Compliance and Culture
The course will study the best practices in the compliance industry and lessons learned from corporate scandals. The faculty will share examples how to deal with "compliance issues" across multiple industries. The course will be organized as a series of hypotheticals presented to the students who will work through issue spotting regulatory and compliance concerns, developing an audit plan for the issues, protocols, identifying needed policies and procedures, and establishing corrective actions for remediation.
Outcomes: Understanding of the Federal Sentencing Guidelines and their application to the development of appropriate corporate compliance programs; Recognition of the importance of a company's culture and the relationship between corporate culture and an effective compliance program; Understanding of basic corporate laws and ability to identify possible violations of those laws; Development of appropriate compliance plans and actions to address the improvement of a company's culture; Recognition of and understanding of lessons learned from the major corporate scandals, attendant investigations and corrective actions taken studied in the class; Recognize the concept of institutional fairness and understand and apply ethics as a foundation to a successful corporate compliance program.
Outcomes: Understanding of the Federal Sentencing Guidelines and their application to the development of appropriate corporate compliance programs; Recognition of the importance of a company's culture and the relationship between corporate culture and an effective compliance program; Understanding of basic corporate laws and ability to identify possible violations of those laws; Development of appropriate compliance plans and actions to address the improvement of a company's culture; Recognition of and understanding of lessons learned from the major corporate scandals, attendant investigations and corrective actions taken studied in the class; Recognize the concept of institutional fairness and understand and apply ethics as a foundation to a successful corporate compliance program.