Skip to main content

Handout - 2018 - National - CEI

2018 Compliance & Ethics Institute

October 21 - 24, 2018 | Caesars Palace | Las Vegas

CEU Application | Conference Brochure | Purchase session recordings

 

SUNDAY | Pre-Conference

 

Pre-Conference Morning Breakout Sessions

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

 

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, Principal, Compliance Integrity Solutions

Carla Weiler, Compliance Risk Manager, Starbucks

 

 Ethics 

P2: AT&T’s Compliance Training Evolution/Revolution

  • You think your existing training is great, but you need to toss it out! We looked at format and content and turned ours around. We also made it mobile-friendly, and relevant for employees around the world. We didn’t do it all overnight.
  • In-house is great – it doesn’t have to be fancy! You can do a lot with embedded videos. We teamed with our training design partners to use simple technology to make memorable training and incorporated interactive features for both online and in-person.
  • Change the perception of training. Make the move from “rules-based, cover-all-the-possibilities” to “here are some tools you can use to make good decisions for you and your teams.” Provide resources to support good decisions.

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

Susan Bounds, Director-Compliance, AT&T

Jayne Cano, Lead Compliance Analyst, AT&T

Lee Miller, Associate Director-Training Design, AT&T

 

Case Studies 

P3: A Tale of Two Companies—Experiencing the Best of Times and the Worst of Times through the Eyes of Two Organizations that Considered Themselves Ethical

  • Hear how two compliance programs survived and devloped during and after settlements with the U.S. Department of Justice, World Bank Group and similar regulatory/enforcement agencies.
  • Understand the lessons learned through the real-life experiences of two seasoned compliance officers—lessons that can be implemented in any compliance program, regardless of the existence of external scrutiny.
  • Take away three “key mindset” ideas to help your program build the framework necessary to effectively demonstrate solid operations and leadership commitment, if ever asked to do so by regulators, investigators or others.

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

Handout 1, Handout 2, Handout 3, Handout 4, Handout 5, Handout 6

 

-->

Beth Colling, Vice President and Chief Compliance Officer, CDM Smith, Inc.

Rebeka Spires, Director of Compliance & Ethics, Louis Berger

 

  Multinational/ International 

P4: Anti-Corruption Workshop: FCPA and other Anti-Corruption Enforcement Hot Topics and Compliance Best Practices

  • Using a hypothetical fact pattern the panelists will engage the audience in a discussion regarding the legal, compliance, governance, and strategic issues involved when a company and business partner encounter corruption issues on a government bid.
  • Attendees will also learn about the latest anti-corruption regulatory and enforcement developments in the U.S. and abroad.
  • Panelists will discuss best practices for ensuring anti-corruption compliance and will encourage discussion from attendees regarding methods they use to mitigate corruption risk and address compliance breaches within their organizations.

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

Handout

Handout 1, Handout 2, Handout 3, Handout 4, Handout 5,

 

-->

Iris Bennett, Member, Smith Pachter McWhorter PLC

Natalie Lockwood, Counsel, General Motors Company

Thuy Tran, Regional Compliance Officer—USA, SNC- Lavalin

Shannon O. Young, US Senior Compliance, WSP USA Inc.

 

  Compliance Lawyer 

P5: Audits Conducted Under Attorney Client Privilege: How to Manage the “ACP” Framework During an Audit Engagement

  • Determining the need to perform an audit under ACP: factors, scenarios and legal defense strategies.
  • Basic ACP Guidance and framework that includes RFP/contract terms, communication protocols and pitfalls to avoid.
  • Case Study: How to conduct an HR compliance audit (Pay Equity).

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

Monica Reinmiller, Corporate Counsel, Legal Affairs & Compliance, T-Mobile

Katherine McDaniel, Senior Corporate Counsel, Litigation, T-Mobile

Chelsea Dwyer Petersen, Partner, Perkins Coie

 

  IT Compliance 

P6: Launching Ladies into Senior Leadership

  • Are you ready to launch into the highest levels of leadership? Joining the C-suite? Being on the Board? Then this seminar is for you.
  • Learn how to win champions and mentors; use verbal language and body language to up your confidence and likeability quotients; and move up the ladder using accountability and top negotiating skills.
  • Master lessons taken from female entrepreneurship. Learn why your network is your net worth (and how to grow it strategically) and how to raise the roof on your profile.

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

Kristy Grant-Hart, Owner, Spark Compliance Consulting

Jenny O’Brien, Chief Compliance Officer, UnitedHealthcare

Kirsten Liston, Principal, Rethink Compliance

 

  General Compliance and Hot Topics 

P7: Building a Culture of Compliance Learning Excellence—4 Multi-Nationals Share Their Insight

  • Training leaders from 4 multi-nationals share their insights on delivering compliance training to over 40,000 employees in 70 global markets.
  • Part I will help you get your compliance training design right: shorten learning seat tie, use diagnostic assessments and create high impact learning media.
  • Part II will show you how to foster the relationships that underpin a successful training program: federal regulators, c-suite leadership, legal counsel and international markets.

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

Handout 1
Handout 2
Handout 3

 

-->

Nicole Tarasoff, Program Manager, Global Compliance & Integrity, LinkedIn

Jennifer Gardella, Director, Global Learning, Biogen

Jack W. Arnold, Jr, Global Corporate Compliance, Xilinx Inc.

