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You are here : Resources  >  Resource Overview  >  Past Conference Handouts  >  Compliance & Ethics Institute  >  2016  >  sunday
Presentations and handouts

2016 Compliance & Ethics Institute

September 25 - 28, 2016 | Sheraton Grand Chicago | Chicago, IL

Sunday | Monday | Tuesday | Wednesday | CEU application | Conference Brochure

SUNDAY | Pre-Conference

SESSION

SPEAKER


Pre-Conference Morning Breakout Sessions

9:00 am – 12:00 pm (includes 15 minute break)


Did you miss a session?

Was there a session you really wanted to attend? Purchase session recordings here.

 Risk back to top

P1: Ethics & Compliance Risk Management 101: Program Essentials and Effective Practice

  • Gain a deeper understanding of the basic roles, resources and fundamentals necessary to facilitate and manage an effective ethics and compliance risk management program.
    Explore the challenges, planning considerations and strategic solutions for implementing and leading effective ethics and compliance risk assessment processes.
    Consider outcomes derived from basic risk assessment findings and explore opportunities to use this valuable information to prioritize and build strategic plans for effective
  • management and mitigation.

Presentation (2 slides/page)
Presentation (3 slides/page)

Handout

Greg Triguba, Senior Practice Leader, Ethics, Compliance and Risk, Affiliated Monitors, Inc.

Caroline McMichen, Chief Ethics & Compliance Officer, Molson Coors Brewing Company

 Ethics back to top

P2: Ethics and Compliance Training from A to Z: How to Create Outstanding Programs in 2016

  • Comprehensive review of all basic presentation skills necessary to provide outstanding and memorable live ethics and compliance training. Leave the session with a new mastery of these critical professional skills.
  • Enrich your knowledge of how to present both short briefings and longer training sessions. Learn to read an audience and make them fully engage with your message. Maximize your persuasive speaking abilities in all types of professional communications.
  • New for 2016: Pump-up your presentations with the latest communication ideas and trends involving posture, voice and visual aids used by professional speakers to win over audiences. Learn how to make these work for you and your own speaking style.

Presentation (2 slides/page)
Presentation (3 slides/page)

Greg Walters, Trial Attorney, U.S. Department of Housing & Urban Development

  Case Studies back to top

P3: Leveraging Collaboration and Innovation to Explore Professional Responsibility Challenges by Industry

  • The University of Illinois College of Business/Center for Professional Responsibility in Business and Society partners with industry to create a case study that uses real data in a fictional setting to engage students with real business problems that have professional responsibility and ethical considerations.
  • Learn how students work in interdisciplinary teams that mirror real world business teams and then consult with industry experts over nearly three weeks to prepare interactive presentations that will be judged by industry experts.
  • Experience and hear about the model, learn about the collaboration, and consider duplicating it within your industry and with your favorite college of business!

Presentation (2 slides/page)
Presentation (3 slides/page)

Gretchen A. Winter, Executive Director, Center for Professional Responsibility in Business and Society, University of Illinois at Urbana-Champaign College of Business

Kathryn Rybka, Lecturer of Business Administration, University of Illinois at Urbana-Champaign College of Business

  Multinational/ International back to top

P4: The Changing Landscape of Sanctions and Business Opportunities in Iran, Russia and Cuba

No Presentation Available

Janet Kim, Partner, Baker & McKenzie LLP

  Compliance Lawyer back to top

P5: Criminal, Civil and Administrative Enforcement Developments and Compliance Professionals

  • Federal Principles for Prosecution of Organizations and Individuals and the Consequences for Compliance Professionals
  • Whistleblowers and False Claims Act Liability: Risk and Response
  • Enforcement and Compliance; Strategies for Effective Compliance for Organizations

Presentation (2 slides/page)
Presentation (3 slides/page)

Gabriel L. Imperato, Managing Partner, Broad and Cassel

  IT Compliance back to top

P6: Cyber Threats, Information Security and Compliance: Future Trends and Leading Practices in an Evolving Threat Environment

  • Through scenario role-playing, take on different roles in a cross functional team that must prepare for and respond to cyber incidents and the loss of critical, sensitive corporate information.
  • Learn how to identify and address top vulnerabilities; gain insights into the role of compliance and ethics in cybersecurity and the protection of confidential information.
  • Understand future trends that impact every company’s evolving digital landscape, including the impact on its supply chain and managing insider and third party actions that can impact your organizations approach to enterprise risk management and compliance.

