating the program Implementation of the program Program impact Disciplinary rules and procedures when program not followed or laws not complied with Sentencing and consequences schedule and matrix MODULE 8: MEASURING COMPLIANCE AND THE EFFECTIVENESS OF YOUR COMPLIANCE PROGRAM How do you know and how do you measure? Compliance measurement tools Methodology Auditors and Audit team How to carry out a compliance audit How to manage compliance and interpret results of various compliance audits Reports and recommendations Taking head of results and implementing recommendations Closing out all findings Creating a structure improvement plan Ensuring the execution of regular compliance controls, audits and inspections Alignment of policies, procedures and laws Revision of compliance program WHO SHOULD ATTEND? Compliance Managers Legal Advisors Marketing Managers and Executives Product Development Managers Research and Development Managers Product and Brand Managers Advertising Managers and Executives Paralegals Lawyers Commercial Advisors About the presenter: This workshop will be presented by Alison Lee who is a partner at the law firm Lee Attorneys in Johannesburg. Alison also runs a legal compliance consultancy company which provides legal training and legal compliance software and customized compliance databases, under the name and style Lee s Compliance. Alison holds the position of Chief Executive Officer of the Corporate Lawyers of South Africa (CLASA) which association represents the common interests of all corporate legal advisors and corporate counsel in South Africa an appointment that was effective 1 October Prior to re entering the practicing legal profession, Alison worked as a legal advisor. She held the position as Legal Manager at BAT SA between the period and thereafter headed up the Legal Department at SAB Limited until August Alison completed her studies at the University of Natal (PMB) and articles at ER Browne Inc in Pietermaritzburg. Having worked in a commercial environment, Alison s expertise is broad and wide and covers a variety of legal topics including commercial and corporate law, in particular the law of contract, IP and advertising law, IT and electronic communication laws, risk management, corporate governance and in particular, legal compliance. Alison was an active member of the King III subcommittee who was responsible for the drafting of Chapter 6 (Compliance with laws) of the recently released King III Code of Corporate Governance.

4 REGISTRATION FORM BUILDING AN EFFECTIVE COMPLIANCE FUNCTION 28 August 2014: Umhlanga, KZN Please complete a separate registration form for each delegate Please complete the registration form as well as the terms and conditions in order for an invoice to be generated Are you a member of CLASA? YES NO Delegate s Details Title: First Name: Surname: Special Dietary Requirements: (if any) (please note that there is a surcharge of R per day in respect of Halaal and Kosher meals) Invoicing details Full Company Name: Company Postal Address: Company Telephone Number: VAT Registration Number: Order Number: Name of person authorizing attendance: Department: Name of person managing the payment process: Department:

5 CLASA WORKSHOPS TERMS & CONDITIONS: Registration can only be confirmed once CLASA is in receipt of a completed registration form. Confirmation of registration together with the invoice will be ed to each delegate. Should you not have received such confirmation within 2 days of sending your registration form, please contact the CLASA offices. The full fee is payable on presentation of the invoice. The signatories below confirm on behalf of the company that he/she will accept electronic invoices for the purpose of claiming input tax. CLASA reserves the right to refuse admission where evidence of full payment cannot be shown please fax or proof of payment to the CLASA offices as soon as payment has been made. The fee excludes VAT but includes all tuition, lunches, teaching equipment and course documentation. Delegates are responsible for reserving and paying for their own accommodation and transport costs. In the event of Cancellations: 50% will be refunded if written notice is received 14 days before the event; 25% refunded if written notice is received 7 days before the event. No refund will be paid for cancellations received in writing less than 7 days before the event. In the event of such a cancellation, you are entitled to send a substitute delegate. In this regard, contact CLASA with the changes within 2 days before the event. CLASA reserves the right to change any part of its published programme due to unforeseen circumstances or reasons beyond our control. CLASA assumes no liability for changes in the programme, date, content, speakers and venue. CLASA reserves the rights to cancel any event it deems necessary and will in such an event make a full refund of any registration fee. If for any reason CLASA decides to amend or cancel the event we are not responsible for covering airfares, hotels or other costs incurred by registrants. I / We have read, understand and agree to the terms and conditions: Person authorizing attendance: Signature: Date: Delegate Attending: Signature: Date: Send your registration form and duly signed Terms and Conditions to: The Corporate Lawyers Association of South Africa (CLASA) Fax: or e mail: admin@clasa.co.za Enquiries: Ronel Lindeque Tel: (011) (08:00 13:00) NO registration form will be accepted unless Terms and Conditions have been signed by the delegate and received by CLASA.