Your Guide to Setting Up an Effective Whistle-Blowing Program for Ethical Compliance
Whistleblowing is the disclosure of misconduct within the workplace, which can take on the form of mismanagement, corruption, illegal, unethical or other wrongdoing. Whistleblowing is an essential tool that is necessary within businesses to protect their employees, customers, and their organisation as a whole from these activities. Without proper Whistleblowing policies, a simple mistake can ruin an entire organization and the careers of many professionals. Many industries are now routinely implementing whistleblowing policies and codes of conduct within their workplaces, providing their employees with a clear structure and direction on the procedures as required. A clear whistleblowing policy encourages a culture where wrongdoing can be addressed quickly and potentially before any regulatory action or damage to reputation; A whistleblowing policy can also reinforce to staff the importance of their duty of confidentiality to their firm and clients.
On completion of this course participants will be able to:
- set up a professional and effective whistleblowing program.
- maintain the whistleblowing program that comply with laws and regulations.
- manage whistleblowing cases confidently.
- Understand the key techniques in conducting an internal investigation to whistleblowing cases.
- Enhance corporate governance expectations and information needs from senior management on corporate governance
- gain insights on how to manage the investigation process when allegations come in, conduct ethical follow up investigations and deliver appropriate reporting & disciplinary actions post incident
- Key factors to take into account when reviewing whistleblowing policy including risks, challenges and legal considerations
Step by Step Guide and Review of Whistleblowing System and Regulation
Establishing and enhancing your organization’s whistleblower program to allow employees and other parties to anonymously communicate fraudulent or other inappropriate activity without fear of retaliation has been one of the most effective ways to deter and detect fraud. Setting up a whistleblower program may seem to be a daunting exercise due to the need for careful preparation, implementation and maintenance. This course provides a step-by-step guide on how to establish a whistleblowing program in a cost-effective way to enhance corporate governance. Regulatory requirement, legal risks and considerations surrounding the management of whistleblowing program will also be examined in this course.
Hands On Training on How to Build a Stronger Governance, Risk and Effective Compliance Framework
This course provides a step-by-step guide on how to establish and manage a whistleblowing program in compliance and ways to enhance your organization’s current corporate governance. It aims to provide you with the toolkits to design and establish an effective whistle-blowing program across your organization to deter and detect fraud that is detrimental to your organization.
Who Should Attend?
This highly interactive program is designed for
- business owners, board of directors, CXOs and Senior Managers
- CFO, Finance Manager, Accountant, Chief Compliance and Ethics Officer
- Internal and external auditors who are responsible for the review of procurement processes and activities in civil service or private sector organization
- departmental heads, directors and managers from the department of internal audit, corporate governance, compliance, risk and ethics, financial controller, forensic audit and fraud prevention
- .Business controller, risk manager, governance and compliance manager whose risk management include procurement fraud risks
- HR Managers, Procurement officers and manager who like to implement control within his/ her department
- Forensic auditor, investigator, a senior investigator who investigate procurement fraud
- Internal audit manager, an audit director and chief internal audit officer who like to gain an overview of and manage procurement fraud risks within the audit universe
Mr Kent Hoh, Certified Fraud Examiner (CFE) and a Certified Information Systems Auditor (CISA). LLB (University of London)
Kent holds an MBA, Bachelor of Law (LLB) the University of London, and a Bachelor of Accounting (Hons). He is a Certified Fraud Examiner (CFE) and Certified Internal Auditor (CIA). He also passed the qualifications exams of the UK Chartered Secretary and Administrator (ICSA), Malaysian Institute of Certified Public Accountants (MICPA) and Certified Information System Auditor (CISA).
Kent Hoh is currently serving as Vice President of Internal Audit in a company listed in SGX. He is an audit, fraud investigation, corporate governance expert and has wide-ranging experience in leading compliance and audit functions in the Asia Pacific as well as forensic investigation team globally. Mr Kent Hoh conducted various successful projects in Singapore, Indonesia, Malaysia, India, China, Japan, Australia, New Zealand, Brazil, Hungary, Poland, etc. Several of the projects involved multi-million dollars’ scheme and made headlines locally. With insights from extensive compliance consulting work across Asia, Mr Kent Hoh will present current legal frameworks, concepts, and tools that examine the best practices used by leading organizations today in establishing their whistle blowing program.
“Kent is very knowledgeable and competent”
– participant from MAS
“Practical training, lots of case studies and sharing, Generous sharing and lots of practical insight
– Member of IIA Malaysia
- Overview of Whistleblowing program
- Trend and regulatory requirements of whistleblowing program in Singapore
- Singapore Code of Corporate Governance requirements
- Pre-requisites of Whistleblowing Program
- Management & Audit Committee Sponsor
- Policy Establishment
- Confidentiality and Non-retaliation
- Process, procedures, socialization, training, declaration, annual refresher
- Key components in Whistleblowing program
- Hotline (email, phone, text – social media?)
- Communications posters, banner, name cards
- Corporate Code of Conducts
- Ethic and Compliance Council
- Investigation Framework & SOP
- Investigation teams
- Legal aspect of whistleblowing program and investigation framework
- Differentiating Internal aspect and External dimension of legal risk
- Risk at Company level & Risk at Employee level
- Impact of PDPA on whistleblowing program
- Consideration on Defamation Law in whistleblowing program
- Understanding basic law on evidence, employee safety and negligence in investigation
- First complaint received – So now what?
- Managing reputational risk in corporate investigation
- Use of outsourced investigator – risk and precaution
- Following Effective investigation process – that is legal and ethical
- Setting up Effective Investigation Processes
- Incident Management & Tracking
- Investigation Process
- Investigation Documentation
- Periodic Reporting
- Evidence Handling
- Final Reporting
- Disciplinary Actions
- Employee and Media Communication
- Concluding Investigation & Report Writing
- Brief understanding on Investigation Techniques (Documents, Data and Dictum)
- Case closure and reporting
- Periodic reports to Audit Committee and other stakeholders
- Auditing of whistleblowing program