Compliance training

The training program of the advanced training course
“Compliance minimum for Russian enterprises”

International compliance principles and ethical standards

Course author:

Ekaterina Yu. Pustovalova, President of International Compliance Services, Russia and CIS Regional Director of International Compliance Association (ICA), FICA.

Course duration: 16 academic hours

Unit topics:

  • The formation of the institution and the discipline of compliance.
    1. Prerequisites, goals of the compliance institution formation. The place of compliance control in the GRC management system. Modern trends in the development of the compliance institution.
  • Coverage of the compliance management system.
    1. The UN Global Compact. Key directions of compliance programs. Methodology of compliance regulation by international organizations in the areas of AML/CFT, anti-corruption and anti-bribery, countering transactions with insider information. ISO standards of the management systems class.
  • Key elements in building a compliance management system.
    1. Key aspects of building a compliance management system. Compliance control. Internal audit. Regulatory requirements.
  • Documented information.
    1. Local regulations of the organization on compliance management, compliance control. Management reporting. Documented information. Compliance with requirements by employees of organizations.

 

Relations between business and regulatory authorities and regulators in the Russian Federation

Course author:

Kirill L. Khitrov, lawyer, expert of ANO «Compliance Standard Agency», with 25 years of judicial (arbitration) experience

Course duration: 16 academic hours

Unit topics:

  • Types of legal entities: differences, advantages, disadvantages.
  • Federal Law On State and Municipal Control: types of control, specifics of addressing the issue, protection of the rights of the audited, exceptions to the rules of the Federal Law on State Control
  • Major risks arising from the relationship with regulators; the concept of a regulator; types of regulators, types of regulatory bodies, features of interaction.
  • Legislation on law enforcement agencies and law enforcement intelligence operations: risks for businessmen, the rights of supervisors and law enforcement officers, protection of the rights of businessmen

 

Compliance with the tax legislation of the Russian Federation

Course author:

Olga V. Talalay, tax consultant, certified member of the Chamber of Tax Consultants

Course duration: 16 academic hours

Unit topics:

  • Tax compliance.
    1. The concept of tax compliance
    2. Tax compliance in Russia
    3. Description of a taxpayer
    4. Who definitely needs to implement tax compliance
  • Assessment of tax risks
    1. Determining the tax burden.
    2. The concept of due diligence.
    3. Application of various patterns of work: legal optimization or tax evasion?
  • Tax compliance as a tax management tool.
    1. The economic sense of tax compliance.
    2. Management object
    3. Management methods
    4. Management tools
    5. Management result

 

Financial safety of the organization

Course author:

Elena A. Tsivinskaya, compliance expert in the field of financial planning

Course duration: 16 academic hours

Unit topics:

  • Control over the company’s income and expenditure within the framework of a comprehensive compliance system;
  • Key mechanisms and tools of financial control of the organization;
  • Risk insurance as part of the financial safety of the organization.

 

Verification of counterparties

Course author:

Elena A. Tsivinskaya, compliance expert in the field of financial planning

Course duration: 16 academic hours

Unit topics:

  • Counterparty verification and due diligence as part of the organization’s compliance system;
  • Basic principles of due diligence;
  • A list of requests, necessary and sufficient for due diligence.

 

Compliance with AML/CFT requirements

Course author:

Sergey G. Mazov, forensic expert, specialist in corporate and economic security
Denis A. Martynyuk, tax consultant.

Course duration: 16 academic hours

Unit topics:

  • AML/CFT basic provisions;
  • Compliance cases under AML/CFT;
  • Digital analysis and risk management of AML/CFT;
  • Legal ways to get money out of an organization;
  • Disputes with banks;
  • Case law and protective tariffs.

 

Compliance with personal data protection legislation

Course author:

Kirill L. Khitrov, lawyer, expert of ANO «Compliance Standard Agency», with 25 years of judicial (arbitration) experience

Course duration: 16 academic hours

Unit topics:

  • The concept and content of personal data.
  • Classification of personal data in the legislation of the Russian Federation.
  • The relevance and importance of personal data protection in the economic activities of enterprises.
  • Personal data protection means.
  • Principles for the organization of personal data protection.
  • Personal data protection tools.
  • Technical means of personal data protection and certification thereof.

