Ethical Business Conduct and Regulatory Compliance Training Course

Course overview

Ethical conduct and regulatory compliance are closely linked, yet they are often treated as separate concerns. This course brings the two together, showing how a clear code of conduct, sound governance, and a well-run compliance program reinforce each other and protect an organization from legal, financial, and reputational harm.

Across five units, delegates examine how ethical standards are set, how regulatory obligations are met, and how integrity becomes part of daily behavior rather than a set of rules kept in a drawer. The content draws on recognized frameworks such as ISO 37301 compliance management systems and the three lines of defense model, so that principles are grounded in the tools organizations actually use.

Why this matters today

Regulators, investors, and the public now expect organizations to demonstrate, not just assert, that they behave ethically and comply with the law. Enforcement actions, disclosure requirements, and public scrutiny have raised the cost of getting this wrong, and the "tone at the top" set by senior leaders is increasingly viewed as evidence of whether a compliance culture is genuine.

Building that credibility depends on connecting ethical intent to practical controls, from conflict-of-interest management to regulatory reporting obligations. For a closer look at how written policies translate into operating practice, the Regulatory Compliance and Policy Implementation course is a useful companion to the themes explored here.

What you will be able to do afterwards

By the end of the course, participants will be able to:

• Interpret a code of conduct to guide everyday decisions.
• Design a compliance management system aligned to ISO 37301.
• Trace applicable laws and regulatory reporting obligations.
• Apply a structured ethical decision-making framework to dilemmas.
• Identify conflicts of interest and manage their disclosure.
• Map the three lines of defense: ownership, oversight, and assurance.
• Shape a values-based culture of integrity beyond rules.
• Reinforce standards through leadership example and recognition.
• Structure hiring, performance, and reward decisions around ethics.

Course outline

Unit 1: Foundations of ethical business conduct

• The purpose and content of a code of conduct.
• Honesty, fairness, transparency, and accountability.
• The role of ethics training and periodic attestations.
• How tone at the top shapes whether values are believed.

Unit 2: Regulatory compliance frameworks

• Compliance management system aligned to ISO 37301.
• Identifying laws, regulations, and reporting obligations.
• Policies, procedures, and controls for daily practice.
• Monitoring, testing, and recordkeeping for obligations.

Unit 3: Managing ethical risks and dilemmas

• Ethical reasoning in structured and unstructured problems.
• Conflict-of-interest: disclosure, review, and mitigation.
• Pressure points: gifts, hospitality, and third parties.
• Speak-up channels and non-retaliation for raising concerns.

Unit 4: Governance, accountability, and oversight

• The three lines of defense and differing responsibilities.
• The board and senior management role in oversight.
• Reporting lines for the compliance function's independence.
• Metrics and reporting on ethics and compliance health.

Unit 5: Building a culture of integrity and compliance

• Moving from rules-based compliance to values-based culture.
• Reinforcing standards through communication and recognition.
• Embedding ethics into hiring and reward decisions.
• Measuring culture to guide continuous improvement.

How the course is delivered

The course is delivered through expert-led discussion, analysis of documented case studies, worked examples, and guided walkthroughs of codes, policies, and governance structures. It is educational in nature and does not constitute legal advice or a compliance or audit opinion; delegates should consult qualified counsel for specific matters affecting their organization.

Who should attend

This course suits international delegates who set, oversee, or apply ethical and compliance standards, including compliance officers, risk and governance professionals, legal and company secretarial staff, internal auditors, and managers responsible for conduct within their teams.

About EuroQuest International Training

EuroQuest International Training, founded in 2015, delivers professional courses to a global audience, with venues including Dubai, London, Barcelona, Istanbul, Vienna, Paris, and Geneva.

Frequently asked questions

Do I need a legal or compliance background to attend?

No. The course explains ethical and regulatory concepts from first principles, so professionals from many functions can follow the material and apply it in their own roles.

Does the course provide legal or compliance advice for my situation?

No. The content is educational and covers named standards and frameworks as subject matter only; it does not provide legal advice or a compliance opinion, and you should consult qualified counsel for specific matters.

Does completing the course certify me as a compliance professional?

No. The course builds understanding of ethical conduct and compliance practice, but it does not provide certification or a professional designation.

Related courses

• Business Ethics and Corporate Responsibility
• Anti-Corruption Laws and Compliance Strategies
• Legal and Regulatory Compliance for Executives
• Ensuring Regulatory Compliance in Global Markets

Register for this course

To reserve a place or request full details on dates and venues, contact the EuroQuest International Training team and secure your booking for this course.