 

  General Compliance and Hot Topics 

P8: Preventing Harassment: Can Compliance Ever Succeed?

  • It’s been 20 years since the Supreme Court rulings in Faragher and Ellerth made corporate anti-harassment efforts routine, yet there are more headlines than ever about blatant acts of harassment, especially among corporate and cultural leaders.
  • Sharing research and our collective experience, this workshop will focus on training, policies and culture-building, to explore why we have failed in preventing harassment, where we have engaged, and how we can elevate behavior.
  • One critical focus: retaliation vs. a “speak-up” culture, including best practices for creating, maintaining, and getting management support for an Open Work Environment.

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

Handout 1
Handout 2
Handout 3

 

-->

Jason B. Meyer, President, LeadGood, LLC

Amy E. McDougal, President, CLEAResources, LLC

Susan A. Parkes, General Counsel & Vice President, Alyeska Pipeline Service Company

 

  Investigations Workshop 

P9: Investigations Workshop

Part I: Beginning the Investigation and Interviewing the Reporter

(9:00-10:00 am)

  • Focus on investigation fundamentals and getting as much information as possible from the reporter.

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

Handout 1, Handout 2 Handout 4, Handout 5-->

Albert G. Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

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

Michelle Yaroma, Former Special Agent, Federal Bureau of Investigation

 

Part II: Planning the Investigation

(10:00-11:00 am)

  • Focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation.

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

Handout 1, Handout 2

 

-->

Meric C. Bloch, Vice President, Global Investigations, Booking Holdings, Inc.

Part III: Revealing and Evaluating Documents

(11:15 am–12:00 pm)

  • Understanding the critical role of documents. Be able to identify and explain the purpose of documents.

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

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

 

 

Pre-Conference Afternoon Breakout Sessions

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

 

  Risk 

P10: Trade Compliance Risks: What You Don’t Know, Can Hurt You!

  • Explore the fundamentals of building an effective trade compliance program from the ground up.
  • Survey and discuss recent enforcement trends, hot topics, global risks and advanced practice.
  • Participate in a complex real-world scenario simulating global trade compliance risks and challenges; explore practical solutions and strategies to effectively manage and mitigate the risks.

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

Gwendolyn Hassan, Managing Counsel, Global Compliance & Ethics, CNH Industrial

 Ethics 

P11: Ethics 101 from Theory to Application: What Would Kant Think About Tarantino Flix?

  • Discuss basic ethical theory (utilitarianism v. deontology) by analyzing the “Trolley Problem”. Explore theories of Justice, Rights and Duties. Analyze Kohlberg’s Cognitive Moral Development Theory. Discuss stakeholder theory, and hiring for integrity.
  • Compare legal duties with ethical duties by participating in an HBR case study entitled, “The Parable of the Sadhu”. Explore the pressure to conform to group norms (Stanford Prison Experiment), and how that can lead to whistleblowing.
  • Analyze applied ethics dealing with black v. white v. grey areas. Understand the importance of reputation, corporate culture, mission statements, codes of ethics and the Federal Sentencing Guidelines for Organizations.

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

Handout

 

-->

Paul E. Fiorelli, Professor of Legal Studies and Director, Cintas Institute for Business Ethics, Xavier University

Bradley R. Agle, Professor, Brigham Young University

 

 Case Studies 

P12: Facebook and Equifax: Meeting Increased Customer Expectations, Not Just Regulatory Requirements

  • Discuss the recent changes to the regulatory environment and other advancements fueled by social media and new technology, focusing on how these shifts increase transparency and empower the consumer to demand more.
  • Explore the Facebook and Equifax scandals (or others occurring around the time of the conference) with an eye towards what these seemingly diverse cases have in common, and what companies can do to avoid scandals and failures in risk management.
  • Outline the tactical steps every company should take to avoid costly litigation and regulatory fines, as well as the even graver long-term consequences of reputational disaster, without spending more on technology solutions.

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

Handout 1
Handout 2

Steven Minsky, CEO, LogicManager, Inc.

 

 Multinational/ International 

P13: Enforcement Goes International-What Does it Mean for Your Compliance Program?

  • Brazil now leads the list of countries where companies are under FCPA investigation. Yet that is often only the tip of the overall number of countries where companies may be under investigation.
  • From the US corporate compliance perspective, how can a company protect itself from an industry or country sweep? Why do you need to understand not only who your third parties and business partners are but your customers as well?
  • From the Brazilian perspective, what should companies be doing proactively in response to this or any other country sweep? How is this different from the American perspective? Is doing compliance in Brazil or any other country in South America different?

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

Handout 1
Handout 2
Handout 3

 

-->

Thomas R. Fox, Compliance Evangelist, Advanced Compliance Solutions

Matt Ellis, Partner, Miller

Carlos Ayres, Partner, Maeda, Ayres e Sarubbi Advogados

 

Compliance Lawyer 

P14: Federal Contractor—2018 Compliance Update

  • Update from last year’s successful session
  • Learn about the latest developments in U.S. Federal Contract compliance.
  • Understand how to address changes: Service Contract Act; Sick Pay regulations; Controlled but Unclassified Information (and others).

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

Adelle Elia, Chief Integrity Officer, Louis Berger

Paige Shannon, Vice President, Risk and Compliance, Kforce Inc.

