This document is a course manual for the ICA International Diploma in Governance, Risk and Compliance. It provides an introduction and overview of the course, including information on the course structure and units, assessment requirements, and support resources available to students. The manual guides students on how to make the most of their studies, including familiarizing themselves with course materials, planning their study schedule, and utilizing available tutor and administrative support. It aims to equip students with the knowledge and skills needed to successfully complete the program and demonstrate their understanding of governance, risk and compliance.
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Introduction to SAS Dataflux Management studio ,Advantages, total slides are 210 About Data job nodes, Creating business rules,Data quality case studies,DataFlux Data Management Platform
Overview of DataFlux Data Management Studio
DataFlux Methodology: Plan, Act, and Monitor
Managing Repositories
Different types of Data Connections
Creating and Managing Data Collections
Creating , Setting , Working with Data Explorations
Introduction ,Creating Business Rules and Custom Metrics
Overview, Creating , Preparing of Data Profiles
How to write : Guidelines for your writing assignmentNancy Edwin
The need to write this document has been driven by two things: a) many years of experience of marking assignments at all levels and seeing the same issues crop up time and again, and b) the desire to see you all do better in your assignments by being aware of, paying attention to, and thus avoiding, simple and careless errors that result in lower marks being awarded.
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Course SyllabusCourse DescriptionPresents the fundamen.docxvanesaburnand
Course Syllabus
Course Description
Presents the fundamentals of business principles and practices. Business strategies emphasized are decision-making and
planning, teamwork, technology, and communication. Topics include analysis of the business environment, starting a new
business, managing business and employees, marketing, accounting, and finance.
Course Textbook(s)
No physical textbook is required; resources are integrated within the course.
Course Learning Outcomes
Upon completion of this course, students should be able to:
1. Identify basic business concepts.
2. Examine the different environments in which businesses operate, to include social, technological, economic, legal,
and market.
3. Explain management functions of planning, organizing, leading, and controlling.
4. Identify the basic principles of marketing.
5. Determine the function and role of human resources, including key aspects of human resource management.
6. Discuss the importance of ethics and social responsibility in business.
7. Evaluate concepts associated with entrepreneurship.
8. Explain how outsourcing, offshoring, and foreign entities affect the operation of businesses in the United States.
Credits
Upon completion of this course, the students will earn 3 hours of college credit.
Course Structure
1. Study Guide: Course units contain a Study Guide that provide students with the learning outcomes, unit lesson,
required reading assignments, and supplemental resources.
2. Learning Outcomes: Each unit contains Learning Outcomes that specify the measurable skills and knowledge
students should gain upon completion of the unit.
3. Unit Lesson: Unit Lessons, which are located in the Study Guide, discuss lesson material.
4. Reading Assignments: Units contain Reading Assignments from one or more chapters from the textbook and/or
outside resources.
5. Suggested Reading: Suggested Readings are listed within the Study Guide. Students are encouraged to read the
resources listed if the opportunity arises, but they will not be tested on their knowledge of the Suggested Readings.
6. Discussion Boards: Discussion Boards are part of all CSU Term courses. More information and specifications can
be found in the Student Resources link listed in the Course Menu bar.
7. Unit Quizzes: This course contains Unit Quizzes. It is suggested that the quizzes be completed before students
complete the Unit Assessments. Quizzes are used to give students quick feedback on their understanding of the unit
material.
8. Unit Assessments: This course contains Unit Assessments, which test student knowledge on important aspects of
the course. These tests may come in many different forms, ranging from multiple choice to written response
questions.
9. Unit Assignments: Students are required to submit for grading Unit Assignments. Specific information and
instructions regarding these assignments are provided below. Grading rubrics are included with each assignment.
Specific information about a.
To help you explore ways of developing more powerful learnin.docxjuliennehar
To help you explore ways of developing more powerful learning experiences for your students, I suggest some ideas for each of three components of active learning:
Rich Learning Experience, In-Depth Reflective Dialogue, and Information and Ideas. Rich Learning Experiences. As you try to add an experiential component to the learning experience, look for “Rich Learning Experiences.” Certain learning experiences are “rich” because they allow students to acquire several kinds of significant learning simultaneously. What are some ways this can be done? The list below identifies in-class and out-of-class activities that promote multiple kinds of significant learning—all at the same time.
In Class: • Debates • Role playing • Simulations • Dramatizations
Outside of Class: • Service learning • Situational observations • Authentic projects
Action: Identify some learning activities to add to your course that will give students a “Doing” or “Observing” Experience. What “Rich Learning Experiences” are appropriate for your course?