 

Compliance with trade secrets protection legislation

Course author:

Kirill L. Khitrov, lawyer, expert of ANO «Compliance Standard Agency», with 25 years of judicial (arbitration) experience

Course duration: 16 academic hours

Unit topics:

  • The Law On Trade Secrets: the concept of information constituting a trade secret, methods of protection, features of disciplinary, administrative and criminal liability for violations of trade secrets
  • Practical implementation of measures to protect trade secrets, features of law enforcement practice and ways of effective protection
  • Review of technical means of protecting trade secrets, the issue of protecting information distribution channels and protecting the privacy of employees.

 

Compliance with labor legislation (organization of staff)

Course author:

Anna O. Gracheva, General Director of ISC “BUSINESS STANDARDS” LLC. Practical experience in the labor relations for more than 15 years. Certified personnel auditor, author of lectures and webinars on labor relations at the Moscow Chamber of Commerce and Industry. An external expert of the “HR Director” magazine.

Course duration: 16 academic hours

Unit topics:

  • Risks in formalizing labor relations and compliance as a way to mitigate them;
  • Employment of the organizations’ chief executives;
  • Local regulations;
  • The employment procedure;
  • Remote work;
  • Vacations and days off;
  • Working hours;
  • Occupational safety;
  • The dismissal procedure.

 

Compliance with health and safety legislation

Course author:

Taras A. Tkachenko, more than 20 years of expert experience in the occupational and fire safety (including concurrently with the fire service), in April 2014, after the Republic of Crimea joined the Russian Federation, he was one of the first to participate in the retraining of experts and specialists of the Republic of Crimea on the legislation of the Russian Federation in the occupational and fire safety.

Course duration: 16 academic hours

Unit topics:

  • The main legislative acts in the occupational safety;
  • The employer’s duty to ensure secure environment and occupational safety for employees in the course of their work;
  • Duties of employees on labor protection;
  • Special working environment assessment;
  • Occupational health and safety management system in the company;
  • Assessment and management of professional risks.
  • Main causes of occupational injuries.

 

Compliance with the anti-corruption legislation of the Russian Federation

Course author:

Svetlana V. Snezhko, PhD in Sociology Head of the Compliance of Sitronicsgroup

Course duration: 16 academic hours

Unit topics:

  • Review of anti-corruption legislative acts.
  • Features of business regulation in connection with the development of anti-corruption legislation; business and anti-corruption in the Russian Federation, business and anti-corruption under foreign legislation.
  • Review of the most significant cases with regard to violations of anti-corruption legislation requirements in recent years by businessmen: development trends, practice, consequences for business.
  • Anti-corruption expertise: the concept, features of regulation, institution development perspective, benefits for business structures.

 

Compliance with the competition legislation of the Russian Federation

Course author:

Maria V. Soytu, lawyer, expert of ANO «Compliance Standard Agency» in the field of corporate, antitrust, administrative law. Author of scientific publications on real estate. Speaker of research-to-practice conferences of teachers, doctoral students and postgraduates. General legal practice for more than 17 years, with participation in more than 250 trials.

Course duration: 16 academic hours

Unit topics:

  • The procedure for cases of violation of competition legislation.
    1. The rules for dealing with cases of violation of competition legislation.
    2. The balance between the Code of the Russian Federation on Administrative Violations and Federal Law No. 135.
    3. Relevant issues in the consideration of the cases of violation of competition legislation.
    4. Features of the consideration of the cases on violations of the public procurement rules.
    5. Issuing mandatory instructions to eliminate violations as a control over competition legislation compliance.
    6. Types of mandatory instructions.
    7. Consequences of non-compliance with mandatory instructions.
    8. Problematic issues of appealing decisions and instructions of the competition authority out of court.
  • Group of persons.
    1. the concepts of “group of persons” and “control”. Relations between the concept of “group of persons” and other similar legislative concepts.
    2. disclosure of a group of persons and registration of the list of persons belonging to the group.
    3. Consequences of including a person in a group of persons.
    4. How to identify the agreement on intra-group transactions of economic concentration.
  • Responsibility for violation of competition legislation.
    1. Types of sanctions for violation of competition legislation. New sanctions: warnings and cautions. Instructions issued by the competition authority.
    2. The balance between the recovery of illegal income and a turnover-based fine.
    3. Types of administrative penalties for antitrust offenses.
    4. The practice of calculating and applying turnover-based fines.
    5. Mitigating and aggravating circumstances.
    6. The program of relief from administrative punishment.
    7. Recognition of transactions as invalid and other claims as consequences of violation of competition legislation.
    8. Forced splitting or spin-off.
    9. Criminal liability for violation of competition legislation.
  • Mechanisms for protecting the rights of legal entities and individual entrepreneurs.
    1. Prospects of legislation change.
    2. The 5th antitrust package.
    3. The practice of applying individual private antitrust lawsuits under current legislation.
  • Advertising Act.