Presentation (2 slides/page)
Presentation (3 slides/page)

Pamela Passman, President and CEO, Center for Responsible Enterprise and Trade, (CREATe)

Craig Moss, COO, Center for Responsible Enterprise and Trade, (CREATe)

  General Compliance and Hot Topics back to top

P7: Compliance 101

  • An in-depth look into the seven elements of an effective compliance program.
  • Understanding the factors to consider when developing and implementing a compliance program.
  • Project and program management techniques, systems and tools that can help leverage your compliance resources.

Presentation (2 slides/page)
Presentation (3 slides/page)

Debbie Troklus, Managing Director, Aegis Compliance and Ethics Center

Sheryl Vacca, Senior Vice President and Chief Compliance & Audit Officer, University of California

  General Compliance and Hot Topics back to top

P8: Leading with Influence

Presentation (2 slides/page)
Presentation (3 slides/page)

Marilyn Gorman, Executive Coach

  Investigations Workshop back to top

P9: Investigations Workshop

Part I: Beginning the Investigation and Interviewing the Reporter

(9:00-10:00 am)

  • Some investigation fundamentals.
  • Gather as much information as possible.
  • Safeguard the integrity of the investigation.

Presentation (2 slides/page)
Presentation (3 slides/page)

Handout 1, Handout 2

Al Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

Latour (LT) Lafferty, Partner, Holland & Knight LLP

Part II: Planning the Investigation

(10:00-11:00 am)

  • Determining the precise allegation you need to investigate.
  • Making your investigation plan.
  • Developing your investigation strategy.

Presentation (2 slides/page)
Presentation (3 slides/page)

Handout

Meric C. Bloch, Principal, Winter Compliance LLC

Part III: Taking Effective Interviews

(11:15 am–12:00 pm)

  • Learn the investigation basics.
  • Know the difference between an interview and interrogation.
  • Documenting your interview.

Presentation (2 slides/page)
Presentation (3 slides/page)

Meric C. Bloch, Principal, Winter Compliance LLC

Lunch

12:00 am – 1:30 pm (on your own)


Pre-Conference Afternoon Breakout Sessions

1:30 – 4:30 pm (includes 15 minute break)

 

Did you miss a session?

Was there a session you really wanted to attend? Purchase session recordings here.

  Risk back to top

P10 Social Media: Risks and Redemption

  • Learn how and where to look for social media risks—and what you’re looking for.
  • Discover best practices for mitigating social media risk and what makes using social media “worth it.”
  • Mini-Workshop: Each attendee will develop a baseline social media policy you can take home, implement, and build upon.

No Presentation Available

Kortney Q. Nordrum, Project Manager, SCCE/HCCA

 Ethics back to top

P11: The ABCs of Ethical Leadership

  • Interactive workshop to guide leaders to a more thorough understanding of ethical values.
  • Learn how to embed ethics through your behaviors and values-based leadership.
  • Effectively connect the dots between ethical knowledge and employee engagement.

Presentation (2 slides/page)
Presentation (3 slides/page)

Jane L. Mitchell, Director, J&M Ltd.

 Case Studies back to top

P12: Strengthening Culture Through Innovative Training

  • Boards, leaders, and even the DOJ and SEC are focused on strengthening cultures of integrity.
  • Most of the standard tools in the Compliance and Ethics Officer toolkit are not highly effective in changing a culture.
  • See how MMC and other leading organizations have created innovative training that addresses core compliance issues and has engaged employees and leaders to think about and strengthen the behaviors that strengthen a high performance culture of integrity.