In-Depth Reflective Dialogue. Another important ingredient of active learning is giving students time and encouragement to reflect on the meaning of their learning experience. There are various forms of reflective dialogue (See Table 3, next page). One can reflect with oneself (as in writing in a journal or diary) or with others (as in engaging in discussions with a teacher or others). Another key distinction is between substantive writing, in which one writes about a subject (e.g., a typical term paper), and reflective writing, in which one writes about one’s own learning. In reflective writing, students address a different set of questions, such as: What am I learning? What is the value of what I am learning? How am I learning? What else do I need to learn?
Information and Ideas. In order to free up some class time for the experiential and reflective activities identified above, you will probably need to explore alternative ways of introducing students to the key information and ideas of the course, i.e., the content. This might involve having them do more reading before they come to class. Or it may mean creating a course-specific website where you put content-related material. Or you can direct students to go to selected websites that have good content related to the course.
Action: Other than lectures, what ways can you identify to cause students to get their initial exposure to subject matter and ideas (preferably outside of class)?
Step 5. Integration In this INITIAL DESIGN PHASE (Steps 1-4),
you have created strong primary components for the design of your course. In order to complete this initial phase, you need to check how well these four components are aligned. Step 5 Worksheet gives a detailed explanation of how these four components can be integrated with each other.
Step 5: Integrating Steps 1-4 1. Situational Factors • Assuming you have done a careful, thorough job of reviewing the situational factors, how wel ...
119457 Interpret and use information from texts dudu zwane
Learners at this level read and view a range of texts. People credited with this unit standard are able to read and view a variety of text types with understanding and to justify their views and responses by reference to detailed evidence from texts. They are also able to evaluate the effectiveness of different texts for different audiences and purposes by using a set of criteria for analysis.
Learners credited with this unit standard are able to:
• Use a range of reading and viewing strategies to understand the literal meaning of specific texts
• Use strategies for extracting implicit messages in texts
• Respond to selected texts in a manner appropriate to the context
• Explore and explain how language structures and features may influence a reader/viewer
In this presentation, we will use ADDIE as a guide to discuss the life-cycle of an e-learning project, with special focus on the tasks involved in each phase.
Outcomes Assessed Evaluate the tools used for the pro.docxgerardkortney
Outcomes Assessed
Evaluate the tools used for the professional management of an organization.
Use technology and information resources to research issues in management and growth of entrepreneurship business.
Grading Rubric for Assignment 4 — The Prefect Manager
Criteria
0
Unacceptable
40
Developing
60
Competent
80
Exemplary
1. Describe the characteristics of the perfect manager to see a company through all stages of organizational growth.
Did not complete the assignment or did not describe the characteristics of the perfect manager to see a company through all stages of organizational growth; omitted key information and/or included irrelevant information. Completed with less than 60% accuracy, thoroughness, and logic.
Partially described the characteristics of the perfect manager to see a company through all stages of organizational growth; omitted some key information. Completed with 60-79% accuracy, thoroughness, and logic.
Sufficiently described the characteristics of the perfect manager to see a company through all stages of organizational growth. Completed with 80-89% accuracy, thoroughness, and logic.
Fully described the characteristics of the perfect manager to see a company through all stages of organizational growth. Completed with 90-100% accuracy, thoroughness, and logic.
Criteria
0
Unacceptable
10
Developing
15
Competent
20
Exemplary
2. Clarity.
Did not complete the assignment, or explanations are unclear and not organized.
(Major issues)
Explanations generally unclear and not well organized.
(Many issues)
Explanations generally clear and/or organized. (Minor issues)
Explanations very clear and well organized.
(Added helpful details)
3. Writing – Grammar, sentence structure, paragraph structure, spelling, punctuation, APA usage.
Did not complete the assignment or had 8 or more different errors in grammar, sentence structure, paragraph structure, spelling, punctuation, or APA usage. (Major issues)
Had 6–7 different errors in grammar, sentence structure, paragraph structure, spelling, punctuation, or APA usage. (Many issues)
Had 4–5 different errors in grammar, sentence structure, paragraph structure, spelling, punctuation, or APA usage. (Minor issues)
Had 0–3 different errors in grammar, sentence structure, paragraph structure, spelling, punctuation, or APA usage.
