Identifying Red Flags in Ethics and Compliance Programs – Part 2

As international legislation tightens and enforcement grows more aggressive, corporate anti-corruption non-compliance presents severe financial, operational, and reputational risks. Beyond criminal penalties and hefty fines, compliance failures compromise public infrastructure, erode societal trust, and damage national security. Building an effective ethics and compliance program requires proactive board oversight, assigning clear operational accountabilities, updating controls against emerging cyber and financial risks, and establishing a values-centered enterprise culture.

This webinar outlines practical tools and diagnostic frameworks to establish robust compliance controls and recognize operational red flags across global business operations. It details specific indicators of corrupt third-party practices, accounting recordkeeping violations, sanctions and export control breaches, and anti-money laundering or terrorist financing risks.

Key Topics Discussed:

• Strategies for establishing a robust, values-centered ethics and compliance program

• Defining board and executive oversight responsibilities to reinforce "tone at the top"

• Evaluating CEO leadership, moral character, and communication skills in driving compliance

• Establishing effective risk assessment, board reporting, and monitoring processes

• Updating internal controls and compliance policies to address emerging cyber and third-party risks

• Red flags for corrupt business practices and third-party/vendor misconduct

• Accounting and recordkeeping red flags, including vague entries, off-the-books funds, and false invoicing

• Red flags for export controls, international sanctions, and suspicious product shipping routes

• Red flags for anti-money laundering (AML), illicit funds, and counter-terrorist financing (CTF)

• Establishing non-retaliation policies and consistent disciplinary enforcement across global operations