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Ethics & Compliance - Assessing Compliance Breaches and Decision-Making

pencil CPE: -

calendar 10 November

clock 8.30am until 1.00pm

location Online Course (Live Session)

View Course Brochure

Compliance breaches range from innocent mistakes, through minor infractions, to established negligence, up to extremely serious and deliberate criminal conduct; but bad decisions wreck lives! Therefore decision making by Ethics and Compliance Committees and other appropriate adjudication panels needs 3 baseline skills:

  • Clear ability to appraise and assess evidence presented from any investigation

  • Ability to analyse and weigh involvement (to avoid ‘witchhunts’ and wrongful blame)

  • Crucially; the ability to measure liability proportionately and / or establish innocence.

This new program draws together a dimension of decision-making skills in this challenging context. Using an engaging and productive training method, we work with you thorough presentations, skills, interactive group activities, multi-directional discussions and precise case studies.

Topic Areas

1) INVESTIGATION - clarity of meaning, objectivity, transparency, and ethical practices

- Case Study: how are you as decision-makers perceived by your employees?

2) Avoiding ‘groupthink’ and other dangerous top-down management decision habits

3) Tools to clinically assess findings from a range of investigation situations

- Whistleblower-based investigations

- Audit revelations

- External complaints

- Management disciplinary cases (what motivated it?)

4) How was the particular case investigated? Standards? delegation? Bias?

- Any interviewing in the case? If so, how was it conducted?

- Quality of evidence gathering and how presented. Integrity and GDPR observed?

5) The Compliance Committee dynamic

6) Investigations policy: learning and transparency

Trainer: Ian Ross (Director, Compliance & Training, Detecta E.U.S.)

  • Accredited Counter Fraud Specialist

  • ‘Listed expert' Cour pénale internationale (The International Court of Justice (The Hague)

  • International Advisory Group Member, United States Institute of Peace ("USIP”)

  • Fellow: Chartered Management Institute