 

Compliance with the intellectual property legislation of the Russian Federation

Course author:

Oksana I. Ivashchenko, patent attorney of the Russian Federation, Eurasian patent attorney, forensic expert, IP rights lawyer. Work experience in the intellectual property since 1995.

Course duration: 16 academic hours

Unit topics:

  • Intellectual Property (IP). Basic concepts.
    1. The notion of intellectual property. Advantages of intellectual property protection for small innovation businesses. Copyright and industrial property. Intellectual property items. The concept of an exclusive right.
  • Basic items of intellectual property
    1. Inventions. Utility models. Industrial designs. Trademarks. Trade names. Business names Computer program. Database, know-how. What patent gives. Consequences of patent acceptance refused. What trademark registration gives and the consequences of refusal of trademark registration.
  • How to obtain legal protection of IP in Russia.
    1. The Federal Intellectual Property Service (Rospatent) is a body for the examination and registration of rights, the issuance of patents and certificates. Institute of patent agents. The patent system is the basis for creating industrial property rights. Documents for the patent application, trademark registration, computer programs.
  • How to obtain legal protection of IP abroad.
    1. Why we need legal protection of IP abroad. National application procedure. Regional application procedures. International application procedures.
  • Licensing of intellectual property is the key element of the development strategy
    1. License agreement (the concept of an exclusive, non-exclusive license). Franchise agreement A contract for granting the right to use know-how. Royalties. Lump-sum payments.
  • Intellectual property rights protection in case of violation thereof.
    1. What to do if you receive a claim from the right holder concerning patent or trademark infringement. Patent examination. Revocation of a patent or trademark in the Chamber for Patent Disputes. What to do if your rights are violated. Unfair competition: protection in the FAS, in the intellectual property rights court.
  • Advantages of intellectual property protection for small innovation businesses.
    1. Intellectual property as an asset of a small business. Intellectual property as a fund-raising resource for a small business.

 

Examination of the company by open sources in the Russian Federation

Course author:

Elena A. Tsivinskaya, compliance expert in the field of financial planning

Course duration: 16 academic hours

Unit topics:

  • What open sources can be used to verify the company?
  • How do counterparties and government agencies regard the company?
  • What systems of risk assessment (expertise) prevail?
  • How to improve the external image of the company.

 

International principles of responsible business conduct

Course author:

Antonina D. Levashenko, Head of Russia-OECD Center RANEPA, senior researcher at the Institute of International Economics and Finance of the Russian Foreign Trade Academy, member of the Working Group on Developing Standards for Responsible Business Conduct of the BRICS Development Institutes, member of the Advisory Group on Responsible Business Conduct in the Financial Sector of the OECD
Ivan S. Ermokhin, Deputy Head of Russia-OECD Center RANEPA, research assistant at the Institute of International Economics and Finance of the Russian Foreign Trade Academy
Olga S. Magomedova , expert of the Center for Responsible Business Conduct of the Russian Foreign Trade Academy, analyst of the Institute of International Economics and Finance of the Russian Foreign Trade Academy

Course duration: 16 academic hours

Unit topics:

  • Responsible Business Conduct Standards of OECD: the notion, purpose of development, who implements them, advantages of the implementation of the standards;
  • Standards implementation procedure: how it is organized according to the OECD guidelines and what biases of companies prevent implementation;
  • Due diligence under OECD standards: the notion, how it works, why it is relevant for all companies, not just for those with long supply chains from Africa, why interested parties are involved;
  • Reporting under Responsible Business Conduct Standards: how to systematize information on non-financial activities of the company, and what it gives.

 

Optional lecture: Diplomatic ceremonial and protocol in relation to business practice

Lecturer:

Andrey V. Smaga, Envoy Extraordinary and Plenipotentiary of the 2nd class (retired), with extensive experience in the system of the Ministry of Foreign Affairs and its foreign institutions (Head of the Interests Section of the Russian Federation of the Embassy of the Swiss Confederation in Georgia in 2008–2015, awarded a number of state and departmental awards).

Course duration: 16 academic hours

Unit topics:

  • Preparation and holding of official events (visit, reception, business or informal meeting, negotiations).
  • Official correspondence.
  • General principles of communication with partners.

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