Course Highlights
  • 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
Curriculum

15 Topics
Welcome to the Course
Defining Compliance
Making Rules "Stick"
Knowing the Rules
Case Study: Enron's Systemic Compliance Failures (Part 1)
Case Study: Enron's Systemic Compliance Failures (Part 2)
Case Studies: The "One Guy" Problem
Module 1 Summary
Pre-Course Survey (Optional)
What Is Compliance?
Enron Scandal: The Fall of a Wall Street Darling
Module 1 Quiz
Making Rules "Stick"
Introduce Yourself
Rules & the Airline Industry

12 Topics
Obligations are Numerous Pervasive and Varied
The Demands of a Settlement Agreement
The Board of Directors Has a Fiduciary Duty
Avoiding Reputational Harm
The Indispensable and Positive Value of Compliance
Module 2 Recap
Avoiding Fines and Penalties
Module 2 Quiz
Is It a Financial Driver?
The Board of Directors' Duties
The Positive Values of Compliance
Identifying Penalties

10 Topics
Compliance & Risk Management
Risk Analysis
Risk Tolerance
Outsourcing Risk & Compliance
Insurance as Another Vehicle to Manage Risk
Responses to Reputational Harm
Chipotle's Food Safety Crisis
Module 3 Quiz
Reading Quiz - Assessing Chipotle's Risk
Managing Risk

9 Topics
Compliance Taken More Seriously by Enforcement Agencies
Institutional Compliance v. Compliance in Specific Subject Areas
The Burgeoning Profession of Compliance
"Loot Boxes" & Regulation
Concluding Thoughts
Post-Course Survey (Optional)
Generalist or Specialist?
Complete a Risk Profile
Shifts in Compliance

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