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Converging Ethics, Governance, and Culture

Gain insight on how to audit ethics and business conduct in your organization

The United States has witnessed two sweeping pieces of legislation in less than a decade, the Sarbanes-Oxley Act and the Dodd-Frank Act. Moreover, far-reaching international laws such as the UK Bribery Act have a broad impact to global organizations. Time will tell if these forces of law will restore fundamental confidence in global social and economic systems, however one thing is for sure – the quality of the ethics and compliance system will be a relevant factor when judging the good faith and the fiduciary duties of an organization’s leadership and management.

Learning objectives:

  • Gain insight on how to drive initiatives for transparency, accountability, and risk oversight that support the Directors, Officers, and Agents fiduciary duties of care, loyalty, and prudence.
  • Gain insight into how to audit ethics and business conduct and develop an early warning system to detect and respond to "yellow flags."
  • Learn methods to quickly identify non-compliance, deficiencies, weaknesses, mismanagement, fraud, and corruption.

Areas covered in this training:

  • Introduction to cultural risk
  • Case studies on ethics
  • The relationship between values, principles, and ethics
  • Fiduciary duty and board oversight
  • Governance system elements
  • Assessing the quality of an Ethics Compliance system

Who will benefit:

  • Corporate Directors
  • Corporate Officers
  • Fraud & Forensic professionals
  • Audit professionals
  • Risk professionals
  • Compliance professionals
  • Legal professionals
  • Ethics professionals
  • Governance professionals
  • Finance and Accounting Professionals


This is a previously recorded 2 hour AuditNet® webinar with Jim Kaplan and Michael Brozzetti


Your Instructor


Jim Kaplan CIA CFE
Jim Kaplan CIA CFE


AuditNet® is the Global Resource for Auditors, and serves the global audit community as the primary communications resource with an online digital network where auditors share resources, tools, and experiences including audit work programs and other audit documentation.

As the first online portal for the global audit community, AuditNet® has been at the forefront of audit websites dedicated to promoting the use of technology. http://www.auditnet.org/

Jim Kaplan, the founder of AuditNet®, became a Certified Internal Auditor in 1984. He has continuously promoted and encouraged the use of technology and the Internet for audit productivity.

As an active member of the IIA, he has held many positions at the local and International level. He is a founding member of the Northern Virginia Chapter and served as Chapter President in 1989. He retired from his government audit director position in 2005. He is the founder and President of AuditNet®, the global resource for auditors, and has been identified as an Internet for Auditors pioneer. Jim's contributions to the profession were recognized by the IIA (2007 Bradford Cadmus award) and the Association of Local Government Auditors (Lifetime Achievement Award). In addition to the IIA, he is a member of the Association of Local Government Auditors and the Association of Certified Fraud Examiners.


Class Curriculum


  Video Lecture
Available in days
days after you enroll

Frequently Asked Questions


When does the course start and finish?
The course starts now and never ends! It is a completely self-paced online course - you decide when you start and when you finish.
How long do I have access to the course?
How does lifetime access sound? After enrolling, you have unlimited access to this course for as long as you like - across any and all devices you own.
What if I am unhappy with the course?
We would never want you to be unhappy! If you are unsatisfied with your purchase, contact us in the first 30 days and we will give you a full refund.

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