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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
6 to 10 September 2026Victoria Falls, ZimbabweClassroomR11,995 per delegateRegister Now
27 September to 1 October 2026Lilongwe, MalawiClassroomR11,995 per delegateRegister Now
5 to 9 October 2026Maseru, LesothoClassroomR11,995 per delegateRegister Now
19 to 23 October 2026Kigali, RwandaClassroomR11,995 per delegateRegister Now
20 to 24 October 2026Victoria Falls, ZimbabweClassroomR11,995 per delegateRegister Now
8 to 12 November 2026Gaborone, BotswanaClassroomR11,995 per delegateRegister Now

Compliance Investigation and Enforcement

From R11,995

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