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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課程信息
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您將學到的內容有
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
您將獲得的技能
Risk ManagementBrand ManagementStrategic PlanningCompliance
教學大綱 - 您將從這門課程中學到什麼
週
1完成時間為 2 小時
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 個視頻 （總計 36 分鐘）, 3 個閱讀材料, 2 個測驗
8 個視頻
Defining Compliance5分鐘
Making Rules "Stick"5分鐘
Knowing the Rules5分鐘
Case Study: Enron's Systemic Compliance Failures (Part 1)4分鐘
Case Study: Enron's Systemic Compliance Failures (Part 2)5分鐘
Case Studies: The "One Guy" Problem4分鐘
Module 1 Summary3分鐘
3 個閱讀材料
Pre-Course Survey (Optional)10分鐘
What Is Compliance?20分鐘
Enron Scandal: The Fall of a Wall Street Darling25分鐘
2 個練習
Making Rules "Stick"2分鐘
Module 1 Quiz15分鐘
週
2完成時間為 2 小時
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 個視頻 （總計 23 分鐘）, 1 個閱讀材料, 4 個測驗
6 個視頻
The Demands of a Settlement Agreement3分鐘
The Board of Directors Has a Fiduciary Duty5分鐘
Avoiding Reputational Harm3分鐘
The Indispensable and Positive Value of Compliance4分鐘
Module 2 Recap57
1 個閱讀材料
Avoiding Fines and Penalties45分鐘
4 個練習
Is It a Financial Driver?4分鐘
The Board of Directors' Duties6分鐘
The Positive Values of Compliance6分鐘
Module 2 Quiz20分鐘
週
3完成時間為 2 小時
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 個視頻 （總計 17 分鐘）, 2 個閱讀材料, 2 個測驗
5 個視頻
Risk Analysis3分鐘
Risk Tolerance2分鐘
Outsourcing Risk & Compliance2分鐘
Insurance as Another Vehicle to Manage Risk4分鐘
2 個閱讀材料
Responses to Reputational Harm20分鐘
Chipotle's Food Safety Crisis25分鐘
2 個練習
Reading Quiz - Assessing Chipotle's Risk5分鐘
Module 3 Quiz20分鐘
週
4完成時間為 3 小時
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 個視頻 （總計 14 分鐘）, 3 個閱讀材料, 2 個測驗
3 個視頻
Institutional Compliance v. Compliance in Specific Subject Areas3分鐘
The Burgeoning Profession of Compliance2分鐘
3 個閱讀材料
"Loot Boxes" & Regulation20分鐘
Concluding Thoughts10分鐘
Post-Course Survey (Optional)10分鐘
1 個練習
Generalist or Specialist?8分鐘
4.8
3 個審閱熱門審閱
As someone with a lot of experience in compliance, I find the structure and delivery methods very meaningful
講師
Andrew Kandel
Lecturer in Law
Lauren Steinfeld
Lecturer in Law關於 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.
關於 Regulatory Compliance 專項課程
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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