HTH 2307, ICD-10-CM 1
Course Description
This course provides overview of ICD-10-CM. Emphasis will be placed on the principles, theories, concepts and
applications required to code diseases and procedures using the International Classification of Diseases, Tenth Revision,
Clinical Modification (ICD-10-CM) Classification System. Chapter-specific guidelines are considered and students are
given an opportunity to practice coding in a variety of medical scenarios.
Course Textbook
Buck, C. J. (2013). Step-by-step medical coding. St. Louis, MO: Saunders.
Buck, C. J. (2013) Step-by-step medical coding workbook. St. Louis, MO: Sau.
School of Social Sciences1Course title Research Methods (C3.docxjeffsrosalyn
School of Social Sciences
1
Course title: Research Methods (C39RE)
Professor Rania Kamla [email protected]
Dr Bing Xu [email protected]
Dr Esinath Ndiweni [email protected]
Course Introduction
Research Methods develops research skills which are essential for your dissertation and for a career in accounting, finance or research. It is designed to help you to prepare for the dissertation by allowing you the opportunity to learn about approaches to research and how to use them.
To research is to methodically search for new knowledge and/or practical solutions in the form of answers to specific questions. Developing skills in providing robust, convincing answers to different questions is critical to success in many professional, as well as, academic settings. This course will provide you the opportunity to understand how to gather relevant data/evidence, how to analyse and interpret evidence, how to make sense of complex situations, how to draw conclusions or make recommendations and how to communicate your finding.
A series of lectures will provide you with a sound grounding in social science research methods and guide you through the assigned readings. This will be complemented with tutorials/workshops to develop a range of practical research skills. The assessments provide you with an opportunity to apply the knowledge and provide a sound foundation for the honours year, in particular the dissertation.
Aims and Objectives
· To provide the knowledge and skills required to conduct a sizeable piece of independent research
· To generate an understanding of the social science research process
· To develop an appreciation of the nature of accountancy and finance research
· To enable students to practice their skills and test their understanding of aspects of the research process
Learning Outcomes
· Understand differences between qualitative and quantitative research
· Select and develop a research topic in accountancy or finance
· Identify, access and evaluate literature relevant to the research topic
· Select an appropriate research methodology
· Obtain relevant data
Personal Abilities
· Work independently
· Analyse and interpret research results
· Communicate and present ideas effectively by written and verbal means
Teaching Overview
This course comprises of lectures and tutorials, detailed in the table below. The lectures will last for up to 2 hours and the tutorials are an hour long.
Week
Topic
Tutorial
1
Purpose of Research & An introduction to the dissertation
2
What to Research and how to select YOUR research Question
3
Literature Review - using other peoples’ research – reviewing literature, plagiarism and referencing.
Finding a research question
4
How to research – using library resources
Setting your dissertation aims & objectives
5
Content Analysis /Interviews most popular qualitative methods
Planning your sources of evidence
6
Reading Week Coursework Preparation
None
7
Descriptive statistics.
3. III
Course Guide IV
Syllabus Content – International Diploma in Governance, Risk and Compliance X
Unit 1: Understanding Governance, Risk and Compliance 1
Unit 2: Ethics, Integrity and Organisational Culture:Taking GRC to the Next Level 33
Unit 3: Understanding the Complete Regulatory Environment 63
Unit 4: KnowYour Regulator 89
Unit 5: What is the Role of the Compliance Function? 113
Unit 6: How to Manage Regulatory Risk for the Benefit ofYour Firm 148
Unit 7: How Corporate Governance Can EnhanceYour Firm’s Performance 176
Unit 8: How to Design and Build World-class GRC Systems and Controls 206
Unit 9: Managing the Risks of Financial Crime 236
Contents
4. IV
Course Guide
Introduction
Before commencing work on the International Diploma in Governance, Risk and Compliance
you should read this Course Guide, which provides an introduction to the programme and
directs you to where you can locate further information to support you in your studies.
The Diploma programme
The International Diploma in GRC is designed to enable you to demonstrate:
„„ an appreciation of the objectives of regulation, the different forms of regulation and
the different types of regulator
„„ a thorough understanding of the duties and responsibilities of an effective
compliance professional
„„ knowledge of key regulatory compliance principles
„„ the complex relationships between ethics, integrity and values
„„ the ability to design and implement a comprehensive GRC framework for the benefit of
a financial services business
„„ a thorough understanding of how effective compliance contributes to good corporate
governance and the role which management of risk plays in shaping effective compliance
„„ an understanding of the nature of the various legal relationships between a financial
services business and its customers
„„ a thorough appreciation of the risks faced by financial services businesses and how to
protect against them
„„ a practical understanding of financial crimes, including money laundering, market
abuse, fraud, bribery etc. and how to protect against them
„„ the ability to generate essential management information for use in the evaluation and
risk profiling of financial services and products and client types
„„ development of skills and techniques to help you to succeed in the role of a
compliance professional.