 

  IT Compliance 

P15: Technology & Compliance: Understanding the Risks and Maximizing the Benefits

  • Technological developments providing new tools that can (should) be incorporated into your compliance program to increase effectiveness. AI, IOT, blockchain and other developments that can be part of your compliance program.
  • Updating your risk assessment in conjunction with your IT department to address new threats. Training emplopyees to use technology appropriately and identify (and avoid) social engineering. Using developments publicized in the media.
  • Addressing legislative and regulatory changes that impact on IT use and risks. Making sure you have a seat at the table as technology plans are made (e.g., possible regulation of bitcoin).

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

Theodore L. Banks, Partner-President, Scharf Banks Marmor LLC - Compliance & Competition

Gene Stavrou, Compliance Consultant, Ingredion

Heidi Rudolph, Managing Director, Morae Global

 

 General Compliance and Hot Topics

P16: New Beginnings: Starting your Compliance Program and What Needs to be Included

  • Discussion on the basic elements of a compliance program.
  • Overview of the challenges and opportunities in developing a compliance program.
  • Identifying ways to get “buy in” for the compliance efforts.

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

Sheryl Vacca, SVP/Chief Risk Officer, Providence St Joseph Health

Debbie Troklus, Sr. Managing Director, Ankura Consulting Group

 

 General Compliance and Hot Topics 

P17: The Great Internal Audit & Compliance Mystery

  • Guests will observe and identify, or even become party to, the ultimate compliance mystery/conspiracy.
  • Attendees (“The cast” of characters) will assist in identifying acts of noncompliance and network with the cast and other guests to determine what wrongdoing occurred, why and define an appropriate response to the wrongdoing.
  • Attendees will utilize strategies to help define compliance program weaknesses and what safeguards may have prevented an identified behavior

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

Kelly C. Loya, Managing Director, Pinnacle Enterprise Risk Consulting Services, LLC

Kristen R. Taylor, Managing Director, Pinnacle Healthcare Consulting

 

P18: Investigations Workshop (continued from P9)

Part IV: Taking Effective Interviews

(1:30 - 2:30 PM)

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

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

Meric C. Bloch, Vice President, Global Investigations, Booking Holdings, Inc.

Part V: Preparing the Investigation Report

(2:45 - 3:45 PM)

  • Stick to the facts and benefits of a good report.

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

Handout 1
Handout 2

Albert G. Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

 

Part VI: Q&A Panel

(3:45 - 4:30 PM)

No Presentation Available

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

Meric C. Bloch, Vice President, Global Investigations, Booking Holdings, Inc.

Albert G. Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

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

 

MONDAY

GENERAL SESSION

(8:30 – 9:30 AM)

Next Level Leadership

Handout

Scott Eblin, Author, The Next Level and Overworked and Overwhelmed

 

Concurrent Breakout Sessions

10:00 – 11:00 AM

 

Riskback to top

101: Social Media: Risks & Redemption

  • Learn how and where to look for social media risks - and learn what you’re looking for.
  • Gain insights into best practices for mitigating social media risks and how much of it is out of your hands.

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

Kortney Q. Nordrum, Investigations & Risk Consultant, Deluxe Corporation

 

 Ethics

102: Advancing a Culture of Integrity by Building Strong Climates

  • What factors most impact an employee’s view of their organization’s culture;
  • How companies can measure and improve the strength of their organization’s culture; and
  • How to reduce misconduct and compliance risk within their organization.

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

Brian K. Lee, Practice Leader, Gartner

 Case Studies

103: A Modern Day Construction Industry Compliance Program

  • Learn about the unique regulatory challenges in the construction industry and the evolution of a compliance program, from a rigid project assessment focus to a flexible risk mitigation focus.
  • See the rapid development of a modern compliance program, the pitfalls encountered over the past 10 years of the program, and the frequent challenges presented by our clients and our employees.
  • Learn how a program provides targeted education, flexible risk mitigation tools, and systems that integrate into the construction environment to make compliance efficient in a schedule-driven environment.

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

Chris R. Caron, Regional Compliance Manager, Kiewit Construction

  Multinational/ International

104: Challenges of working with Intermediaries in Emerging Markets

  • How to react when you learn that a relevant intermediary is allegedly involved in a corruption scandal?
  • Who should be involved to assess the situation?
  • What kind of information do you need to gather?

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

Renata Muzzi, Partner, TozziniFreire Advogados

Shin Jae Kim, Partner, TozziniFreire Advogados

 

 Compliance Lawyer

105: Compliance Oversight for Boards and Management

  • United States Sentencing Commission-Federal Sentencing Guidelines for Organizations-essential elements of an effective compliance plan and Board oversight.
  • United States Depatment of Justice Principles of Federal Prosecution of Business Organizations; Evaluation of Corporate Compliance Programs.
  • Reporting systems capable of keeping board members informed of compliance activities and ability to evaluate and response to specific misconduct and noncompliant activity.

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

Handout 1
Handout 2
Handout 3

Handout 4
Handout 5
Handout 6
Handout 7
Handout 8
Handout 9

Gabriel L. Imperato, Managing Partner, Nelson Mullins Broad and Cassel

 IT Compliance

106: AI Is Coming: Future-proof Your Career and Your Compliance Program

  • Many compliance professionals have considered AI as more an IT or technological solution. Is that really wise, though? How much should compliance officers be involved in, or even just monitor, the creation of algorithms that lead to AI?
  • Seeing patterns in raked leaves. How does AI aid in the detect-and-prevent prongs of a best practices compliance program? What parts of your compliance program would benefit the most from an AI solution? Conversely, what parts of a strong ethics
  • Does AI portend the end of the compliance career path? Probably not, but how should compliance officers embrace AI as a part of the future?

