CLCPCertified Legal Compliance Professional
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English
Intermediate
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Course Overview
Legal compliance has become an increasingly complex challenge for lawyers in corporate legal departments and in the private practice of law. While other areas of regulation may ebb and flow with changes in governmental policies and administration, legal compliance has tended to require more and more attention to increasingly detailed legal and regulatory requirements. Moreover, those requirements are being imposed not only by Gulf Cooperation Council (GCC) countries but by other countries whose criminal and regulatory laws are being applied to conduct that takes place outside their borders. As a consequence, law enforcement and regulatory agencies in those countries are setting progressively higher expectations about what lawyers need to do to identify, assess, and manage legal compliance risks.
For example, in Saudi Arabia, laws and Royal Decrees in 2019 substantially expanded the definition of “public official” with regard to public-sector bribery, made private-sector bribery a crime, criminalized bid-rigging and other anti-competitive or corrupt practices in relation to public tenders, and substantially increased penalties for New Competition Law violations. Other countries, such as the United States and the United Kingdom, also have laws and regulations that create substantial criminal and civil penalties for a wide range of compliance topics – including corruption, cybercrime and cybersecurity, fraud, money laundering, and sanctions. Those countries have successfully conducted investigations leading to substantial criminal and civil financial penalties in the hundreds of millions (even billions) of dollars as well as criminal prosecution.
For these reasons, legal professionals need to have a comprehensive appreciation of the legal and regulatory environments in GCC and other countries that may affect their firms, as well as a detailed knowledge of the varied compliance risks that their firms are likely to face, and a clear understanding of how they need to manage those risks effectively through compliance programs and related measures.
For example, in Saudi Arabia, laws and Royal Decrees in 2019 substantially expanded the definition of “public official” with regard to public-sector bribery, made private-sector bribery a crime, criminalized bid-rigging and other anti-competitive or corrupt practices in relation to public tenders, and substantially increased penalties for New Competition Law violations. Other countries, such as the United States and the United Kingdom, also have laws and regulations that create substantial criminal and civil penalties for a wide range of compliance topics – including corruption, cybercrime and cybersecurity, fraud, money laundering, and sanctions. Those countries have successfully conducted investigations leading to substantial criminal and civil financial penalties in the hundreds of millions (even billions) of dollars as well as criminal prosecution.
For these reasons, legal professionals need to have a comprehensive appreciation of the legal and regulatory environments in GCC and other countries that may affect their firms, as well as a detailed knowledge of the varied compliance risks that their firms are likely to face, and a clear understanding of how they need to manage those risks effectively through compliance programs and related measures.
Key Takeaways
1
Recognizing the principal regulatory environments, domestically and internationally, that generate legal compliance issues for firms
2
Understanding the key categories of legal compliance risks that firms may face, including bribery and corruption, cybercrime and cybersecurity, internal and external fraud, money laundering and terrorist financing and sanctions
3
Recognizing and understanding the scope and application of key provisions of laws and regulations generating those risks
4
Identifying approaches and techniques for evaluating existing legal compliance programs within firms
5
Improving and proving effectiveness in firms legal compliance programs and measures
International Academy of Business and Financial Management
The International Academy of Business and Financial Management™ is one of the world’s fastest growing professional association with more than 200,000 members, associates and affiliates in 145 countries. IABFM™ hosts and organizes certification training worldwide and offers exclusive board designations to candidates who meet the highest professional standards and assessment criteria. The IABFM is credited by the American National Standards Institute (ANSI) the International Standards setting authority.