Syllabus
The syllabus for the International Diploma in GRC is set out on page XI of this course guide.
The course text layout follows the content and order of the syllabus.
Getting started
Getting started is often the most difficult part of any study programme. No doubt you are
feeling enthusiastic; you want to begin studying as soon as possible and are keen to begin
reading through your course materials. However, it is important to consider a number of
factors first to ensure you gain maximum value from the materials provided.
At this early stage, focus on familiarising yourself with the following:
1. course materials
2. assessment requirements
3. website information
4. tutor and administrative support.
5. V
Course Guide
1. Course materials
The course materials you have access to contain a variety of documents. You should
familiarise yourself with their general content, reviewing them in the following order:
„„ core text manual
„„ appendices (if applicable)
„„ workshop information (if you are studying via the face-to-face workshop method)
„„ distance learning workbook and further reading material (if you are studying by
distance learning only)
„„ any support texts
„„ webinars.
Core text manual
The units within the core text are divided into key components, each designed to assist
your understanding of the topics covered by the course:
„„ learning objectives
„„ main text (including appendices)
„„ tasks
„„ self-assessment questions
„„ learning outcomes.
All are important elements of the unit and should be studied in detail.
Assignment and examination questions can be set on any area of the whole
programme. The units are structured to give you a good understanding of topics.
The purpose of each aspect of the units is explained below.
Learning objectives
These specify the main purposes of the unit in bullet point format and identify the key
skills and knowledge you can expect to gain from your study of the unit. They also give
an outline of the unit content.
Main text
The main text provides a general overview of the main theme of the unit, together with
additional information on the various topics that are covered by the unit.
The case studies and examples in the text use real centre names to give a practical and
realistic feel to the content of the materials. Different jurisdictions have been used for
different examples; the activity described may not necessarily take place in the named
jurisdiction. These are illustrations for educational purposes only.
Self-assessment questions (SAQs)
Each unit has a number of SAQs associated with it. The questions are of short-answer
format. They are designed as a quick test at the end of each unit to help you determine
your understanding of the content. The answers to the questions are provided once you
submit your answers.
You might find it useful to attempt these questions once you have read through the
unit content but before you have studied it in detail, either by detailed reading,
attending workshops or, if studying via distance learning only, by completing the
workbook exercises. You could then repeat the questions afterwards, so you can assess
the level to which your knowledge of the subject matter covered has increased.
You should approach these questions as though they were assignment or exam questions –
think critically about them and try to write out paragraph-type answers to them.
6. VI
Course Guide
Tasks
Each unit also has a number of practical tasks associated with it. The tasks come in a
variety of forms. They encourage you to observe and research the issues raised by the
unit topics within your own working environment and in the wider context.
Building on the SAQs, which are a straightforward assessment of your memory and
understanding based upon your reading of the unit content, attempting the suggested
tasks allows you to apply your knowledge and demonstrate your understanding of the
unit topics. While answers to these are not provided in the manual, simply attempting
the tasks will help consolidate your learning and their content may be discussed during
workshops or during distance learning workbook exercises.
Learning outcomes
These expand on the wording of the learning objectives and summarise in bullet format
the key learning points you should understand from your study of the unit.
Appendices and further reading
Appendices to support the content of the core text are provided for some courses
and you should familiarise yourself with these. Depending upon which programme
you are studying, you may also note a number of further reading suggestions within
the core text, all of which you will be able to locate on the ICT learning platform.
(learning.int-comp.com). It is not compulsory for you to read all of these, but they are
a useful resource. You can use them if there is a topic on which you feel you either
need or want additional information over and above the content of the core text,
which forms the main basis for your studies.
Workshop information
The face-to-face workshop format is the usual means by which delegates study for
ICA qualifications. If you are studying under the workshop format, details of when
these workshops are scheduled will be confirmed with your materials and can also be
accessed on the website. Take care to make a note of when these sessions will take
place and ensure you have allocated time to attend them, making the arrangements
with your employers in good time, if necessary. You should also carefully note the units
covered by each workshop (you can find this information on the website) and build this
into your overall study plan, so you can ensure you have read and studied the relevant
units before attending the workshop.