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

Thomas R. Fox, Compliance Evangelist, Advanced Compliance Solutions

Matt Kelly, Editor & CEO, Radical Compliance

 

 General Compliance and Hot Topics

107: Compliance & Ethics Training:  What You Need to Know

  • Everyone knows they need to provide training in an effective compliance and ethics program, but do they know how much they don’t know about the subject?
  • How can you approach training and communication and be sure you have done all the things that should be done?
  • What are the best resources for compliance training and communications?

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

Kirsten Liston, Principal, Rethink Compliance

M. Joy Hayes, Chief Ethics Officer, SAIC

Shauna Brookshier, Ethics and Compliance Sr. Analyst, SAIC

 

 General Compliance and Hot Topics

108: Compliance Fast and Slow - Lessons from Behavioral Economics

  • Lessons for compliance from behavioral economics-what actually changes compliance behavior.
  • Examples from the research-what works.
  • Examples from real life-uses of behavioral research/nudge techniques to change behavior.

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

James Sheehan, Chief Charities, NY AG

James C. Knapp, Investigations Manager, Freddie Mac

 

 Advanced Compliance Track

109: Practices in Ethics and Compliance (E&C) Program Management That Can Undermine the Effectiveness of Your E&C Program

  • Hear and discuss war stories from compliance personnel on day-to-day compliance program management mistakes and bad habits that, despite the right program infrastructure, can cause serious setbacks in attaining a culture of business ethics and compliance.
  • Share lessons learned on behaviors and approaches in managing an E&C Program that can lead to difficulties with personnel, management, and other stakeholders and create distrust of - or displeasure with - your E&C program.
  • Present tips and best practices in E&C program management that will help to garner the continued support of and ensure smooth operation of your E&C program.

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

Michael D. Garson, Senior Managing Director – Government Contracts, Ankura Consulting Group

Randall H. Cook, Senior Managing Director, Ankura Consulting Group

 

 Professional Skills Track

110: Just Listen: Silently Connecting to the Untold Stories to Shape Culture

  • How to become selected to hear an untold story and trusted as an enabler to shape culture.
  • Learn body language to demonstrate that you are ready to listen to an untold story.
  • Practical steps for the receiver to silently inform their five (5) senses and the sender that they will not be distracted from the engaging moment.

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

Walter E. Johnson, Director of Compliance & Ethics, Kforce Government Solutions

 

 Advanced Discussion Groups

AD1: Retaliation: Real or Imagined? What Are You Doing to Address Employee Concern in Your Organization?

  • Explore and discuss participants’ methodologies and experiences dealing with concerns about retaliation in the workplace.
  • Identify best practices for communicating a zero tolerance for retaliation to employees and supervisory personnel.
  • Discuss challenges and opportunities for promoting a Speak-Up Culture in the organization.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

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

Albert G. Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

 Advanced Discussion Groups

AD2: Big Picture E&C Challenges: A Day in the Life of the Successful Compliance Officer

  • Survey and explore some major challenges and frustrations that E&C leaders can face in day-to-day practice.
  • Navigate through a real-world scenario that illustrates systemic challenges and its impact to ethics and compliance program effectiveness.
  • Collaborate and discuss practical strategies and solutions for addressing big picture challenges and leading successful change in the organization.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

No Presentation or handouts Available

Lea Fourkiller, Managing Director, Ankura Consulting Group

 

Concurrent Breakout Sessions

11:15 AM – 12:15 AM

 Risk

201: Global Antitrust Compliance—Assessing Risks and Creating an Effective Antitrust Program

  • Overview of global legislation, enforcement activity and trends in the evolving antitrust compliance environment.
  • Learn how to conduct a comprehensive, global risk assessment to uncover antitrust risk in your organization.
  • Learn how to effectively promote antitrust compliance in your organization and create an effective antitrust compliance program to mitigate global risk.

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

Tim Bridgeford, Global Head of Antitrust Compliance, JP Morgan

Douglas Tween, Partner, Linklaters LLP

 

 Ethics

202: Ethical Considerations for Compliance Officers and Lawyers

  • What ethical rules govern your compliance activities?
  • Can lawyers or compliance officers be whistleblowers?
  • When is it a good idea – or a terrible idea – to try to protect compliance programs with attorney-client privilege?

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

Theodore L. Banks, Partner-President, Scharf Banks Marmor LLC - Compliance & Competition

 

 Case Studies

203: Building Awareness: Creatively Branding and Marketing Your “Comply Ant” Program

  • Identifying the need and building the case: Strategies for researching and garnering support for a compliance branding program.
  • Getting creative: The convergence of compliance, marketing and strategy.
  • Going live: Launching your brand and building on the momentum.

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

Matthew L. Daniel, Corporate Senior Vice President, Legal Compliance & Deputy General Counsel, Charles River Laboratories, Inc.

John T. Dalton, Dir Corp Compliance, Charles River Laboratories Inc.

