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It is only relatively recently that corporate governance and compliance has come to prominence in the business world.

Corporate governance is concerned with both the internal aspects of a company and the external aspects. Compliance is concerned with the process by which an organization seeks to ensure that employees and other constituents conform to applicable norms.

This course will help you understand the driving force behind the development of corporate governance in the last two decades, and the importance of corporate governance to the company itself, to directors and shareholders and other stake holders.

The course will also introduce you to the ways in which the compliance function is carried out.

Module A: Governance – Legal and Regulatory Framework

LWM80A

Introduction to corporate governance

• Corporate governance in the United Kingdom
• Corporate governance in the United States

Shareholders

Board of Directors

• Key principles and practicalities
• Composition and processes

Board committees

• International overview of board structures

Executives

Sarbanes-Oxley requirements

Listing requirements: how capital markets impose corporate governance requirements

Module B: Compliance

LWM80B

Introduction to compliance

• Internal enforcement
• Whistleblowers
• Self-reporting
• Regulators
• Deferred prosecution agreements

Information systems: data privacy, data transfers, offshoring and the cloud

Corporate hospitality

Ethics, responsibility and social culture

Module C: Bribery and Corruption, Money Laundering and Terror Financing

LWM80C

Bribery and corruption

• US Foreign Corrupt Practices Act (FCPA)
• UK Bribery Act 2010
• Internationalisation of prohibitions on foreign bribery

Money laundering

• UK Proceeds of Crime Act 2002 offences
• UK Money Laundering Regulations 2007

Terror financing

• UK Terrorism Act 2000 offences

Module D: Regulated Industries – Compliance and Risk Management in the Financial Sector

LWM80D

• Introduction to risk management
• Approaches to risk management
• Governance in banks and how poor governance can cause systemic financial crises
• Fraud within the banking sector

Assessment

Each module is assessed by a 45-minute unseen written exam.

Sequence

Module A must be attempted before module B; module B must be attempted before module C; module B must be attempted before module D.