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An Interactive 5-Day Training Course

Compliance Investigation and Enforcement

Building Expertise in Investigating and Enforcing Compliance Standards

Schedules Introduction Objectives Who should Attend? Outline

Classroom Schedule

Date	Venue	Fees
15 - 19 Dec 2025	Dubai - UAE	$ 5,950
04 - 08 May 2026	London - UK	$ 5,950
06 - 10 Jul 2026	Dubai - UAE	$ 5,950
07 - 11 Sep 2026	Abu Dhabi - UAE	$ 5,950
07 - 11 Sep 2026	Barcelona - Spain	$ 5,950
05 - 09 Oct 2026	London - UK	$ 5,950
14 - 18 Dec 2026	Dubai - UAE	$ 5,950

Introduction

In today’s dynamic and highly regulated business environment, organizations must ensure adherence to legal requirements, ethical standards, and internal policies. Effective compliance investigation and enforcement are critical components of maintaining organizational integrity, mitigating risks, and fostering trust among stakeholders. This comprehensive training course equips participants with the tools, techniques, and knowledge required to conduct thorough compliance investigations and enforce corrective actions to safeguard their organizations.

This Compliance Investigation and Enforcement training course is designed to provide participants with a detailed understanding of the compliance investigation process, from identifying triggers and gathering evidence to navigating legal frameworks and implementing enforcement actions. Through a blend of theory, case studies, and practical exercises, participants will gain insights into managing complex investigations while adhering to ethical principles and maintaining confidentiality.

Whether you are a compliance officer, risk manager, HR professional, or legal advisor, this course will empower you to strengthen your organization’s compliance capabilities and create a culture of accountability.

Objectives

By the end of this Compliance Investigation and Enforcement training course, participants will:

Understand the principles and importance of compliance investigation and enforcement.
Identify compliance risks and determine triggers for investigations.
Develop and implement effective investigation plans.
Apply advanced techniques for evidence collection, interviewing, and reporting.
Navigate legal and ethical challenges during investigations.
Draft comprehensive and actionable investigation reports.
Implement enforcement actions and develop preventive strategies.

Who should Attend?

This GLOMACS training course is ideal for:

Compliance Officers and Managers
Risk Management Professionals
Internal Auditors and Corporate Governance Teams
HR Managers and Personnel responsible for policy enforcement
Legal Advisors and In-House Counsel
Team Leaders and Supervisors managing compliance adherence
Professionals involved in regulatory affairs and ethics management

Course Outline

Day 1

Foundations of Compliance Investigation

Introduction to Compliance and Enforcement
- Overview of compliance frameworks and organizational significance.
- Defining compliance investigation and enforcement within the corporate context.
Key Roles in Compliance Investigations
- Understanding the responsibilities of investigators, legal teams, and stakeholders.
- Establishing investigation committees and protocols.
Triggers for Compliance Investigations
- Identifying compliance risks and policy violations.
- Common triggers: complaints, audits, regulatory inquiries, and whistleblower reports.
Developing an Investigation Plan
- Defining the scope, objectives, and timeline of the investigation.
- Allocating resources and managing expectations.

Day 2

Investigative Procedures and Evidence Collection

The Investigation Process: Step-by-Step Guide
- Planning and initiating the investigation.
- Ensuring proper documentation at each stage.
Gathering Evidence
- Types of evidence: documentary, digital, and physical.
- Tools and techniques for effective evidence collection.
- Ensuring the chain of custody for admissibility in legal contexts.
Interviewing Techniques
- Preparing for interviews: objectives, scripts, and settings.
- Conducting interviews with witnesses and alleged violators.
- Handling challenging interview scenarios.
Documenting Findings
- Best practices for maintaining investigation logs.
- Ensuring consistency and accuracy in documentation.

Day 3

Legal and Ethical Considerations

Legal Frameworks for Compliance Investigations
- Overview of national and international compliance regulations.
- Understanding data privacy laws and anti-corruption statutes.
Ethical Considerations in Investigations
- Managing conflicts of interest and maintaining impartiality.
- Ensuring confidentiality and non-retaliation policies.
Avoiding Legal Pitfalls
- Ensuring adherence to labor laws and whistleblower protection.
- Addressing defamation risks and procedural fairness.

Day 4

Reporting and Communicating Findings

Structuring Investigation Reports
- Components of a comprehensive report: background, findings, conclusions, and recommendations.
- Techniques for presenting findings clearly and objectively.
Communicating with Stakeholders
- Tailoring communication for leadership, legal teams, and regulators.
- Addressing sensitive issues while maintaining confidentiality.
Developing Actionable Recommendations
- Linking investigation findings to corrective measures and policy updates.
- Proposing training programs and process improvements.
Workshop: Report Writing Practice
- Participants draft a report based on a case study and receive feedback.

Day 5

Enforcement Actions and Preventive Strategies

Implementing Enforcement Actions
- Types of enforcement: disciplinary measures, policy updates, and regulatory reporting.
- Collaboration with HR and legal teams for enforcement implementation.
Monitoring and Follow-Up
- Tracking compliance with implemented actions.
- Conducting audits to ensure sustained adherence.
Preventing Future Violations
- Developing a culture of compliance through training and awareness.
- Enhancing internal controls and policy frameworks.
Simulation Exercise
- Participants simulate a compliance investigation from initiation to enforcement.
Course Wrap-Up
- Key takeaways and lessons learned.
- Developing a personalized action plan for implementation in participants’ organizations.

Certificates

On successful completion of this training course, GLOMACS Certificate will be awarded to the delegates.
Continuing Professional Education credits (CPE): In accordance with the standards of the National Registry of CPE Sponsors, one CPE credit is granted per 50 minutes of attendance.

Providers and Associations

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Options & Brochure

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Frequently Asked Question

GLOMACS offers both online andperson training options. You can choose from interactive virtual sessions or attend one of our globally locatedperson training courses. The flexibility ensures that learning fits your schedule and preferences.

Yes, GLOMACS provides customized training solutions tailored to meet the specific needs of organizations. We work closely with companies to design bespoke training courses that address their unique challenges and objectives.

Our courses are structured to provide a balanced mix of theory and practical application. They typically include presentations, case studies, group discussions,on activities, and interactive Q&A sessions to maximize learning outcomes.

For detailed information about specific courses, including course content, schedules, and instructors, you can visit our website or contact our customer service team. They will be happy to provide all the information you need to make an informed decision.

You can register for a GLOMACS training course by visiting our website, selecting the course of your choice, and following the simple registration process. You can also contact our support team for assistance with the registration process.

Attending a GLOMACS training course offers numerous benefits, including enhanced professional skills, increased employability,recognized certification, networking opportunities with peers and experts, and the chance to apply practical knowledge directly to your workplace.

GLOMACS is a globally recognized leader in professional training and development, with a reputation for deliveringquality,driven training courses. We offer a broad spectrum of training courses taught by expert trainers, flexible delivery options (both online andperson), and accredited certifications that add real value to your career.

Yes, upon successful completion of any of our training courses, GLOMACS Certificate will be awarded to the delegates. This certificate is a valuable addition to your professional portfolio and is recognized across various industries.

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