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Магистратура 2020/2021

Антикоррупционный комплаенс и этика в корпоративном секторе

Лучший по критерию «Полезность курса для Вашей будущей карьеры»
Лучший по критерию «Полезность курса для расширения кругозора и разностороннего развития»
Лучший по критерию «Новизна полученных знаний»
Направление: 40.04.01. Юриспруденция
Когда читается: 1-й курс, 2, 3 модуль
Формат изучения: с онлайн-курсом
Прогр. обучения: Комплаенс и профилактика правовых рисков в корпоративном, государственном и некоммерческом секторе
Язык: английский
Кредиты: 4

Course Syllabus

Abstract

Due to the efforts of the UN and the OECD the international system of combating corruption was gradually formed. Not only public but also private sector is more and more involved in this process. During the last 12 years Russia has enacted legislation to implement provisions of the UN and the OECD conventions. Harmonization of anti-corruption laws and regulations, developing compliance standards and guidelines for business sector are important preconditions for cooperation, integration and investment protection. Anti-corruption compliance become an important part of the system of anti-corruption measures in many countries. More and more companies in various jurisdictions implement the concept of compliance beyond the law and develop anti-corruption compliance programmes based on ethical principles and values. The main objective of the proposed course is to familiarize students with norms of international law, norms of Russian and foreign legislation, standards and guidelines in the field of anti-corruption compliance. They will also receive practical skills for designing and implementing anti-corruption compliance programmes in companies based on applicable laws, corporate principles and values. The target audience is both students of the Master’s Program “Compliance and Legal Risk Prevention in the Corporate, Public and Non-Profit Sector” and foreign exchange students. The course is taught in English.
Learning Objectives

Learning Objectives

  • The course main objectives comprise: analyzing general concepts of preventing and combating corruption; study of the main international conventions on countering corruption; study of the main international standards and guidance on anti-corruption compliance (OECD, ICC, ISO, FATF) enhancing students’ skills of application of international and national legal norms in the fields of preventing and combating corruption; extending skills required for designing and implementing anti-corruption compliance programmes in companies.
Expected Learning Outcomes

Expected Learning Outcomes

  • Has deep knowledge on modern corruption, can use legal terminology and definitions.
  • Has deep knowledge on typologies of corruption offences, can use legal terminology and definitions.
  • Has deep knowledge on anti-corruption measures, can use legal terminology and definitions.
  • Has deep knowledge on incentives to implement anti-corruption compliance, can use legal terminology and definitions.
  • Has deep knowledge on anti-corruption compliance guidelines and on the use of guidelines for designing compliance programmes.
  • Has deep knowledge on anti-corruption laws that have extraterritorial application.
  • Has deep knowledge on ethical principles and values and their role in anti-corruption compliance.
  • Has deep knowledge on an anti-corruption compliance and practical skills in designing and implementing an anti-corruption compliance programme.
  • Has deep knowledge on anti-corruption management system and functions of an anti-corruption compliance officer
  • Has deep knowledge on due diligence and practical skills in conducting due diligence.
  • Has deep knowledge on risk management and practical skills in risk assessment and mitigation.
  • Has deep knowledge on conflict of interests.
  • Has deep knowledge on anti-corruption policies on gifts and hospitality and charitable donations.
  • Has deep knowledge on reporting misconduct and skills in managing hot lines.
  • Has deep knowledge on internal investigations and addressing violations, can use plan and conduct investigations.
  • Has deep knowledge on monitoring, review and evaluation an anti-corruption compliance programme.
Course Contents

