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Provided by: Ripple Training Legal Compliance & Legal AuditingLegal |
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Training
Provided by Ripple Training
A two - day workshop enabling you to practically expand your knowledge on the Legal Compliance and Legal Auditing.
On completion of this workshop delegates will have a thorough knowledge of:
a The Principles of Legal Compliance and Risk Management
a How to ascertain what Laws apply to an organisation
a How to draft a compliance policy and related procedures
a An awareness of those tools which are available to assist an organisation with legal compliance
a How to carry out a compliance audit
a How to manage compliance and interpret results of various compliance audits
A Compliance Matrix will also be given on how to build, maintain and implement this matrix thought the organisation
Related Jobs or Careers: Compliance Managers, Legal Advisors, Commercial Advisors, Brand Managers, Marketing Managers and Executives, Product Development
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Legal Compliance & Legal Auditing
1. The Principles of Legal Compliance
What is Compliance?
What is Legal Compliance?
Compliance Principles and Approaches
King 11 and 111
2. What does your Organisation have to Comply with?
National and Provincial Legislation
By Laws
Policies and Procedures
Codes of Practices
Standard Operating Procedures
Guidelines, Directives
Best Practices
Standards
International Practice and Standards
Industry Specific Laws
Company Laws
Corporate Governance
Financial Standards
Health and Safety Laws
Environmental Laws
Conflict with other Laws
In favour of the Consumer
3. How do you know and Identify these Laws ?
4. Risk Management and Compliance must be Aligned
Risk Management Principles and Procedures
Risk Management Approaches
Identification of Risks
Identification and Quantification of Controls
Assessing adequacy of such Controls versus level of exposure
5. Measuring Compliance?
How do you know and how do you measure?
Compliance Measurement Tools
Methodology
Auditors and Audit team
6. Results of Compliance Audits
Reports and Recommendations
Taking head of results and implementing recommendations
Closing out all findings
7. Ensuring that your Policies and Procedures are Compliant with Legal and Regulatory Requirements
Aligning with the Laws
Updating Policies and Procedures
8. Building and Retaining a Compliance Matrix
9. Application and Implementation of a Compliance Matrix
10. Moving towards a Risk/ Compliance Integrated approach
Determining the Business and other Operational Risks
Setting up a Risk Matrix
Aligning with the Compliance Matrix
Correctly managing your Legal exposure and Risk
11. Reviews and an Integrated approach towards Continuous Improvement
Creating a Structured Improvement Plan
Ensuring the Execution of Regular Compliance Controls, Audits and Inspections
12. Knowing what areas of your Organisation are Covered by a Legal Compliance Audit
Health and Safety
Environmental
IT or Systems
Finance
Risk
Insurance
Contracts
Corporate Governance and Ethics
Company Secretarial
Competition
Assets
Property
Permits and Certificates
Labels/ Marketing/ Advertising
Labour and Industrial Relations
Quality
Standards
Management Systems
13. Specific types of Audits and Recommended areas to look at:
SHE
Health
Safety
Environmental
GAP Analysis
IT or Systems
Finance/ Tax
Risk Assessments
Insurance
Contracts
Corporate Governance and Ethics
Company Secretarial
Competition
Assets and Management thereof
Property
Permits and Certificates
Labels/ Marketing/ Advertising
Labour and Industrial Relations
Quality
Standards
Management Systems
Legal Audit
About Your Workshop Director: Alison Lee
Alison is an admitted Attorney of the High Court of South Africa and was a legal advisor for 15 years, first working as an in-house counsel for BAT, SA and then for SAB Miller. Alison is a partner at Christopher Lee Attorneys and also acts as CEO for the Corporate Lawyers Association for South Africa.
Alison's experience lies in commercial law, the law of advertising, intellectual property, risk management, corporate governance and in particular legal compliance.
What is Compliance?
What is Legal Compliance?
Compliance Principles and Approaches
King 11 and 111
2. What does your Organisation have to Comply with?
National and Provincial Legislation
By Laws
Policies and Procedures
Codes of Practices
Standard Operating Procedures
Guidelines, Directives
Best Practices
Standards
International Practice and Standards
Industry Specific Laws
Company Laws
Corporate Governance
Financial Standards
Health and Safety Laws
Environmental Laws
Conflict with other Laws
In favour of the Consumer
3. How do you know and Identify these Laws ?
4. Risk Management and Compliance must be Aligned
Risk Management Principles and Procedures
Risk Management Approaches
Identification of Risks
Identification and Quantification of Controls
Assessing adequacy of such Controls versus level of exposure
5. Measuring Compliance?
How do you know and how do you measure?
Compliance Measurement Tools
Methodology
Auditors and Audit team
6. Results of Compliance Audits
Reports and Recommendations
Taking head of results and implementing recommendations
Closing out all findings
7. Ensuring that your Policies and Procedures are Compliant with Legal and Regulatory Requirements
Aligning with the Laws
Updating Policies and Procedures
8. Building and Retaining a Compliance Matrix
9. Application and Implementation of a Compliance Matrix
10. Moving towards a Risk/ Compliance Integrated approach
Determining the Business and other Operational Risks
Setting up a Risk Matrix
Aligning with the Compliance Matrix
Correctly managing your Legal exposure and Risk
11. Reviews and an Integrated approach towards Continuous Improvement
Creating a Structured Improvement Plan
Ensuring the Execution of Regular Compliance Controls, Audits and Inspections
12. Knowing what areas of your Organisation are Covered by a Legal Compliance Audit
Health and Safety
Environmental
IT or Systems
Finance
Risk
Insurance
Contracts
Corporate Governance and Ethics
Company Secretarial
Competition
Assets
Property
Permits and Certificates
Labels/ Marketing/ Advertising
Labour and Industrial Relations
Quality
Standards
Management Systems
13. Specific types of Audits and Recommended areas to look at:
SHE
Health
Safety
Environmental
GAP Analysis
IT or Systems
Finance/ Tax
Risk Assessments
Insurance
Contracts
Corporate Governance and Ethics
Company Secretarial
Competition
Assets and Management thereof
Property
Permits and Certificates
Labels/ Marketing/ Advertising
Labour and Industrial Relations
Quality
Standards
Management Systems
Legal Audit
About Your Workshop Director: Alison Lee
Alison is an admitted Attorney of the High Court of South Africa and was a legal advisor for 15 years, first working as an in-house counsel for BAT, SA and then for SAB Miller. Alison is a partner at Christopher Lee Attorneys and also acts as CEO for the Corporate Lawyers Association for South Africa.
Alison's experience lies in commercial law, the law of advertising, intellectual property, risk management, corporate governance and in particular legal compliance.
About The Training Provider: Ripple Training
Ripple Training - The major growth economies across the globe are all within the emerging market environment. Favourable exchange rates, market size, lower manufacturing and labour costs are all contributing factors for these markets returning the current growth rates. In order for this to continue private and public sector organizations need to ensure that they are geared for continued growth and this can only...
