Designing effective compliance programs is an important corporate concern for two reasons. First, public harm and corporate injuries potentially resulting from corporate offenses and deviations from company values justify careful management of offense and misconduct risks. Second, under a number of recently developed legal standards -- most notably the Federal Sentencing Guidelines for Organizations, firms with generally effective compliance programs can often significantly reduce or eliminate penalties for offenses that occur despite these programs.
This webinar will provide a compliance toolkit that can be immediately implemented in your company.
Why Should you Attend:
To gain an understanding of the compliance programs that can impact your company and industry.
To identify the business processes that are the most vulnerable to the risk of non-compliance.
To determine how you can implement compliance requirements into your business processes.
To learn about what can happen if compliance requirements are ignored.
Objectives of the Presentation:
Compliance Program Basics
Compliance Program Details and What They Mean to You
Standards for Attestation Engagements (SSAE-16)
The Sarbanes Oxley Act of 2002
U.S. Sentencing Guidelines
Foreign Corrupt Practices Act (FCPA)
The Foreign Account Tax Compliance Act (FATCA)
The JOBS Act
Office of Foreign Asset Control (OFAC)
Bureau of Industry and Security (BIS)
Excluded Parties List System (EPLS)
Foreign Terrorist Organization (FTO)
The Fair and Accurate Credit Transactions Act (FACTA)
Financial Crimes Enforcement Network (FinCEN)
The Federal Financial Institutions Examination Council (FFIEC)
Bank Secrecy Act (BSA)
U.S. Patriot Act and Consumer Identification Program (CIP)
Office of Inspector General (OIG)
Health and Insurance Portability and Accountability Act (HIPAA)
Accountable T&E Plans and Employee Expenses
IRS Records Retention
Applying Compliance Requirements to Business Processes
Compliance Case Study
Questions and Discussion
Who can Benefit:
Chief Compliance Officers
Senior Accounting and Finance Managers and Executives