The purpose of the workshop environment is to explore the topics covered within the
course materials in a practical way that is clear and that effectively brings them to life
for delegates. Using a case study format, the industry-experienced tutor who leads each
workshop will explore different subject-related issues, allowing plenty of opportunity
for discussion and clarification. They will provide examples throughout and explain
relevant terms to ensure understanding.
Workshops also provide you as a delegate with a good opportunity to liaise with your
peers, discuss approaches to study and generally ensure that you are comfortable with
the topics covered.
When you attend the workshop you will be provided with a copy of the slides shown
by the tutor on the day, together with some additional material (further reading lists,
explanatory notes, etc.) as appropriate to the session being undertaken. You can then
use this to assist you in your revision of the topics covered during the workshop. Note
that copy slides are not provided for those attending certificate level programmes as
the test follows on directly from the workshop session.
7. VII
Course Guide
Distance learning workbook
The distance learning study format is offered in jurisdictions where the workshop
programme is unavailable or limited. If you are studying under the distance learning-
only route at Diploma level your course materials will contain, in addition to your core
text, a distance learning workbook.
The workbook, covering all the units of the programme, takes the place of workshops
and contains a series of exercises focusing on the key aspects of the syllabus, allowing
you to work through these at your own pace in order to gain a deeper understanding
of the unit topics covered, once you have read the core text. These workbook exercises
allow focused study of key topics and are intended to challenge you to the same level
as workshop discussions.
More information on distance learning study and the support available for this, at all
levels, can be found on the ICT learning platform.
Support texts
These may be provided to support the content of the core text, which should remain
your key focus of reading and study for the duration of the programme. The support
text(s) provide further information on key topics covered by the course and on occasion
your course tutor (or in the case of distance learners, the distance learning workbook)
will direct you towards certain aspects of their content as part of your studies.
Familiarising yourself with the content of the support text will be beneficial, allowing
more detailed reading around the topics covered by the study programme.
Webinars
A number of webinars are now included as part of our programme. These webinars,
focusing on key subjects from within the programmes and on a number of delegate-
support topics, are intended to supplement the other elements of the programme,
whether studying via the workshop or distance learning routes.
Webinars are a visual presentation on a particular topic, comprising video and audio
features. These are located on the ICT Learning Platform. Varying in duration from
approximately 10 minutes to up to 1 hour long, these webinars are delivered by ICT
tutors, supported by slides and, on occasion, with additional information in handouts,
being provided for reference.
Webinars can be either live (known as ‘live webinars’) or pre-recorded (known as
‘pre-recorded webinars’). The majority of webinars are pre-recorded, although on
occasion live webinars will be available and information on these will be made available
on the website nearer the time. The programme of webinars is under continuous
development; up-to-date information on how they are progressing can be found on
the website.
2. Assessment requirements
The Diploma is assessed on a combination of assignments and an end of course
examination. Full details on the assessment methodology can be found in the Student
Support Area of the ICT Learning Platform. You should take some time at the outset
of your studies to familiarise yourself with the Assessment guidelines in the Student
Support Area.
3. Website support
When you enrol on the course you will be allocated a member login username and
password to access the ‘delegate only’sections of the ICT website (www.int-comp.com),
ICA website (www.int-comp.org) and ICT learning platform (learning.int-comp.com).
This will enable you to access the following resources.
8. VIII
Course Guide
ICT website
„„ Details of your current programme of study, including the dates and venues of
any workshops, assignment submission dates and exam dates as appropriate.
„„ Summary of your assignment and exam marks and a link to your
personal feedback.
ICA website
„„ Access to the Members Area for enrolled students only.
„„ Knowledge hub: useful reports, white papers, case studies, jurisdiction
specific legislation.
„„ ICA News: latest news from ICA.
„„ E-alert system: receive emails when there are amendments to the website.
„„ Discussion forum: QA.
„„ Bookshop: enjoy discounts on books.
ICT Learning Platform
„„ Homepage and Student Support Area.
„„ Course Guide.
„„ Course webinars.
„„ Assignments.
„„ Workshop preparation.
„„ Course reading.
„„ Self-Assessment Questions (SAQs).
„„ Tasks.
„„ Further reading and resources.
„„ Revision materials.
„„ Course Chat Room (course specific).
„„ Question and Answer Forum (course specific).
