What is compliance?-Welcome to the Course
Welcome to the Course
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Pre-Course Survey (Optional)
What Is Compliance?
Defining Compliance
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What is compliance?-Knowing & Enforcing the Rules
Making Rules "Stick"
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Knowing the Rules
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What is compliance?-Non-Compliance Failures
Case Study: Enron's Systemic Compliance Failures (Part 1)
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Case Study: Enron's Systemic Compliance Failures (Part 2)
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Enron Scandal: The Fall of a Wall Street Darling
Case Studies: The "One Guy" Problem
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Module 1 Summary
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Why is Compliance Important?-Our Highly Regulated Environment
Obligations are Numerous, Pervasive and Varied
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Avoiding Fines and Penalties
Why is Compliance Important?-Settlement Agreements
The Demands of a Settlement Agreement
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Why is Compliance Important?-The Board of Directors
The Board of Directors Has a Fiduciary Duty
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Why is Compliance Important?-The Indispensable Value of Compliance
Avoiding Reputational Harm
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The Indispensable and Positive Value of Compliance
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Module 2 Recap
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Compliance & Risk-Introduction to Risk
Compliance & Risk Management
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Responses to Reputational Harm
Compliance & Risk-Risk Analysis
Risk Analysis
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Chipotle's Food Safety Crisis
Compliance & Risk-Assessing Risk Tolerance & Managing Risk
Risk Tolerance
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Outsourcing Risk & Compliance
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Insurance as Another Vehicle to Manage Risk
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Developments in the Field of Compliance-Shifts in the Perception & Enforcement of Compliance
Compliance Taken More Seriously by Enforcement Agencies
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"Loot Boxes" & Regulation
Developments in the Field of Compliance-The Layers of the Compliance Profession
Institutional Compliance v. Compliance in Specific Subject Areas
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Developments in the Field of Compliance-The Burgeoning Profession of Compliance
The Burgeoning Profession of Compliance
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Concluding Thoughts
Post-Course Survey (Optional)