 

 Multinational/ International

204: Artificial Intelligence in Third Party Compliance

  • Discussion covering the key elements of Artificial intelligence (AI) and how it can be utilized in business processes to automate and increase efficiency, inclusive of key takeaways
  • Dissection of the workflows behind third party compliance in order to isolate the areas where labor, resources, and decision making play the biggest role. This leads onto what technologies can be used to eliminate work and increase process efficiencies
  • Exploration covering a variety of questions; What will Third Party Compliance look like in 5 years? 10? What tech, data and resources will be used to create a predictive model of third party compliance?

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

Allan Matheson, Chief Executive Officer, Blue Umbrella

 

Compliance Lawyer

205: Start-ups, Autonomous Cars and Everything (Compliance) In Between: Compliance Program Management, Issues & Challenges From the Perspective of GM and Cruise Automation

  • GM acquired a San Francisco start-up, Cruise, in 2016, to focus on autonomous technology. This presentation tells the story of that acquisition, from a compliance perspective.
  • Matt Gipple provides the perspective of the general counsel at the start up, Cruise and compliance related issues from a lawyer in-house and teaming up the start-up with a large F100 company.
  • Chris Miller provides the perspective of the GM regional compliance officer and the steps GM took with respect to compliance issues, challenges and opportunities at Cruise.

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

Christopher Miller, Regional Compliance Officer North America, General Motors

Matt Gipple, General Counsel, Cruise Automation

 

 IT Compliance

206: Corporate Compliance and Information Technology Challenges—Business Confidentiality and Employment Agreement, Communication with Competitors, Cyber Security and Privacy Laws

  • What is importance of information technology in business world? What is impact on business with advancement in technology? What are compliance risks associated with technology? How we can identify risk proactively for effective compliance management.
  • Compliance risks associated with e-commerce i.e. online buying and selling, compliance of supply chain, goods delivery, warehousing and sourcing, taxation, cross state and cross border transactions, sale and payments, warranties and guarantees issues.
  • Compliance risks related to online agreements i.e. acknowledgement of terms and conditions, implied consent and digital signature to access your personal information, risks related to sharing protected information of customers and suppliers, competitors.

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

Handout

Muhammad N. Ahmed, Head of Compliance, PEL Group of Companies

 

 General Compliance and Hot Topics

207: How to Score your Compliance Program using Key Performance Indicators (KPIs), Metrics, Maturity Ratings and Other Approaches

  • How and why you should rate your compliance program: the importance of measuring the maturity of your compliance program.
  • Different approaches to scoring your program – how to use KPIs, metrics and maturity ratings.
  • How to present findings to senior leaders; and build an improvement plan to increase program maturity.

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

Erica Salmon Byrne, EVP and Executive Director of BELA, Ethisphere

 

 General Compliance and Hot Topics

208: MGM Resorts International: Journey to the Future of Mobile & Augmented Reality

  • MGM GO! Launching a mobile Micro-learning strategy: integrating linked content & essential resources with on demand, pulse learning.
  • Augmented Reality as an engagement strategy; embedding AR and game-based learning across multi-Brands with competitive leaderboards.
  • MGM APPLAUSE! Why insight & analytics matter, sustaining impact through responsible recognition and rewarding values based behavior.

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

Marsha H. Ershaghi-Hames, Managing Director Strategy & Development, LRN

Omar R. Khoury, Vice President of Compliance, MGM Resorts International

Lisa Caserta, Director—Compliance, MGM Resorts International

 

 Advanced Compliance Track

209: Repeat Complainers: Chronic Complainers or the Forgotten

  • How do we address Repeat complainers in a timely and professional way? Let’s share case examples of repeat problem callers, worse case vs best case.
  • Provide lessons learned about listening and taking action, (being more timely, specific, genuine and to the point in responses to reporter). Discuss experiences with repeat callers and need for better documentation by callers, management and HR.
  • How can Compliance help to move reporter, subject and management forward in positive way? Dealing with complainant’s assertion that my harasser

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

Bart Fitzgerald, Sr. Investigator, Freeport-McMoRan Inc.

Stephen Nehring, Global Compliance Manager, Freeport-McMoRan

 

 Professional Skills Track

210: CANCELED 
The Next Phase of Compliance Communication

  • Build leadership tools that move motivation to action.
  • Develop a core communication toolkit to support you in every environment.
  • Learn persuasive strategies for getting your message heard.

No Presentation Available

Kyle Zamcheck, Speech Coach, The Speech Improvement Company

 

 Advanced Discussion Groups

AD3: Tools for Enhancing Employee Participation in Training

  • Getting employees to pay attention to your training.
  • Helping them enjoy the training.
  • Track results of your training.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

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

Art Weiss, Chief Compliance & Ethics Officer, TAMKO Building Products

 

Advanced Discussion Groups

AD4: Hot Topics in Employee Reporting: Implementing and Maintaining a Successful Employee Hotline Program

  • Type of Program: as a global company, do you use one standard program or vary your approach by country, particularly for the EU?  Also, how do you make your hotline user-friendly in different regions and cultures?
  • Program Implementation: organizations use different types of hotlines and reporting processes.  External provider or internal one?  Web-based, internet, telephone or text reporting?
  • This discussion will consider how issues are investigated and reported, and will allow participants to candidly discuss  various approaches and lessons learned with different types of hotlines.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

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

Lisa R. Fine, Director, Global Compliance, gategroup

 

Concurrent Breakout Sessions

1:45 – 2:45 pm

 Risk

301: M&A Transactions: Tactics and Strategies for Effectively Managing Ethics and Compliance Risk

  • Overview of the ethics and compliance challenges, considerations, and risks that arise during the Merger and Acquisitions Transaction process.
  • Discuss strategies for effective due diligence and integration of ethics and compliance programs and related infrastructure.
  • Share practical tips and solutions for effectively conducting pre-acquisition compliance due diligence, mitigating associated risk, and integrating ethics and compliance into the new acquisition.

