Building a Strong Compliance Culture-Introduction to Compliance Programs
Welcome to the Course
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Pre-Course Survey (Optional)
Building a World Class Ethics & Compliance Program
Setting the Stage: Origins of Compliance Law
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A Brief History of Compliance
Building a Strong Compliance Culture-Compliance Throughout the Organization
The Goal of Compliance Culture: Integrating Compliance Throughout the Organization
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From “Tone at the Top” to “Compliance at the Core”
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Building a Strong Compliance Culture-The Chief Compliance Officer
The Compliance Officer / Responsible Person
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Independence, Empowerment, and Resources: Part 1
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Independence, Empowerment, and Resources: Part 2
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I Called the Wells Fargo Ethics Hotline and was Fired
A Closer Look at the Essentials -The Code of Ethics & Other Policies
The Code of Conduct
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Policies, Procedures, and Standards
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18 of the Best Code of Conduct Examples
A Closer Look at the Essentials -Compliance Training
Training
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Training Sessions
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A Closer Look at the Essentials -Other Information Flows
Other Information Flows
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Compliance & Branding
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Communications with Business Partners
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A Closer Look at the Essentials -Monitoring & Reporting
Monitoring: Part 1
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Monitoring: Part 2
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Reporting Line
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Regulatory Compliance in the Age of Artificial Intelligence
The Psychology of Compliance-Compliance & White Collar Crime
Compliance Involves More Than You Think
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Why People Do Bad Things
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Why Do They Do It? Inside the Mind of the White-Collar Criminal
The Psychology of Compliance-Theories of White Collar Crime
The Psychological Aberration or Deviation Theory
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The Privileged or Entitled Theory
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The Stress and Pressure Theory
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The Excessive Greed or Excessive Ambition Theory
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The Cost-Benefit / Risk Reward Theory
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The Lack of Recognition Theory
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The Lack of Self-Control Theory
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The “Everyone is Doing it” or The Virus Theory
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The “I Could Have Done it Another Way” Theory
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The No Harm Theory
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The Psychology of Compliance-Theories of Compliance
How to Get People to be Compliant: Psychological Theories of Compliance
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The Nudge Theory
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The Punishment / Scare Them Theory
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The Rules / CYA Theory
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The Ubiquity Theory
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The Reward Me Theory
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The Quid Pro Quo Theory
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The Bureaucratic Theory
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The Slippery Slope / Broken Windows Theory
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The Target Theory
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The "One Size Doesn't Fit All" Theory
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Dealing With Non-Compliance-Responding to Non-Compliance
Dealing with Non-Compliance
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Data Breach Response
Senior Response Team
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Reporting and Other Communication
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Dealing With Non-Compliance-Imposing Discipline for Non-Compliance
Enforcing Discipline
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Dealing With Non-Compliance-Learning from Compliance Failures
Lessons Learned / Root Cause analysis
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Table Top Exercises
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Concluding Thoughts
Post-Course Survey (Optional)