Course Outline
Part 1
MODULE 1
Introduction to Regulatory Environments for Legal Compliance
→ Gulf Cooperation Council (GCC) Member Countries
→ United States
→ United Kingdom
→ European Union
Key Governmental and Regulatory Authorities and Scope of Authority
→ Selected GCC Countries
→ United States
→ United Kingdom
→ European Union
Legal Compliance and the “Culture of Compliance”
→ Gulf Cooperation Council (GCC) Member Countries
→ United States
→ United Kingdom
→ European Union
Key Governmental and Regulatory Authorities and Scope of Authority
→ Selected GCC Countries
→ United States
→ United Kingdom
→ European Union
Legal Compliance and the “Culture of Compliance”
MODULE 2: Key Legal Compliance Risks and Issues (Part 1)
→ Bribery and Corruption
→ General Risks and Issues
→ Selected GCC Countries
→ United States
→ United Kingdom
→ Selected Other Countries
→ General Risks and Issues
→ Selected GCC Countries
→ United States
→ United Kingdom
→ Selected Other Countries
MODULE 3
Fraud (External and Internal)
→ General Risks and Issues
→ Selected GCC Countries
→ United States
→ United Kingdom
→ Selected Other Countries
Cybercrime and Cybersecurity
→ General Risk and Issues
→ Selected GCC Countries
→ United States
→ United Kingdom
→ Selected Other Countries
→ General Risks and Issues
→ Selected GCC Countries
→ United States
→ United Kingdom
→ Selected Other Countries
Cybercrime and Cybersecurity
→ General Risk and Issues
→ Selected GCC Countries
→ United States
→ United Kingdom
→ Selected Other Countries
Part 2
MODULE 1
Money Laundering and Terrorist Financing
→ General Risks and Issues
→ Selected GCC Countries
→ United States
→ United Kingdom
→ European Union
Sanctions
→ Selected GCC Countries
→ United States
→ United Kingdom
Competition and Antitrust
→ Selected GCC Countries
→ United States
→ United Kingdom
→ European Union
→ General Risks and Issues
→ Selected GCC Countries
→ United States
→ United Kingdom
→ European Union
Sanctions
→ Selected GCC Countries
→ United States
→ United Kingdom
Competition and Antitrust
→ Selected GCC Countries
→ United States
→ United Kingdom
→ European Union
MODULE 2: Evaluation of Legal Compliance Programs (Part 1)
→ General Considerations in Evaluating Legal Compliance Programs
→ U.S. Department of Justice Framework for Evaluating Corporate Compliance Programs
→ Three Fundamental Questions
Program Design
→ Risk Assessment
• Risk Management Process
• Risk-Tailored Resource Allocation
• Updates and Revisions
→ Policies and Procedures
• Design
• Comprehensiveness
• Accessibility
• Responsibility for Operational Integration
• Gatekeepers
→ Training and Communications
• Risk-Based Training
• Form/Content/Effectiveness of Training
• Communications About Misconduct
• Availability of Guidance
Confidential Reporting Structure and Investigation Process
→ Effectiveness of the Reporting Mechanism
→ Properly Scoped Investigations by
Qualified Persons
→ Investigation Response
→ Resources and Tracking of Results
→ U.S. Department of Justice Framework for Evaluating Corporate Compliance Programs
→ Three Fundamental Questions
Program Design
→ Risk Assessment
• Risk Management Process
• Risk-Tailored Resource Allocation
• Updates and Revisions
→ Policies and Procedures
• Design
• Comprehensiveness
• Accessibility
• Responsibility for Operational Integration
• Gatekeepers
→ Training and Communications
• Risk-Based Training
• Form/Content/Effectiveness of Training
• Communications About Misconduct
• Availability of Guidance
Confidential Reporting Structure and Investigation Process
→ Effectiveness of the Reporting Mechanism
→ Properly Scoped Investigations by
Qualified Persons
→ Investigation Response
→ Resources and Tracking of Results
MODULE 3: Evaluation of Legal Compliance Programs (Part 2)
Third-Party Management
→ Risk-Based and Integrated Processes
→ Appropriate Controls
→ Management of Relationships
→ Real Actions and Consequences
Mergers and Acquisitions (M&A)
Due Diligence Process
→ Integration in the M&A Process
→ Process Connecting Due Diligence to Implementation
Effective Implementation of Program
→ Commitment by Senior and Middle Management
• Conduct at the Top
• Shared Commitment
• Oversight
→ Autonomy and Resources
• Structure
• Seniority and Stature
• Experience and Qualifications
• Funding and Resources
• Autonomy
• Outsourced Compliance Functions
→ Risk-Based and Integrated Processes
→ Appropriate Controls
→ Management of Relationships
→ Real Actions and Consequences
Mergers and Acquisitions (M&A)
Due Diligence Process
→ Integration in the M&A Process
→ Process Connecting Due Diligence to Implementation
Effective Implementation of Program
→ Commitment by Senior and Middle Management
• Conduct at the Top
• Shared Commitment
• Oversight
→ Autonomy and Resources
• Structure
• Seniority and Stature
• Experience and Qualifications
• Funding and Resources
• Autonomy
• Outsourced Compliance Functions
Part 3
MODULE 1: Evaluation of Legal Compliance Programs (Part 3)
Incentives and Disciplinary Measures
→ Human Resources Process
→ Consistent Application
→ Incentive System
Effectiveness in Practice
→ Continuous Improvement, Periodic Testing, and Review
• Internal Audit
• Control Testing
• Evolving Updates
• Culture of Compliance
→ Investigation of Misconduct
• Properly Scoped Investigation by Qualified Persons
• Response to Investigations
→ Human Resources Process
→ Consistent Application
→ Incentive System
Effectiveness in Practice
→ Continuous Improvement, Periodic Testing, and Review
• Internal Audit
• Control Testing
• Evolving Updates
• Culture of Compliance
→ Investigation of Misconduct
• Properly Scoped Investigation by Qualified Persons
• Response to Investigations
MODULE 2: Evaluation of Legal Compliance Programs (Part 4)
Analysis and Remediation of Any Underlying Misconduct
→ Root Cause Analysis
→ Prior Weaknesses
→ Payment Systems
→ Vendor Management
→ Prior Indications
→ Remediation
→ Accountability
Other Frameworks for Evaluating Corporate Compliance Programs
→ Wolfsberg Group
• AML
• Anti-Corruption
→ ISO 37001 – Anti-Bribery
→ Root Cause Analysis
→ Prior Weaknesses
→ Payment Systems
→ Vendor Management
→ Prior Indications
→ Remediation
→ Accountability
Other Frameworks for Evaluating Corporate Compliance Programs
→ Wolfsberg Group
• AML
• Anti-Corruption
→ ISO 37001 – Anti-Bribery
MODULE 3
Improving the State and Effectiveness of Legal Compliance Programs
→ The Importance of Thorough Questioning for Legal Compliance
• The Role of “Socratic” Questioning
• Effective Techniques for Asking Questions and Getting Needed Answers
Proving the State and Effectiveness of Legal Compliance Programs
→ Document. Document, Document
→ Organizing and Presenting Your Documentation
→ Retaining Records – Legal and Corporate Practice Considerations
Review and Recapitulation of Key Issues
→ The Importance of Thorough Questioning for Legal Compliance
• The Role of “Socratic” Questioning
• Effective Techniques for Asking Questions and Getting Needed Answers
Proving the State and Effectiveness of Legal Compliance Programs
→ Document. Document, Document
→ Organizing and Presenting Your Documentation
→ Retaining Records – Legal and Corporate Practice Considerations
Review and Recapitulation of Key Issues
Who Should Attend?
