Legal & Compliance Risk Management 2025

Compliance Image

11 - 12 February 2025

INDABA HOTEL, FOURWAYS, Sandton.
Virtual: MS Teams & ZOOM

For more information please contact our Offices:

Tel: +27 87 802 9998 / +27 87 802 9076

Email: admin@bizstrat.co.za

OVERVIEW

Corporate Compliance has continuously grown over the years, initially with emergence of public safety organisations and of late incorporation of internal compliance function within Organisational structures. Compliance risk has become a distinct risk class requiring dedicated resources, program design, and oversight by senior management.
Corporations perpetually struggle to stay compliant with the ever increasing complexity of laws, rules, and regulations. Board of directors that fail in their oversight role may be subjected to litigation. Governance, Risk & Compliance issues have become so critical to the going concern aspect of free enterprise. The USA legal system set the precedent on Enron with the prosecution of corporates and individuals for acts that were interpreted as unethical and illegal only after the fact.
Governance, Risk and Compliance values change in line with the public’s idealistic views. The shifts in views set the tone for acceptable values and standards. With GRC practitioners, the answers are not always in law books but exist beyond the words of law. It is from this background that this workshop was designed,to look at new ways to address daily compliance puzzles.

The Masterclass will address:

  • Regulatory demands: Both in specific industries and in general, regulations have become more numerous and more complex, domestically and globally
  • Disclosure and oversight demands: Demand for increased disclosure and oversight has left many executive teams and boards seeking direction
  • Outsourcing and business alliances: The use of outsourcing, sales channels, business alliances and other third-party arrangements continues to grow. Yet, an organization cannot outsource risk or responsibility for risk
  • Sustainability and Corporate responsibility: Investor expectations are evolving sustainable practices that affect areas such as product content, materials sourcing, Labour practices and emission controls
  • Ethical codes and corporate culture: High-profile legal cases and media reports regularly cite corporate environments that have been deemed prone to reckless risk taking, or otherwise systemically compromised.

Who Should Attend The Course:

  • Heads of Compliance: Directors, Managers
  • ESG & Sustainability Managers & Directors
  • State Law Advisors & Advocates
  • Attorneys
  • Heads of Legal Departments
  • Legal Advisors
  • In-House Legal Counsel
  • Company Secretaries
  • All General Legal Professionals
  • Risk Managers
  • Auditors.
  • Commercial directors and managers
  • Contracts managers
  • Project managers

Facilitated by: Adv. Alexia Vosloo - De Witt

LLM, LLB, Audiometry (NQF 5) • Advanced Labour Law • Air, Space and Telecommunications Law Current Practicing Advocate of the High Court of South Africa since 2013, focusing on Commercial, Corporate, Contractual, & Human Rights matters, chairing enquiries,and administrative boards, Labour Law, Criminal Law, Civil Law, Family and Divorce Law, Harassment and Protection Orders, Contract Law and Commercial Law. Air, Space and Telecommunications Law. Alexia Vosloo - De Witt acts as a training facilitator for several training companies. Courses presented include, Employment Equity, Labour Law, chairing a Disciplinary, Nuts and Bolts of Labour Law (How to present your case), Consumer Protection Act and Sexual Harassment.

Her previous international clients include Projex CI Telecommunications Company Guinea where she assists with legal compliance in Labour Law and Telecommunication and Infrastructure. Comprehensive training experience, involving development and implementation of internationally benchmarked curricula, lecturing at tertiary level and corporate training as a facilitator.

Image of Alexia Vosloo
Day 1

07:30-08:30 Registration, Tea & Coffee

08:30 Welcome Remarks

08:30 Defining Legal and Compliance Risk: In this session the different definitions of Legal and Compliance Risk will be explained and discussed.

  • The origin and historical development of the mentioned types of risk shall be dealt with.

Types of Legal Risk

The different types of legal risks will be defined and explained with reference to Case Studies. The identification and impact of the different categories of Legal Risk will be explored.

  • Litigation Risk
  • Contract Risk
  • Regulatory Risk
  • Structural Risk

10:00 Mid-Morning Teas/Coffees & Refreshments

Corporate Governance Framework: An overview of the Corporate Governance framework will be provided and will be discussed within the context of Global and Continental integration

  1. Statutory Framework
  2. The King IV Code on Corporate Governance in respect of:
  • Management of Risks
  • Compliance with Laws, Codes, Rules and Standards,
  • Internal Audit and (KING IV) Integrated Reporting and Disclosure.
  • Impediments to a robust and agile Compliance Programme

Enterprise-wide risk management (ERM) framework: During this session the development of an ERM will be discussed with reference to Best Practices and Case Studies.

