Compliance isn’t only about preventing problems and ensuring that everyone is abiding by laws, rules, and regulations. It’s also about the positive impact a robust and ethical compliance program can have on a business or organization. In this course we will discuss why compliance is important – from the needs facing businesses in highly regulated industries to avoiding fines and penalties to preventing reputational and economic nightmares. We’ll examine real-world examples of compliance and governance failures and their impact, and consider strategies for avoiding similar situations in our own organizations. You’ll be able to think about risk management in new ways and apply strategies to manage it.
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课程信息
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您将学到的内容有
Define compliance within an industry setting
Describe the ways in which compliance affects any industry, company, or organization
Identify the reasons industries, companies, and organizations should engage in compliance
Examine the importance of compliance in supporting the financial, reputational, and functional aspects of an industry, company, or organization
您将获得的技能
Risk ManagementBrand ManagementStrategic PlanningCompliance
教学大纲 - 您将从这门课程中学到什么
周
1完成时间为 2 小时
What is compliance?
What is compliance and why is it important? In this module, we answer those questions while also looking at some recent high-profile cases of non-compliance in the business world.
8 个视频 （总计 36 分钟）, 3 个阅读材料, 2 个测验
8 个视频
Defining Compliance5分钟
Making Rules "Stick"5分钟
Knowing the Rules5分钟
Case Study: Enron's Systemic Compliance Failures (Part 1)4分钟
Case Study: Enron's Systemic Compliance Failures (Part 2)5分钟
Case Studies: The "One Guy" Problem4分钟
Module 1 Summary3分钟
3 个阅读材料
Pre-Course Survey (Optional)10分钟
What Is Compliance?20分钟
Enron Scandal: The Fall of a Wall Street Darling25分钟
2 个练习
Making Rules "Stick"2分钟
Module 1 Quiz15分钟
周
2完成时间为 2 小时
Why is Compliance Important?
Non-compliance can have massive real-world implications for the general public, not just individuals directly related to a non-compliant company. In this module, we examine laws that specifically create compliance obligations, as well as the potential costs of non-compliance.
6 个视频 （总计 23 分钟）, 1 个阅读材料, 4 个测验
6 个视频
The Demands of a Settlement Agreement3分钟
The Board of Directors Has a Fiduciary Duty5分钟
Avoiding Reputational Harm3分钟
The Indispensable and Positive Value of Compliance4分钟
Module 2 Recap57
1 个阅读材料
Avoiding Fines and Penalties45分钟
4 个练习
Is It a Financial Driver?4分钟
The Board of Directors' Duties6分钟
The Positive Values of Compliance6分钟
Module 2 Quiz20分钟
周
3完成时间为 2 小时
Compliance & Risk
Every company and organization must deal with risk, and compliance is ultimately a vehicle to mitigate risk. This module explores the close relationship between compliance and risk management. We will analyze the ways in which compliance programs manage risk, as well as alternative forms of risk management.
5 个视频 （总计 17 分钟）, 2 个阅读材料, 2 个测验
5 个视频
Risk Analysis3分钟
Risk Tolerance2分钟
Outsourcing Risk & Compliance2分钟
Insurance as Another Vehicle to Manage Risk4分钟
2 个阅读材料
Responses to Reputational Harm20分钟
Chipotle's Food Safety Crisis25分钟
2 个练习
Reading Quiz - Assessing Chipotle's Risk5分钟
Module 3 Quiz20分钟
周
4完成时间为 3 小时
Developments in the Field of Compliance
This module highlights developments in the ever-evolving world of compliance, with special emphasis on recent trends in regulatory focus.
3 个视频 （总计 14 分钟）, 3 个阅读材料, 2 个测验
3 个视频
Institutional Compliance v. Compliance in Specific Subject Areas3分钟
The Burgeoning Profession of Compliance2分钟
3 个阅读材料
"Loot Boxes" & Regulation20分钟
Concluding Thoughts10分钟
Post-Course Survey (Optional)10分钟
1 个练习
Generalist or Specialist?8分钟
4.9
13 个审阅33%
通过此课程获得实实在在的工作福利
来自What is Compliance?的热门评论
As someone with a lot of experience in compliance, I find the structure and delivery methods very meaningful
The course is perfect. The instructors are top. 100% recommended
讲师
Andrew Kandel
Lecturer in Law
Lauren Steinfeld
Lecturer in Law关于 宾夕法尼亚大学
The University of Pennsylvania (commonly referred to as Penn) is a private university, located in Philadelphia, Pennsylvania, United States. A member of the Ivy League, Penn is the fourth-oldest institution of higher education in the United States, and considers itself to be the first university in the United States with both undergraduate and graduate studies.
关于 Regulatory Compliance 专项课程
Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the difference between companies that successfully navigate those risks, and those that become cautionary tales.
This specialization will introduce the essential elements of effective organizational compliance by exploring the concepts, considerations, and strategies for assessing risks and managing the compliance function. You will learn the fundamental principles of effective compliance, the components of an effective compliance program and their applications, and then closely examine two of the most important areas of compliance in today’s business climate: privacy compliance, and anti-corruption. The insights from this program will be applicable to a wide range of different types of organizations, from private companies to non-profits.
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