This highly practical and interactive course has been specifically designed for
→ Partners and mid- and senior-level associates in law firms with practices that address legal compliance issues
→ Senior and mid-level lawyers at headquarters and regional levels of firms with international operations
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FAQ
What language will the course be taught in and what level of English do I need to take part in an LEORON training program?
Most of our public courses are delivered in English language. You need to be proficient in English to be able to fully participate in the workshop and network with other delegates. For in-house courses we have the capability to train in Arabic, Dutch, German and Portuguese.
Are LEORON Public courses certified by an official body/organization?
LEORON Institute partners with 20+ international bodies and associations.We also award continuing professional development credits (CPE/PDUs) for:1. NASBA (National Association of State Boards of Accountancy) 2. Project Management Institute PDUs 3. CISI credits 4. GARP credits 5. HRCI recertification credits 6. SHRM recertification credits
What is the deadline for registering to a public course?
The deadline to register for a public course is 14 days before the course starts. Kindly note that occasionally we do accept late registrations as well, but this needs to be confirmed with the project manager of the training program or with our registration desk that can be reached at +1071 4 1075 5711 or register@leoron.com.
What does the course fee cover?
The course fee covers a premium training experience in a 5-star hotel, learning materials, lunches & refreshments, and for some courses, the certification fee and membership with the accrediting bodies.
Does LEORON give discounts?
Yes, we can provide discounts for group bookings. If you would like to discuss a discount on a corporate level, we will be happy to talk to you.
Reviews
- Review:IAMM Internal Audit Maturity ModelIn recognition of their dedication and contribution supporting IKEA Saudi Arabia in arranging training programs during 2017 & 2018, looking forward for more development and exciting effort this year. On behalf of IKEA Saudi Arabia, THANK YOU!Dalal KutbiCountry Learning & Development Manager at IKEA Saudi Arabia
- Review:Certified Professional in Quality and Patient SafetyDating back to 2014, Mobily’s “LEORON” experience has grown from a single collaboration to a long-term partnership. We consider ‘’LEORON” Institute as a strategic partner, whose contribution has been nothing but premium in equipping our staff with field-based knowledge and information. Past three years have resulted with an expanded collaboration with superior customer service and support. Best Regards,Turki S. AlsahaanDir L&D, Talent Management at Mobily, Etihad Etisalat Company
- Review:Certified Professional in Quality and Patient SafetySince the partnership was signed between BAE Systems Saudi Development & Training and LEORON in 2017, we have been working together to offer the Saudi market a complete portfolio of training solutions benefiting from the wide and extensive experience of both parties. Recognizing the great success of this partnership, we are looking for further collaborations in the future that will position both companies as one of the leading training providers in Saudi Arabia. We thank the LEORON team for their full cooperation and continuing support, and look forward to further success together in the years to come.Emad AlrajihVP, Business Winning at BAE Systems Saudi Development & Training
- Review:Certified Professional in Quality and Patient SafetyWe have been working with LEORON for the past two years and will be working with them again this upcoming year. The programs they delivered were fruitful and exciting and our organization has received positive feedback from the participants. What our organization aims to do is to provide at no cost training for all the private sector employees so that they may benefit from our offered programs in Innovation and Professional development. Leoron has helped us achieve this goal. We look forward to continuing this service and wish them the best of luck. Regards,Nasser M. Al-SubaieSr. Program Officer, Enterprise Learning & Human Development at Kuwait Foundation for the Advancemen
