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Course Compliance and the Company Secretary: Part 1


Compliance is one of the core functions of the company secretary. This new two-part course looks at some of the most important components of the compliance role. This course may be taken on its own or together with Part 2 on the same day.

Part 1 looks at aspects of compliance relevant to both listed and unlisted companies, including updates on any new or recent developments. Its coverage of reporting obligations will however focus particularly on best practice for smaller and medium size companies. Part 2 focuses on compliance issues for listed and quoted (AIM) companies.

The course is aimed at all those engaged in company secretarial work, and those wishing to undertake such work, including existing company secretaries and governance professionals as well as accountants and lawyers.

The course includes some interactive elements, in which you will be encouraged to participate and describe your own experiences relating to the topics under consideration.

What you will learn in Part 1

  • Directors’ statutory duties and the company secretary’s role in securing the observance of such duties
  • Stakeholder engagement and the implementation of appropriate procedures for stakeholder engagement consistent with s.172 of the Companies Act 2006
  • Whistleblowing policies for companies and their boards which meet expectations under current law and practice on whistleblowing (or ‘speaking out’) in the UK
  • Policies and procedures to prevent bribery in line with s.7(2) of the Bribery Act 2010, and the implications of the first contested case under this sub-section in 2018
  • ‘Failure to prevent’ offences and the implications for companies of the Deferred Prosecution Agreement (DPA) procedure
  • Reporting obligations, including strategic reports and reporting of governance arrangements (also covering the application of the Wates Principles for large private companies)
  • Internal audit and its function


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3 hours


Package Price
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Non Member

(Excluding VAT)


Mark CardaleDetails



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