„„ News Forum (course specific).
4. Tutor and administrative support
You can contact one of our academic or administrative team members any time for
detailed queries. Your tutor will be familiar with the issues and problems facing you as
a delegate and is there to provide support and to answer general queries about the
course, the materials and the examinations. The administration team will be able to
assist you with administration-related issues.
Academic and administrative queries should be directed by email to your tutor through
the Question and Answer Forum of the ICT learning platform.
Contact details for queries concerning teaching and learning:
„„ post – addressed to the ICT Registry
„„ fax – addressed to the ICT Registry, on +44 (0)121 240 3002
„„ Using the QA forum on the ICT Learning Platform
„„ email to ICT@int-comp.com.
Contact details for assessment queries:
email to icaassessments@int-comp.org
telephone +44 121 362 7506
9. IX
Course Guide
Commence study
You are now ready to tackle the course content.
The course is structured in self-contained units. You should work through the units
progressively at your own pace. It is up to you how much time you spend and how you
organise your study. Further guidance is provided in the webinars on the ICT learning platform.
When planning your studies, keep in mind how the programme you are enrolled upon is
structured, taking a note of key dates, such as assignment submission dates, any workshop
dates (if applicable) and the examination date.
The programmes have been designed so that the average delegate who spends approximately
6–8 hours a week on study can complete the diploma in a 9–12 month period. This allows
ample time for delegates to thoroughly read through all the materials provided and attempt
the necessary number of SAQs, exercises and tasks, before attempting the assignments and
the examination that forms part of the overall assessment for the programme.
There is a good deal of information to work through, but you have plenty of time in which to
do so. Careful planning of your approach to study is crucial to your success.
Getting started action plan
1. Read this course guide and review other course documentation
2. Familiarise yourself with the ICT learning platform
3. View relevant webinars
4. Review the units
Now you are ready to commence study – best of luck!
10. X
Syllabus Content – International Diploma
in Governance, Risk and Compliance
Unit 1: Understanding Governance, Risk and Compliance
„„ Historical issues
„„ Regulatory objectives
„„ Defining effective GRC
„„ Benefits of effective GRC
„„ Promoting a successful GRC framework
„„ What next for GRC?
Unit 2: Ethics, Integrity and Organisational Culture
„„ Defining values, ethics and principles in financial services
„„ Regulation and principles
„„ How corporate social responsibility fits in
„„ Convergence of values, ethics, principles and corporate social responsibility
„„ Formulating and implementing a principles based business ethics and CSR approach
„„ Accountability
„„ An example of ethics and integrity in practice.
Unit 3: Understanding today’s regulatory environment
„„ How did we get to where we are today?
„„ Key influencers and their interests
„„ International best practices
„„ The structural basis of GRC regulation.
Unit 4: Know your regulator
„„ Legal frameworks
„„ Regulatory methodology
„„ Regulatory approach
„„ The powers of the regulator
„„ Examples
„„ Independence, transparency and accountability of the regulator.
Unit 5: What is the role of the compliance function?
„„ The educator
„„ The adviser
„„ Providing assurance
„„ Relationship management
„„ Conduct of business compliance
„„ Prudential compliance
„„ Recent developments in the role of the compliance officer.
11. XI
Syllabus Content – International Diploma in Governance, Risk and Compliance
Unit 6: Managing regulatory risk for the benefit of your firm
„„ Understanding the risk management process
„„ Designing an effective governance, risk and compliance risk management system
„„ Dealing with regulatory issues and enforcement.
Unit 7: Understanding how Corporate Governance underpins the
whole GRC framework
„„ The need for effective corporate governance
„„ What is corporate governance?
„„ Contexts – GRC
„„ Common principles of good corporate governance
„„ Implementing good corporate governance
„„ Governance culture
„„ Case studies.
Unit 8: How to design and build world class GRC systems
and controls
„„ How to implement effective GRC structures
„„ Developing GRC policies and procedures
„„ Disclosure
„„ Product development and selling practices
„„ Conflicts of interest
„„ Remuneration policies
„„ Advertising: clear, fair and not misleading?
„„ Outsourcing
„„ The importance of data protection
„„ Record keeping
„„ Whistle blowing.
Unit 9: Managing the Risks of Financial Crime
„„ Corporate governance requirements
„„ Bribery and corruption
„„ Money laundering and the MLRO
„„ Terrorist financing
„„ Market abuse and insider dealing
„„ Fraud
„„ Tax evasion