Course Details

Mastering Compliance: Governance & Regulatory Frameworks (SOX, UK Corporate Governance Code) Training Course

INTRODUCTION

Navigating the complex landscape of corporate governance and regulatory frameworks is crucial for organizations seeking to maintain integrity and build stakeholder trust. This Governance & Regulatory Frameworks (SOX, UK Corporate Governance Code) Training Course equips participants with the knowledge and skills to understand and implement key regulatory requirements, ensuring compliance and enhancing organizational effectiveness. Participants will delve into the intricacies of frameworks like the Sarbanes-Oxley Act (SOX) and the UK Corporate Governance Code, learning to apply their principles to real-world scenarios. This program is designed to empower professionals to strengthen their organization's governance practices and mitigate regulatory risks.

This comprehensive program is tailored for compliance officers, legal counsel, internal auditors, risk managers, board members, and anyone responsible for ensuring regulatory compliance and effective governance within their organization. Through interactive workshops, case studies, and practical exercises, attendees will develop the ability to interpret regulatory requirements, implement internal controls, and ensure compliance with key frameworks. The course emphasizes the importance of aligning governance practices with regulatory expectations and fostering a culture of compliance.

DURATION

5 days

COURSE OBJECTIVES

Upon completion of this course, participants will be able to:

• Understand the key principles of major corporate governance and regulatory frameworks (e.g., SOX, UK Corporate Governance Code).
• Interpret and apply regulatory requirements to real-world scenarios.
• Implement effective internal controls and compliance programs.
• Understand the role of the board in overseeing regulatory compliance.
• Conduct risk assessments and develop mitigation strategies.
• Ensure compliance with financial reporting and disclosure requirements.
• Understand the legal and ethical implications of non-compliance.
• Navigate the evolving regulatory landscape and emerging trends.

COURSE MODULES

• Introduction to Corporate Governance Frameworks:
• Exploring the purpose and evolution of corporate governance frameworks.
• Understanding the differences between principles-based and rules-based frameworks.
• Examining the impact of regulatory frameworks on organizational behavior.
• The history of regulatory frameworks.
• The Sarbanes-Oxley Act (SOX):
• Understanding the key provisions of SOX (e.g., Sections 302, 404).
• Implementing internal controls over financial reporting (ICFR).
• Ensuring CEO and CFO certification of financial statements.
• Understanding the role of the Public Company Accounting Oversight Board (PCAOB).
• The UK Corporate Governance Code:
• Understanding the principles of the UK Corporate Governance Code.
• Implementing best practices for board effectiveness and composition.
• Ensuring effective risk management and internal controls.
• Understanding the role of shareholder engagement.
• Implementing Internal Controls and Compliance Programs:
• Developing and implementing effective internal control systems.
• Conducting risk assessments and identifying control weaknesses.
• Monitoring compliance with regulatory requirements.
• Understanding how to implement continuous monitoring.
• Board Oversight and Regulatory Compliance:
• Understanding the board's role in overseeing regulatory compliance.
• Establishing effective board committees (e.g., audit committee).
• Ensuring independent oversight and accountability.
• Understanding how to implement board evaluations.
• Financial Reporting and Disclosure Requirements:
• Understanding financial reporting and disclosure requirements under SOX and other regulations.
• Ensuring accurate and timely financial reporting.
• Managing regulatory reporting obligations.
• Understanding the importance of transparency.
• Legal and Ethical Implications of Non-Compliance:
• Understanding the legal liabilities and penalties associated with non-compliance.
• Addressing ethical dilemmas and conflicts of interest.
• Implementing whistleblower protection policies.
• Understanding the reputational impacts of non compliance.
• Evolving Regulatory Landscape and Emerging Trends:
• Exploring the impact of technology on regulatory compliance.
• Addressing cybersecurity and data privacy regulations.
• Navigating evolving international standards and regulations.
• Understanding the future of regulatory frameworks.

CERTIFICATION

• Upon successful completion of this training, participants will be issued with Macskills Training and Development Institute Certificate

TRAINING VENUE

• Training will be held at Macskills Training Centre. We also tailor make the training upon request at different locations across the world.

AIRPORT PICK UP AND ACCOMMODATION

• Airport pick up and accommodation is arranged upon request

TERMS OF PAYMENT

• Payment should be made to Macskills Development Institute bank account before the start of the training and receipts sent to info@macskillsdevelopment.com