Course Contents

  • Modern corruption
    1. Distinctive features of modern corruption. 2. Negative impact of corruption. 3. Corruption and transnational organized crime. 4. Corruption and money laundering. 5. Corruption and international terrorism.
  • Typologies of corruption offences
    1. Corruption offences in international conventions. 2. Corruption offences in domestic laws. 3. Involvement of companies in corruption offences. 4. Specifics of typologies in the Eurasian region.
  • Anti-corruption compliance in the system of anti-corruption measures
    1. The system of anti-corruption measures. 2. Anti-corruption measures in public sector. 3. Anti-corruption measures in private sector. 4. The role of anti/corruption compliance.
  • Rational for an anti-corruption compliance programme
    Moral incentives. Legal incentives. Market incentives. Collective Action against corruption.
  • International anti-corruption compliance standards and guidelines
    1. Overview of anti-corruption compliance standards and guidelines. 2. International and domestic standards and guidelines. 3. General and specific standards and guidelines. 4. Standards and guidelines for SMEs. 5. Gaps in anti-corruption compliance standards and guidelines.
  • Extraterritorial application of anti-corruption laws
    1.Extraterritorial application of domestic anti-corruption laws as a current trend in combating corruption. 2.The US Foreign Corrupt Practices Act of 1977. 3.The UK Bribery Act of 2010. 4.Anti-bribery policies in private sector under the UK Bribery Act of 2010. 5.French anti-corruption law. 6.The role of the US and the UK anti-corruption laws in the global anti-corruption system.
  • Business ethics. Principles and values
    Business ethics Compliance beyond the law. Principles and values. Ethical dilemmas.
  • Designing and implementing an anti-corruption compliance programme
    1. Ethical and legal framework of anti-corruption compliance. 2. Defining principles and values. 3. Defining applicable laws. 4. Risk assessment. 5. Designing and implementing an anti-corruption compliance programme. 6. Codes of conduct. 7. Anti-corruption compliance programmes. 8. Communicating an anti-corruption compliance programme.
  • Anti-corruption compliance management system
    1. Tone from the top and tone from the middle. 2. Shareholders. 3.Governing body. 4. Top management. 5. Anti-corruption compliance function. 6. Anti-corruption compliance officer. 7. Anti-corruption clause.
  • Due diligence
    1. Due diligence function in company. 2. Collecting and analyzing data 3. Initial due diligence 4. Standard due diligence 5. Enhanced due diligence 6. Ongoing due diligence 7. Identification of suspicious transactions
  • Risk management
    1. Definition of risk and risk categories. 2. Risk assessment 3. Risk mitigation 4. Use of IT-solutions for risk management
  • Conflict of interests
    1. Definitions of conflict of interests. 2. Policy on conflict of interests. 3. Identification of conflict of interests 4. Addressing conflict of interests.
  • Gifts and hospitality. Charitable donations
    1. Policy on gifts and hospitality. 2. Cultural specifics. 3. Exceptional situations. 4. Policy on charitable donations. 5. Selection process. 6. Reporting and control mechanisms.
  • Reporting misconduct. Hot lines
    1. Reporting channels. 2. Reporting misconduct. 3. Reporting bribery solicitation and other urgent reporting. 4. Hot lines. 5. Protection of whistleblowers.
  • Internal investigations. Addressing violations
    1. Internal investigations. 2. Planning an internal investigation. 3. Collecting data. 4. Addressing violations. 5. Duress payments.
  • Monitoring, review and evaluation
    1. Rational for monitoring, review and evaluation. 2.. Conducting monitoring, review and evaluation. 3. External verification and assurance. 4. Benchmarking.
Assessment Elements

Assessment Elements

  • non-blocking Attendance, active participation and in-class discussion. Online.
    Each student is expected to attend all the sessions having read and thought about the assigned material, including the questions and any problems in the text which are assigned, and actively participate in class discussions, ask questions and make analytical comments about the readings. Students may be called at random to answer particular questions. Online.
  • non-blocking Written homework
    Students will write a paper on topics proposed by a lecturer.
  • non-blocking Written Exam. Online.
    Students will write a test consisting of 10 questions.
Interim Assessment

Interim Assessment

  • Interim assessment (3 module)
    0.2 * Attendance, active participation and in-class discussion. Online. + 0.6 * Written Exam. Online. + 0.2 * Written homework
Bibliography

Bibliography

Recommended Core Bibliography

  • Field, A. (2017). ISO 37001 : An Introduction to Anti-Bribery Management Systems. ITGP.

Recommended Additional Bibliography

  • United Nations Convention Against Corruption (Treaty doc. 109-6) : report (to accompany Treaty doc. 109-6). (2006). [Washington, D.C. : U.S. G.P.O., 2006.