There have been dramatic changes to the Compliance and Regulatory environment over the past decade and multinational organizations face greater scrutiny and penalties than ever before. Compliance and Ethics Programs that are not robust and continually improving are considered inadequate by governing bodies. Building a robust global compliance program presents many challenges. A broad-based approach that includes a global risk assessment, strong tone at the top, buy-in from management and business units, cross-functional teams, and cultural awareness is key to success. Today organizations are expected to exhibit a commitment to ethics and show good corporate citizenship through policies and procedures that facilitate compliance with the laws and regulations that govern the industries and locations in which an organization does business.


This course teaches professionals the skills necessary to design, develop, implement, and manage a comprehensive day-to-day global compliance program—including regulatory requirements and best practices in compliance and ethics programs and practices. The course features best practices, relevant case studies, and participant exercises.  It is industry specific for regulatory requirements and will show how to avoid common pitfalls.


  • Understanding the FCPA and UK Bribery Act
  • Learning the 7 Elements of an Effective Compliance and Ethics Program from the Federal Sentencing Guidelines
  • Implementing effective multinational whistleblower hotlines
  • Understanding Tone at the Top and its effect on culture
  • Implementing an effective risk-assessment process
  • Understanding penalties for noncompliance, and whom to contact for help
  • Learning to identify a bribe and a facilitation payment
  • Understanding the risks of kickbacks and their implications
  • Learning to develop effective training and awareness programs



Introduction to Global Compliance and Ethics Programs

  • Why develop a global ethics and compliance program?
  • Formal definitions: bribery, facilitation payments, kickbacks, money laundering
  • Overview of FCPA and UK Bribery Act
  • Relevant related country-specific legislation—China, India, Brazil, Japan, etc.
  • Overview of penalties for noncompliance
  • Legal consequences of an inadequate compliance program
  • Recent enforcements trends for the FCPA and UK Bribery Act
  • Federal Sentencing Guidelines
  • Code of conduct

7 Elements of an Effective Ethics and Compliance Program (Federal Sentencing Guidelines)

  • Establishing policies, procedures, and controls
  • Exercising effective compliance and ethics oversight
  • Exercising due diligence to avoid delegation of authority to unethical individuals
  • Communicating and educating employees on compliance and ethics programs
  • Monitoring audit compliance and ethics programs for effectiveness
  • Ensuring consistent enforcement and discipline of violations
  • Responding appropriately to incidents and taking steps to prevent future incidents

Global Compliance and Ethics Areas of Concern

  • Fraud and Corruption Prevention and Awareness
  • Fraud Risk Assessments
  • Foreign Corrupt Practices Act (FCPA)
  • UK Bribery Act
  • Anti-Bribery and Anti-Corruption
  • Third-Party and Vendor Relationships
  • Anti-Money Laundering (AML)
  • False Claims Act
  • Know Your Customer (KYC)
  • Trade/Export Compliance
  • Code of ethics

Embedding the Program into an Organization’s Culture

  • Tone at the Top
  • Risk assessments
  • Policies and procedures
  • Involving HR, Finance, Operations
  • Global whistleblower hotlines
  • Ongoing training and annual affirmation

Best Practices

  • Cultural awareness and competence
  • Guidelines for working with third parties—contractors, vendors, joint ventures, agents
  • Benchmarking best business practices
  • Case studies of best-in-class companies
  • Case studies of organizations recovering from compliance failures, penalties, and sanctions

Identifying and Understanding Red Flags

  • Learning to identify a bribe and a facilitation payment
  • Understanding the risks of kickbacks and their implications
  • Understanding what constitutes acceptable gifts, hospitality, charitable giving/donations, special fees, and “consulting” fees

Challenges of a Global Compliance Program and Overcoming Them

  • Changing and emerging regulations
  • Penalties and legal precedence
  • Third parties
  • Geographic and cultural challenges
  • Developing consistent standards of behavior globally
  • Effective multinational whistleblowers hotlines

Managing the Program

  • Monitoring and auditing the program
  • Compliance, ethics, and anti-fraud training and awareness programs
  • Response plans
  • Ongoing risk assessments

Response Plans

  • Addressing compliance violations
  • Penalties for noncompliance
  • Whom to contact for help
  • Executive liability
  • Investigations





Who Should Attend





Advanced Preparation

3 Days



Regulatory Ethics (Technical)


Compliance Staff and Managers, Internal Audit Staff and Management; Fraud Investigators and Managers; Financial; Operational, Internal, IT, and External Auditors; Audit Managers; Risk and Compliance Managers and Officers; Information Security Professionals

Professionals with at least 2 years of experience