Developing a Compliance and Ethics Training Program

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Course Level
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2 Credits


Organizations have compliance and ethics programs in place to deter and detect fraud, illegality and employee misconduct so the company can protect its legal and financial health. For the programs to be effective, employees must understand its requirements, how to comply and where to find help.

In this course, you will learn about the elements of an effective compliance and ethics training program which include legal compliance, ethical decision-making skills, anti-fraud education and best practices. Additionally, you will learn how to create and assess a compliance and ethics training program.

 Key Takeaways:

  • Methods of assessing your organization’s compliance and ethics risks
  • Benefits and challenges of compliance and ethics training
  • Best practices for planning and administering the training program
  • Methods of effectively assessing your compliance and ethics training program
  • Best practices for developing the training content



You Will Learn How To:

Identify best practices for creating an effective compliance and ethics program, including the U.S. Federal Sentencing Guidelines for Organizations

Recognize common methods of assessing the effectiveness of a compliance and training program

Identify best practices for planning a compliance and ethics training program, developing the training content and administering the training

Recognize basic concepts related to compliance and ethics, including best practices for making ethical decisions

Recall the benefits and challenges of compliance and ethics training

Table of Contents

Chapter 1 Lesson 1: Introduction to Compliance and Ethics
Chapter 2 Lesson 2: Conducting a Compliance and Ethics Risk Assessment
Chapter 3 Lesson 3: Creating a Compliance and Ethics Program
Chapter 4 Lesson 4: The Benefits and Challenges of Compliance and Ethics Training
Chapter 5 Lesson 5: Planning the Training Program
Chapter 6 Lesson 6: Developing the Training Content
Chapter 7 Lesson 7: Administering the Training
Chapter 8 Lesson 8: Assessing the Training Program

CPE Information

This course fulfills the annual ethics CPE requirement for CFEs. Learn more about the ethics CPE requirements for CFEs.
CPE Credit: 2
NASBA Information: Regulatory Ethics
Advanced Preparation: None
Last Updated: May 2023
Delivery Method: QAS Self-Study


CPE Credit

Please note: To be eligible for CPE credit, you must complete the final exam within one year of purchase date. You may only claim CPE credit for a course once.

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System Requirements:

  • Internet access: High-speed connection recommended
  • Speakers required for video sound

The Association of Certified Fraud Examiners, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:


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