RCG201Managing Whistleblowing Program: Legal Aspect and Best Practices

COURSE SUMMARY

This course provides step-by-step guide on how to establish and manage whistleblowing program in a cost-effective way to enhance corporate governance.

COURSE DETAILS

Course Fee SGD 450
Course Duration 1 Day
Course Timing 9:00am - 5:00pm
Course Venue 45 New Bridge Road
SDF Approved NA
Skills Future Credit SGD229 ( CRS-N-0035160)
Upcoming Courses 27 Sep 2019
23 Oct 2019
21 Nov 2019

Establishing a whistle blower program (also known as ethics line) 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 whistle blower program may seem to be a daunting exercise due to the need of careful preparation, implementation and maintenance. This course provides step-by-step guide on how to establish 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.

On completion of this course participants will be:

  • able to set whistleblowing program, know the common mistakes and how to avoid them.
  • able to maintain the whistleblowing program with confidentiality and proper tracking.
  • able to derive dashboard information from whistleblowing hotline for senior management.

1. Overview of Whistleblowing program

  • Trend and regulatory requirements
  • Singapore Code of Corporate Governance requirements

2. Pre-requisite of Whistleblowing Program

  • Management & Audit Committee Sponsor
  • Policy Establishment
  • Confidentiality and Non-retaliation
  • Process, procedures, socialization, training, declaration, annual refresher

3. Key components in Whistleblowing program

  • Hotline (email, phone, text – social media?)
  • Hotline posters, banner, name cards
  • Corporate Code of Conducts
  • Ethic and Compliance Council
  • Investigation Framework & SOP
  • Investigation teams

4. 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

5. First complaint received – So now what?

  • Managing reputational risk in corporate investigation
  • Use of outsource investigator, PI – risk and precaution
  • Following Effective investigation process – that is legal and ethical

6. Setting up Effective Investigation Processes

  • Incident Management & Tracking
  • Investigation Process
  • Investigation Documentation
  • Periodic Reporting
  • Evidence Handling
  • Final Reporting
  • Disciplinary Actions
  • Employee and Media Communication

7. Concluding Investigation & Report Writing

  • Brief understanding on Investigation Techniques (Doc, Data and Dictum)
  • Case closure and reporting
  • Periodic reports to Audit Committee and other stakeholders
  • Auditing of whistleblowing program
  • CFO, Finance Manager, Accountant
  • Chief Compliance and Ethic Officer
  • Internal Auditor, Forensic Auditor
  • Risk Management Officer
  • Human Resource Manager

Presentation, group discussion, case study. Multimedia and template sharing

Kent Hoh

Kent Hoh

Kent Hoh is a prolific trainer in audit, fraud investigation, corporate governance, personal effectiveness, blockchain technology and big data. He has over 20 years’ experience in leading internal audit and forensic investigation functions of MNC in the region and globally. Kent Hoh has also spearheaded several roles in financial management, compliance and corporate governance of technology company. Kent has conducted numerous audit and investigation projects in Americas, Asia and Europe including Singapore, Indonesia, Malaysia, Thailand, India, Pakistan, China, Japan, Australia, New Zealand, Brazil, Hungary, Poland, Italy, Germany, USA, etc. Some of these projects involved hundreds of million dollars fraud scheme and syndicated crimes.

Kent holds a master’s degree in business Admin (MBA), Graduate Diploma in Business, Bachelor of Law (Hons), and a Bachelor of Accounting (Hons). Kent Hoh is also a Certified Fraud Examiner (CFE) and Certified Internal Auditor (CIA). He possesses the qualifications of the UK Chartered Secretary and Administrator (ICSA), Malaysian Institute of Certified Public Accountants (MICPA), Certified Information System Auditor (CISA) and Certified Bitcoin Expert (CBIE).

Kent Hoh has been an active trainer for large corporations, SME and non-profit-organizations such as Institute of Internal Audit (IIA) Singapore, IIA Malaysia, Institute of Singapore Chartered Accountants, Malaysia Institute of Accountants, China IIA, China Enterprise Anti-fraud Alliance, Enterprise Financial Management Association of China. Kent Hoh is also an adjunct lecturer for universities and college in Singapore, Shanghai, Nanjing and Hangzhou, China. As an enthusiast in cryptocurrency and a bitcoin mining farm investor, Kent researched heavily into this revolutionized Blockchain technology. He teaches fundamental blockchain and cryptocurrency at various institutions in China.

Currently, Kent Hoh serves as the Vice President of Internal Audit in an SGX listed company. As a strong believer that knowledge sharing create synergy, Kent is very passionate in sharing his experience. He capitalizes his free time conducting training classes and workshops.

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