  • The development of ERM
  • Process
  • Structure
  • Culture
  • Knowledge & Communication
  • Individuals
  • Assessing the risk management framework
  • Creation of Legal risk management Models
  • Legal Risk Quantification and Reporting

12:30 –13:30 Lunch & Networking

Regulatory framework: This session will deal with an overview of the regulatory framework. The principles and philosophy of Regulators will be discussed in detail with reference to approaches in different countries and economies.

  • National and international regulatory environment with reference o inter alia OECD, ISO 2006, IFC, UN.
  • The mandate, authority and scope of regulators.

16:00 Day’s Wrap, Questions & Answers

Day 2

07:30-08:30 Registration, Tea & Coffee

08:30 Previous Day’s Recap

08:30 Compliance Risk Management Framework: The Compliance Risk Management Framework will be discussed and applied to Case Studies with reference to Best Practices.

  • An overview of the Compliance Risk Management process:
  • Identification
  • Assessment.
  • Management and monitoring.
  • Control and Mitigation.
  • Generally accepted Compliance Practice (GACP)
  • Generally Accepted Record Keeping Practice
  • Corporate Compliance Principles

10:00 Mid-Morning Teas/ Coffees & Refreshments

10.:30 The Role Players in the Compliance and Legal Risk Management Process
The roles, scope of responsibility, effect and impact of each will be analyzed and explained with reference to the legal framework and by using relevant case studies

  • Compliance and Legal division
  • Board of Directors’ Governance Responsibilities
  • Committees
  • Company Secretary

Internal Controls
The creation of Internal Controls, their application and enforcement will be explained and discussed

  • COSO Integrated Risk Framework
  • Control Self Assessments methodologies
  • Rules vs Principles

12:30 –13:30 Lunch & Networking

Case Studies

The Cost of Non-compliance

Investigations and Remediation
The criteria, principles and cornerstones of investigations with the aim of remedial action will be discussed. Specific attention will be given to the presentation of evidence in relevant tribunals and the feedback loop back to the organisation for the institution of remedial steps.

  • Investigations guidelines
  • Internal investigation
  • Document preservation
  • Data privacy and protection

15:30 End of Masterclass & Certificate Presentation

Terms and Conditions: Please read carefully.

The following Ts & Cs apply:

  • All payments to be made directly to Servigraph 30 cc t/a BizStrat, Payment is required in full, 5 days from date of invoice.
  • No seats will be reserved, unless otherwise agreed to by Servigraph 30 cc t/a BizStrat.
  • Servigraph 30 cc t/a BizStrat reserves the right to change speakers, program content, date and venue, due to circumstances beyond the control of Servigraph 30 cc t/a BizStrat.
  • The signed registration form is a legally binding document.
  • The conference / workshop fee includes conference / workshop material, Lunches, and refreshments.
  • Servigraph 30 cc t/a BizStrat is not liable for travel and accommodation expenses unless otherwise stated in writing.

Cancellations

  • All cancellations will be subject to approval by Servigraph 30 cc t/a BizStrat management.
  • All cancellations made 14 working days prior to date of the mentioned event will be subject to a 50% cancellation fee.
  • Cancellations made within 7 days or less of date of the mentioned event, will be subject to a 100% cancellation fee.
  • There will be no refunds or credit vouchers unless agreed to by BizStrat Management in writing.

Substitutions

  • Delegates, or any substitutions, must notify Servigraph 30 cc t/a BizStrat in writing.
  • There is no charge for substitutions. Servigraph 30 cc t/a BizStrat will not be held liable for incorrect delegate details on certificates due to late substitutions being made on the day of the conference/ workshop.

Views expressed by speakers and facilitators are not necessarily those of Servigraph 30 cc t/a BizStrat.

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Payment Information

  • Bank Transfer: Servigraph 30 cc t/a BizStrat.
  • Bank: First National Bank
  • Branch Name: Randburg Commercial Suite
  • Account No: 62322454422
  • Branch Code: 250655
  • Swift Code: FIRNZAJJ

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