Duration 3 days – 21 hrs
Overview
This training course equips participants with essential knowledge of regulatory requirements, corporate ethics, and best practices for compliance within organizations operating in the Philippines. It covers key regulatory bodies, legal expectations, risk management principles, and ethical decision-making frameworks. Participants will learn how to comply with company policies, avoid violations, protect organizational integrity, and maintain high ethical standards in daily operations.
Objectives
- Understand core regulatory frameworks and compliance requirements in the Philippines.
- Recognize the role of ethics and integrity in business operations.
- Identify, prevent, and manage compliance risks.
- Apply ethical decision-making models to workplace scenarios.
- Understand company policies, reporting procedures, and consequences of non-compliance.
- Promote a culture of integrity, accountability, and responsible conduct.
- Comply with Data Privacy, Anti-Money Laundering, workplace policies, and other relevant regulations.
Audience
- All Employees (general workforce)
- Supervisors, Team Leads, Managers
- Compliance Officers & Risk Officers
- HR, Finance, Procurement, Operations
- New hires undergoing onboarding
- Anyone responsible for regulatory adherence or policy implementation
Pre- requisites
- No strict prerequisites.
- Basic knowledge of company policies is helpful but not required.
Course Content
Module 1: Introduction to Regulatory Compliance & Ethics
- What is regulatory compliance?
- Compliance vs. corporate governance vs. ethics
- Why compliance matters
- Examples of compliance failures in PH and global industries
Module 2: Key Regulatory Bodies in the Philippines
- Bangko Sentral ng Pilipinas (BSP)* (If applicable)
- Securities and Exchange Commission (SEC)
- National Privacy Commission (NPC) — Data Privacy Act (DPA)
- Anti-Money Laundering Council (AMLC)
- Department of Labor & Employment (DOLE)
- Other industry-specific regulators (Insurance Commission, DOE, DICT, etc.)
Module 3: Ethical Standards & Professional Conduct
- Core ethical principles: integrity, transparency, accountability
- Conflict of interest
- Gifts, entertainment & bribery policies
- Workplace ethics & code of conduct
- Responsible use of company resources
Module 4: Legal & Regulatory Requirements (Philippines)
- Data Privacy Act of 2012 (RA 10173)
• Data protection principles
• Rights of data subjects
• Responsibilities of organizations - Anti-Money Laundering Act (AMLA) basics
- Anti-bribery & anti-corruption principles
- Labor compliance & workplace rules
- Record-keeping obligations
Module 5: Compliance Risks & How to Prevent Violations
- Types of compliance risks
- Identifying red flags
- How violations occur (fraud, misconduct, negligence)
- Preventive controls and safe practices
- Real case studies from PH industries
Module 6: Ethical Decision-Making Frameworks
- Decision-making models
- How to evaluate ethical dilemmas
- Balancing compliance vs. business pressures
- Role-playing scenarios
Module 7: Reporting, Escalation & Whistleblowing
- Proper reporting channels
- Zero-retaliation and confidentiality
- When and how to escalate issues
- Documentation and incident handling
Module 8: Creating a Culture of Compliance
- Leadership role in promoting ethics
- Communicating policies effectively
- Accountability and responsibility
- Continuous learning and compliance monitoring
Module 9: Practical Activities
- Case study analysis
- Group discussions on ethical dilemmas
- PH regulatory compliance quiz
- Policy review workshop
Module 10: Action Plan & Next Steps
- Commitment to ethical conduct
- Compliance responsibilities by role
- Personal improvement plan
- How to stay updated with regulatory changes
