Compliance Training

Background and Challenges

In recent years, compliance violations — and in particular the occurrence of fraud and misconduct — have emerged as a serious management challenge for Japanese companies operating in Vietnam. Specific cases occur frequently, such as: - Accepting kickbacks (gifts or commissions) from suppliers - Improperly inflating the price of goods or services and pocketing the difference personally - Legal violations or operational losses caused by carelessness or a lack of awareness - Decision-making that departs from internal controls These acts not only cause direct financial harm to the company but also give rise to serious secondary damage, including reputational decline, disruption to personnel management, and loss of trust among business partners. ■ Typical excuses heard during fraud investigations When investigating misconduct, it is not uncommon to hear the following kinds of explanations from the person responsible: - "Accepting a 'token of appreciation' from a supplier is normal — everyone does it." - "I don't understand why I alone am being asked to pay damages." - "Vietnamese law changes so frequently that I couldn't keep up." - "It's not that I refused to do it — I simply didn't know what I was supposed to do." Such statements reveal the reality that employees often do not fully understand the legal risks and professional obligations attached to their roles. ■ Why does misconduct and non-compliance occur? In many cases, the problem is rooted in structural factors such as: - Insufficient understanding of the law (not clearly knowing what is illegal) - Inadequate internal regulations, or a failure to communicate them - Low ethical or professional awareness - Lack of a checking mechanism within the workflow - An immature compliance culture within the organization In Vietnam in particular, misunderstandings rooted in a "culture of gift-giving" or long-standing customs are frequently seen to trigger acts of misconduct. ■ The need for compliance education Given the circumstances described above, it is essential that employees clearly understand the following, as they relate to their own duties: - What conduct is permissible, and what is prohibited - Where the line between lawful and unlawful conduct lies - The legal liability and risk of damages arising from a violation of law or an act of misconduct - The impact on the company, and the obligations and responsibilities borne by the individual For this reason, there is an urgent need to introduce regular, practice-oriented compliance training aimed at raising employee awareness and building a preventive framework.

Why Clients Choose Us

2.1. A practical approach centered on the Vietnamese employee's perspective Our training program emphasizes compliance education centered on the employee, rather than on the company as an institution. It focuses on the legal and ethical risks that Vietnamese employees are likely to encounter in their day-to-day work, and is designed to shift mindsets so that employees can judge for themselves what is permissible and what constitutes a violation. Rather than a training that forces compliance, this program is designed to build the motivation to want to comply of one's own accord. 2.2. Fully bespoke program design The training content is fully customized to reflect each client's actual circumstances. - A preliminary interview based on a compliance checklist - Identifying current issues, concerns, and the realities of daily operations - Understanding the organization's culture and operating structure - Designing content appropriate to the level of management and general staff Based on this information, we build a bespoke training program exclusively for your company. Rather than theory alone, we combine realistic, practice-based case studies, discussion formats, and group work, producing content that is both easy to understand and applicable on the ground. 2.3. High-quality training delivered by experienced specialists Training is led by specialists and lawyers with extensive practical experience in fraud investigation, internal controls, and building compliance frameworks. Our trainers are fluent in both Japanese and Vietnamese and possess a deep understanding of: - Japanese values and standards - Vietnamese culture and business customs - The psychology and mindset of local employees With this deep understanding, we deliver training in a way that resonates most effectively with both Japanese and Vietnamese participants, ensuring the program is highly effective for each audience. 2.4. Post-training follow-up and building a community of experts Training does not end once the session is delivered. To help our clients continuously maintain and improve their level of compliance, we provide the following support even after the training is complete: - Regular sharing of the fraud cases and legal risks our specialists encounter in their day-to-day work - Distribution of a compliance newsletter - Provision of the latest information on corporate risk management - Access to a support tool allowing easy, ongoing consultation with our specialists at any time Through this, clients remain continuously connected to our community of experts and can keep raising compliance awareness across the entire organization.

Service Details

[Purpose of the Training] This training program is designed for Vietnamese employees working at Japanese companies, with the aim of raising compliance awareness and reducing legal risk. It is built around the following three core objectives: - Equipping employees with fundamental legal knowledge and compliance awareness - Minimizing the legal risks associated with running a business in Vietnam - Building a sound internal compliance culture aligned with the standards of the Japanese head office [Program Structure: 5 Stages in Total] 5 Stages | Training Content | Recommended Duration Fundamentals of Compliance | 1 hour Participants gain a broad understanding of the concept of compliance, why it is necessary for corporate activity, and the basics of risk management. Training content: - "What is compliance?" "Why does it matter?" - Introduction to the compliance checklist and how to prepare one - How to research applicable laws and check for regulatory amendments - The ethical standards of conduct expected within the company Explanation of Laws and Internal Regulations | 2 hours A clear, practice-oriented explanation of the key laws and internal regulations closely relevant to corporate activity. Topics covered: - Anti-bribery and anti-corruption rules - Prohibition of harassment and coercive conduct - Special regulations applicable to specific industries - Work rules and job-related obligations - Compliance standards applicable to business transactions - Rules on information leaks and confidentiality Case Studies and Simulations | 2 hours Using risks that employees commonly face as material, participants deepen their understanding through role-play scenarios modeled on real situations. Training content: - Role-play of violation scenarios Examples: improper gift-giving, invoice-processing errors, information leaks, conflicts of interest, etc. - Training on the appropriate response and reporting procedures - Can be customized by department or by company Risk Identification | 1.5 hours Analysis of each department's workflow to identify points where risk may be lurking. Training content: - Department-by-department interviews and workflow review - Identifying where risks arise - Visualizing the points requiring improvement Introducing Compliance Measures | 1 hour An explanation, centered on the internal whistleblowing system, of how to put in place the internal control mechanisms a company should adopt. Training content: - How to operate the reporting procedure and reporting channel - Protection of whistleblowers and measures prohibiting retaliation - Establishing an information-management and confidentiality framework - Provision of sample regulations and operational processes