Compliance Enforcement Case Studies

Field: Auditing | Delivery Method: Self Study | CPE Hours: 1.0

Internal audit and compliance perform similar, but distinct functions. Both groups need to work together to help ensure compliance with the most important laws and regulations and help organizations avoid significant fines, penalties, and repetitional risk. As part of your risk assessment procedures, you need to be scanning what's happening to other organizations and where governments are focusing enforcement actions.


I discuss recent compliance enforcement actions (case studies) with Matt Kelly and show how recent compliance issues that led to enforcement actions and penalties by the US government can also apply to your organization. Learn from the mistakes of others, so your organization doesn't have to experience the same risk.

Matt Kelly is the editor of Radical Compliance. You can learn more and sign up for his Friday newsletter at: http://www.radicalcompliance.com/


Field: Auditing
CPE: 1
Delivery Method: Self-Study
Format: Audio


Your Instructor


Jason Mefford
Jason Mefford

Jason Mefford is a rock star in internal audit, risk management and compliance. He typically works with Chief Audit Executives (CAE), Audit Committee (AC) members, and professionals in audit, risk and compliance with the technical and soft-skills needed to navigate the land mines of organizations. He takes complicated, confusing & hard things, makes them practical, proactive & simple to improve learning and transformation.


He's been a Chief Audit Executive, Chief Risk Officer, Chief Ethics and Compliance Officer, Chief Information Security Officer, Board Member, and has trained and consulted organizations all over the world. He is a thought leader in all things governance, risk and compliance (GRC) and internal audit, and is the recipient of multiple awards including:


  • Rising Star in Corporate Governance from Yale University
  • Rising Star in Corporate Governance Award (Finalist) from Corporate Secretary Magazine
  • Thought Leader of the Year (Finalist) from The National Association of Experts, Writers & Speakers
  • Fellow from the Open Compliance & Ethics Group (OCEG) Think Tank


You can learn more about him at: https://www.jasonmefford.com and join him in the Audit Leader Forum™ at: https://bit.ly/AuditLeader


Course Curriculum


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