Presentation (2 slides/page)
Presentation (3 slides/page)

Steven Priest, President, Integrity Insight International

Saira Jesrai, Senior Compliance Officer

 Multinational/ International back to top

P13: Leveraging Your Anti-Bribery Compliance Program to Make Sanctions Compliance Easier

  • The evolving sanctions landscape: Current U.S. sanctions regimes and how to adapt to changes.
  • How existing anti-bribery risk assessment and due diligence processes can be the foundation for sanctions-focused programs.
  • Best practices for training employees on compliance with sanctions regimes.

Presentation (2 slides/page)
Presentation (3 slides/page)

Anne-Marie Zell, Manager, Member & Advisory Services, TRACE International, Inc.

Catherine L. Razzano, Assistant General Counsel & Director, General Dynamics Corporation

Ryan P. Fayhee, Partner, Baker & McKenzie LLP, Former National Export Control Coordinator, National Security Division, US DOJ, Washington, D.C.

Compliance Lawyer back to top

P14: The Legal Risks of Compliance & Ethics Programs

  • How can your compliance and ethics program create legal risks for your company?
  • Are labor and privacy laws being misused to undercut corporate self-policing?
  • What can you do to protect your company?

Presentation (2 slides/page)
Presentation (3 slides/page)

Joseph E. Murphy, Senior Advisor, Compliance Strategists

  IT Compliance back to top

P15: The Future of IT Compliance... and How to Plan for IT

  • Market trends and technological developments such as artificial intelligence are rapidly changing the IT landscape.
  • Building on some case studies, we will explore the likely future demands, next practices, and techniques for IT compliance programs in the future.
  • Learn how organizations can start adapting now to best future-proof their investments in IT compliance.

Presentation (2 slides/page)
Presentation (3 slides/page)

John DeLong, Berkman Center for Internet & Society, Harvard University

 General Compliance and Hot Topics back to top

P16: Speed Events

SpeedNetworking (1:30 - 2:30 pm)

Additional Separate Registration required www.complianceethicsinstitute.org/speedmentors A series of quick introductions to the types of people you’ve indicated you want to meet with via the online registration process, making it an efficient way to quickly connect with peers who share your challenges. Structured and informal opportunity to expand your national and international professional network, helping you to meet a variety of colleagues in a friendly, no-commitment setting. One-to-one connections leading to conversations that extend beyond the conference and really have become the backbone of the compliance profession.

SpeedMentoring (3:30 - 4:30 pm)

Additional Separate Registration required www.complianceethicsinstitute.org/speedmentors A series of one-to-one discussions with mentors or mentees (depending on the profile you’ve completed in the online registration process). Structured and informal opportunity to expand your professional relationships in the compliance and ethics industry. Create lasting relationships and opportunities to support the development of the compliance and ethics industry.

No Presentation Available

 

 General Compliance and Hot Topics back to top

P17: Leadership Skills to Advance your Program

  • Enhancing leadership with updated communication skills.
  • Establishing useful relationships.
  • Successful engagement of others.

Presentation (2 slides/page)
Presentation (3 slides/page)

Marjorie W. Doyle, Marjorie Doyle & Associates

Kris Pugsley, Global Communications Manager and Change Management, ON Semiconductor

 Investigations Workshop back to top

P18: Investigations Workshop (continued from P9)

Part IV: Revealing and Analyzing Documents

(1:30 - 2:30 PM)

  • Understanding the critical role of documents in your investigation
  • Identify and explain the purpose of documentary evidence in your investigation
  • Review and discuss key issues involving documentary evidence

Presentation (2 slides/page)
Presentation (3 slides/page)

Latour (LT) Lafferty, Partner, Holland & Knight LLP

Part V: Preparing the Investigation Report

(2:45 - 3:45 PM)

  • Sticking to the facts
  • Key considerations to include in the report
  • Benefits of preparing a good report

Presentation (2 slides/page)
Presentation (3 slides/page)

Handout 1
Handout 2

Al Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

Part VI: Q&A Panel

(3:45 - 4:30 PM)

No Presentation Available

Meric C. Bloch, Principal, Winter Compliance LLC

Al Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

Latour (LT) Lafferty, Partner, Holland & Knight LLP


Did you miss a session?

Was there a session you really wanted to attend? Purchase session recordings here.