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

Kasey T. Ingram, General Counsel & Chief Compliance Officer, ISK Americas Incorporated

Louis Sapirman, Former VP, Associate General Counsel and Chief Compliance Officer, The Dun & Bradstreet Corporation

 

 Ethics

302: Business Ethics 101: Why do People Cheat

  • Exploring the Sources of Ethical Development and Why People Cheat.
  • Corruption by Numbers, Corruption by Power, Corruption by Suffering.
  • Universal Ethical Standards and the Forces that Shape Business Ethics.

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

Pouya Safi, Manager, Lecturer and Associate Director, Continuing Education, University of Ottawa—Telfer School of Management

 

 Case Studies

303: Are You Considering Offering a Compliance Week? (or How to Create a Compliance Week That Doesn’t Suck.)

  • Case study on how to create a memorable and arguably entertaining compliance week for 100 distracted Homo sapiens, under a 4 month deadline, and with limited resources.
  • Should you even hold a compliance week? What company culture and evolution can tell you about whether your company is ready for a compliance week program.
  • How a compliance week can be used to create greater program efficiencies; advance compliance culture; and make you, your company, and your compliance program look great.

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

Michael Henry, Senior US Legal Counsel, Emera Energy

 

Multinational/ International

304: Communications Best Practices for a Global Workforce

  • How to effectively communicate your compliance program globally.
  • Leveraging metrics to provide information on how to best communicate with your workforce.
  • Benchmarking your practices against a World’s Most Ethical Company.

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

Kris Pugsley, Global Communications and Change Management, ON Semiconductor

 

Compliance Lawyer

305: Counseling Compliance in Small to Medium Sized Businesses

  • “SMBs” (under 100 employees) make up 97% of US companies, but they are at least as prone to compliance failures as the Fortune 2000. But without a CCO or even a GC, the task of leading and counseling compliance at SMBs may fall to HR or outside counsel
  • We will explore the unique challenges of compliance leadership in SMBs, where budgets may be limited, processes informal, and executive power dominant.
  • We’ll share experiences, including ways to use regular operational processes as tools to promote compliance, and to use the strong culture in these companies to their ethical advantage.

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

Jason B. Meyer, President, LeadGood, LLC

Amy E. McDougal, President, CLEAResources, LLC

 

 IT Compliance

306: Putting People First: Protection of Personal Identifiable Information (PII) in a Landscape of Constant Change

  • This session opens by reviewing the new and now most challenging threats, continually evolving political and economic factors, and constantly changing technology capabilities that organizations and companies must confront and address on a daily basis.
  • From small to large businesses and organizations, TechSoup shares how the global organization promotes IT security and protection with its corporate technology partners when 80 percent of its nonprofit partners have annual revenue sizes under $1 million.
  • Both for-profits and non-profits will engage in a facilitated discussion about strategies that companies and organizations of any size can take to prioritize risks and use technology as a tool for monitoring and enforcing data protection investments.

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

Whittney A. Tom, Program Manager, Corporate Relations, TechSoup

Nisha Sehn, Senior Program Manager, TechSoup

 

  General Compliance and Hot Topics

307: Privacy Trends Around the World and the Implications to a Global Organization

  • Across the pond, the new EU GDPR is in effect. Brexit is coming and we all hope the Privacy Shield is still intact.
  • Around the world, from data localization laws to breach notification, many countries are enacting new requirements that can impact operations of global companies.
  • This session will provide you with practical advice on recent changes or clarifications to laws and regulations and how three global entities are handling those changes.

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

Michelle Beistle, Counsel and Chief Compliance Officer, Unisys Corporation

Charlotte D. Young, Chief Ethics and Compliance Officer, The Nature Conservancy

Alyssa Senzel, Deputy General Counsel & Compliance Officer, Blackboard Inc.

 

 General Compliance and Hot Topics

308: What If Model: Leverage Organizational Resources to Craft Compliance Training (and Certification)

  • Compliance resources are everywhere, often overlap, and sometimes provide contradictory guidance. Resources are often scattered throughout the organization and therefore underutilized. The “What If” model can help!
  • The “What if” model is presented as a tool to organize resources, craft learning objectives, offer multiple learning pathways, align outcomes, and design assessments. The ACCSC Certified Accreditation Program (CAP) design approach will be shared ...  a comprehensive ‘quick to market’ program for over 650 schools/colleges nationwide.
  • If you have the resources and need a way to identify, capture, and leverage them to create a learning environment that supports compliance understanding and application ... versus rote memorization, this session is for you!

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

Handout

Eva C. Stein, Higher Education Consultant

 

Advanced Compliance Track

309: Managing Third Party Compliance Programs on a Global Scale

  • Global compliance leadership by enforcing and encouraging ethical behavior among third parties.
  • The role of technology and its impact on global compliance program management.
  • Common stumbling blocks to program success and strategies to help avoid them.

