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Conference Presentation (PDF)

Additional Resources

Publication
Compliance Risk Management: Applying the COSO ERM Framework
Download the publication from the COSO website

Complimentary Resource
Access the complimentary support content referenced in the publication. An example of applying the guidance to the management of General Privacy Risk in a Global Organization.
Download the example

 

Session Evaluations

The Relationship Between Enterprise Risk Management, Internal Controls, and Compliance and Ethics Programs

• Understand the relationship between ERM and compliance programs
• Clarify differences and relationships between ERM and compliance related internal controls
• View the compliance risk management process through the lens of the COSO ERM framework

Evaluation

Characteristics of Compliance Programs Applicable to the Governance and Strategy Components of ERM

• Understand how the governance and culture component and the strategy and objective-setting component of the COSO ERM framework relate to compliance risk management
• Identify key characteristics of effective compliance programs applicable to the ERM principles underlying governance and culture component and the strategy and objective-setting components
• Consider how to apply these characteristics to potential compliance risks

Evaluation

Characteristics of Compliance Programs Applicable to the Performance Component of ERM

• Understand how the performance component of the COSO ERM framework relates to compliance risk management
• Identify key characteristics of effective compliance programs applicable to the ERM principles underlying the performance component
• Consider how to apply these characteristics to potential compliance risks

Evaluation

Characteristics of Compliance Programs Applicable to the Review and Revision Component and the Information, Communication, and Reporting component of ERM

• Understand how the review and revision component and the information, communication, and reporting components of the COSO ERM framework relate to compliance risk management
• Identify key characteristics of effective compliance programs applicable to the ERM principles underlying the review and revision component and the information, communication, and reporting components
• Consider how to apply these characteristics to potential compliance risks

Evaluation

Practical Applications of ERM to Compliance Risk Management

• Hear practical tips for applying the ERM framework to compliance risks
• Integrate compliance risk management using the compliance and ethics program methodology with the ERM framework
• Identify and overcome potential obstacles to the integration of the ERM framework with compliance and ethics programs

Evaluation

 

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