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Governance and Compliance

Compliance Investigation and Enforcement

An internal investigation that is poorly run damages the organisation more than the conduct it was meant to examine. This course covers running one properly. Delegates work through investigation planning and scope, evidence gathering and preservation including digital material, interviewing witnesses and subjects, and the handling of privilege, confidentiality and employee rights. Reporting and enforcement follow: findings written to withstand challenge, sanction decisions applied consistently, and the question of self reporting to a regulator. The course addresses the pressure that arises when an investigation implicates someone senior, and how process protects the investigator as much as the subject.

5 day courseRegister NowRequest Proposal

Course objectives

  • Plan an investigation and define a defensible scope
  • Gather and preserve evidence, including digital material
  • Interview witnesses and subjects fairly and effectively
  • Handle privilege, confidentiality and employee rights correctly
  • Write findings that withstand legal and internal challenge
  • Apply sanctions consistently and defensibly
  • Assess whether and when to self report to a regulator

Who should attend

  • Compliance and ethics officers
  • Internal auditors and forensic investigators
  • Human resources and employee relations professionals
  • Legal counsel
  • Risk and security professionals

Course outline

  1. 01Investigation planning, scope and terms of reference
  2. 02Evidence gathering, preservation and chain of custody
  3. 03Digital evidence and its handling
  4. 04Interviewing witnesses and subjects
  5. 05Privilege, confidentiality and employee rights
  6. 06Writing findings that withstand challenge
  7. 07Sanction decisions and consistency
  8. 08Self reporting, regulator engagement and disclosure

Scheduled sessions

Scheduled sessions for Compliance Investigation and Enforcement
DatesVenueFormatPriceRegister
28 September to 2 October 2026Maputo, MozambiqueClassroomUSD 1,325 per delegateRegister Now
9 to 13 November 2026OnlineOnlineR8,500 per delegateRegister Now
23 to 27 November 2026Harare, ZimbabweClassroomUSD 1,325 per delegateRegister Now
14 to 18 December 2026Durban, South AfricaClassroomR19,950 per delegateRegister Now
18 to 22 January 2027Windhoek, NamibiaClassroomR19,950 per delegateRegister Now
25 to 29 January 2027Cape Town, South AfricaClassroomR19,950 per delegateRegister Now

Compliance Investigation and Enforcement

From R8,500

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