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

Allan Matheson, Chief Executive Officer, Blue Umbrella

 

 Professional Skills Track

310: Making Connections Count: Tips to Gain Value Through Networking

  • Don’t be caught alone. Networking with other professionals ensures you’ll have the support you need to fulfill the challenges of an ethics and compliance role.
  • Don’t be afraid. It’s not nearly as complicated, challenging, or scary as it seems. We’ll discuss concrete steps you can take to improve your network.
  • Don’t delay. Networking can lead to countless opportunities if you put in the effort, so come prepared to exchange business cards and get connected.

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

Samantha Kelen, Lead Ethics Analyst, Duke Energy Corporation

 

 Advanced Discussion Groups

AD5: Conflicts of Interest: Awareness, Bias, and Corruption

  • Awareness:  Disclosure is often the organization’s solution to conflicts of interest.  How effective is disclosure as a remedy?
  • Bias:  Do you underestimate the severity of bias caused by conflicts?  Can we properly navigate conflicts with objectivity?
  • Corruption cannot exist without a conflict of interest.  Understanding the relationship between conflicts and corruption can lead to new ways to deter and detect misconduct.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

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

Cynthia Morrison, Director of Compliance, Post Holdings, Inc.

 

 Advanced Discussion Groups

AD6: Assessing Your Company’s Culture

  • Almost every company or organization believes they have a special and unique “culture.”  When was the last time you actually checked with your employees, to see if there is a common understanding and agreement of your culture?
  • This presentation will focus on procedures and techniques to gain input from your employees to help validate their views on your culture utilizing voting-pad technology.
  • By incorporating anonymous voting-pad technology, employees are able to communicate their views in real-time in a nonthreatening environment that increases employee communications and feedback.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

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

Patrick J. Gnazzo, Principal, Better Business Practices

 

TUESDAY

GENERAL SESSION

8:15 – 9:15 AM

Artificial Intelligence: A Day in Your Life in Compliance & Ethics

Presentation

Amber Mac, TV/Radio Host, Internet of Things Expert, AmberMac Media

 

Concurrent Breakout Sessions

9:30 – 10:30 AM

 Risk

401: Working with Uncle Sam: Managing Compliance Risk when Providing Services to the U.S. Government

  • When contractor employees work side-by-side with U.S. Government personnel, they face unique compliance issues that can trip up even the most well-intentioned employees. Normally innocuous working relationships can trigger IG investigations & violations
  • We address frequent and difficult situations such as gifts, conflicts of interest, part-time work, protections of data, travel, office solicitations, office events, and the revolving door of employment between government and contractor.
  • This presentation will provide guidance and first-hand experience from contractor and government ethics officials on how to identify and diffuse compliance risks before they occur and navigate compliance regulations.

No Presentation Available

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

Steve Epstein, Former Chief Counsel Ethics & Compliance, Boeing Company

Danica Irvine, Senior Attorney, DoD Office of General Counsel

 

 Ethics

402: Demystifying Forensic Accounting

  • This session will define forensic accounting and its use in various areas, including corporate compliance, investigations and litigation. Attendees will lean the difference between a financial audit and a forensic investigation.
  • Attendees will learn common characteristics of a fraudster, various detailed investigative techniques to identify and combat fraud, and the makeup of a fraud investigation including litigation support.
  • Attendees will gain knowledge on Foreign Corrupt Practice Act (FCPA) provisions, and the importance of having an anti-corruption program in place to mitigate risk.

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

Adrian Sierra, CEO, Sierra Forensic Group

Michael Dyer, Managing Director, Sierra Forensic Group

 

 Case Studies

403: Building a Corporate Culture that Combats Sexual Misconduct

  • How to better understand the extent and effects of sexual misconduct.
  • How to raise awareness about what constitutes misconduct and how to prevent it.
  • How to get your C-suite to champion your efforts.

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

Stephanie Jenkins, Chief Compliance Officer, ETHIX360

J. Rollins, CEO, ETHIX360

 Multinational/ International

404: Global Compliance—One Size Does Not Fit All

  • One size doesn’t fit all. As regulatory expectations change, it is important to have a core set of expectations, but be sure to value diversity and adapt in different business sectors, as well, as internationally.
  • Tropicalization of policies/training. When doing business globally, it is imperative to understand the local laws and culture to ensure the spirit of the policy is captured, relevant to real-world experiences of the employers, and conveyed effectively.
  • System & language limitations – Leverage local resources to overcome challenges and utilize existing tools, as existing processes may be as effective or better than proposed options.

    No Presentation Available

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

Yami Acosta, Director-Compliance, AT&T

Clarissa Benavides, Director-Compliance, AT&T

Luis Solis, Sr. Specialist-Environmental Health & Safety, AT&T

 

 

 Compliance Lawyer

405: Dos and Don’ts for Compliance Personnel at International Non-Profits

  • Overview of the legal landscape: laws and regulations of which non-profits should be aware prior to operating in non-permissive environments.
  • The unique ethics and compliance challenges faced by non-profits working overseas.
  • How to develop an effective ethics and compliance program that is tailored to non-profits.

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

Hussainatu Blake, Vice President, Focal Point Global

Adam Munitz, Senior Associate, FH+H PLLC

 

 IT Compliance

406: Software License Compliance: Costly, Challenging, Changing, and Continuing Chaos: Why It’s Hard, Intensifying, and Sub-Radar, & What To Do To Risk-Mitigate and Contribute Effectively

  • Software & I.T. Infrastructure: Geeks Assume, Vendors Control, & Then Legal, Compliance, Purchasing & Finance Get Blind-Sided, Fast, Hard, & Deep (Pocketed) ... Unless The Organization Changes & Becomes Nuanced & Pro-Active.
  • Process De-Bugging & Refinement: Fixing Broken, Changing. Difficult Inherently-Multi-Departmental Initial Procurement & Ongoing Lifecycle Procurement Contracting.
  • Protecting Operational Continuity (Avoiding Involuntary Vendor Termination) & Organizational Reputation.

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

Henry W. (Hank) Jones, III, Owner, Law Office of Henry W. Jones III & Intersect Tech. Consulting

 

 General Compliance and Hot Topics

407: Decades into Maturing Compliance Programs, Are Anonymous Reporters Treated with the Respect They Deserve?

  • The pros, cons, myths and truths of anonymous reporting have been discussed in the compliance community and among boards and executive teams for decades.
  • Yet for all of this talk and work on building effective compliance programs, many employees still feel that anonymous reporting is the safest way to raise issues and many leadership teams still express frustration about accepting these types of reports.
  • This session will look at the current global anonymous reporting environment, review the latest data around this reporting, and offer advice to compliance officers and their organizations on making the most of anonymous reports.

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

Carrie Penman, Chief Compliance Officer and Senior Vice President, Advisory Services, NAVEX Global

Debra S. Hennelly, Founder & President, Resiliti

 

 General Compliance and Hot Topics

408: Effective Use of Forensic Data Analytics to Mitigate Compliance Risks

  • How to incorporate forensic techniques into your monitoring and auditing.
  • Design of data analytics targeting specific compliance issues.
  • What next? Not all red flags are alike - best practices for follow-up.

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

Gerry Zack, Incoming CEO, SCCE & HCCA

 

 Advanced Compliance Track

409: Advanced Ethics and Compliance Program Design

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

Michael Volkov, CEO, Volkov Law Group LLC

 

 Professional Skills Track

410: The 7 Habits of an Effective Compliance and Ethics Professional

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

Handout

Dan Roach, Chief Compliance Officer, Optum 360

 

 Advanced Discussion Groups

AD7: Building the Bridge to Better Partnering – What Works!

  • Your program’s success depends on critical business partners - learn strategies to successfully engage them.
  • How to go from no, to maybe, to yes.
  • Breaking down the resistance (and resistors), one step at a time.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

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

Tedra Foster, Senior Director Ethics and Compliance, Herbalife

 

Advanced Discussion Groups

AD8: Cultures of Integrity – We Know What They Are and What They Should Look Like, But How Do We Get There?

  • Discussion of behaviors that define a good culture and what initiatives compliance can lead to inspire those behaviors.
  • Mood in the middle – how to get middle management to buy into demonstrating a culture of compliance and integrity.
  • Examples of what other companies just like yours are doing to build and establish a strong culture.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

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

Mary Shirley, Senior Director, Ethics and Compliance, Fresenius Medical Care North America

Did you miss a session?

Is there a session you really want to attend? Purchase session recordings here.

Concurrent Breakout Sessions

11:00 AM – 12:00 PM

 Risk

501: Using Privacy Impact Assessments Effectively

  • Privacy Impact Assessments as an effective risk management tool.
  • How to develop and use PIA in the workplace.
  • Applying legal and ethics to data processing activities.

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

Robert J. Bond, Partner & Notary Public, Bristows LLP

 

 Ethics

502: Developing a Culturally Competent Compliance Program

  • Developing Cultural Competence: Effectively manage and collaborate with people from different cultures and backgrounds as an important component of managing a successful compliance program.
  • Values, Attitudes and Prejudices: Personal believes drive behaviors and how we feel about the world and people around us, and ultimately how we judge other people. Personal biases play an important role in the success or failure of a compliance program.
  • Training and communication Strategies: Incorporating diversity values into your compliance training program and communications to mitigate compliance risks and help the organization meet its business goals.

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

Deni A. Anderson, Director, Global Compliance Operations, ENDEAVOR

 

Case Studies

503: Adopting an Internal Control—Integrated Framework, Benefits for Non-Profit Organizations

  • This session will encourage private sector organizations to adopt an Internal Control—Integrated Framework. As external oversight agencies are now utilizing such tools to audit organizations operating effectiveness regardless of their For-profit status.
  • Attendees will learn from the experience of one New York Non-profit, what it is like to use the 2013 COSO Framework specifically and the importance of selecting a tool which incorporates risk management, and the detection/prevention of fraud and abuse.
  • How to transition your compliance program to incorporate an integrated framework, who should be involved and the impact it will have on quality, increasing efficiencies and organization effectiveness.

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

Richella M. Abell-Hawes, Vice President Compliance & Quality, Arc Herkimer

Jessica French, Quality Assurance Specialist, Arc Herkimer

 

 Multinational/ International

504: Crash Course on United Kingdom and Ireland Regulations for US Companies

  • A general overview of UK corporate regulatory compliance, including the Companies Act, Bribery Act, Criminal Finances Act, Modern Slavery Act, Health and Safety, Directors Obligations, and Brexit.
  • A general overview of Ireland corporate regulatory compliance, including the Companies Act, Criminal Justice Bill, Health and Safety, and Brexit.
  • A practical approach to implementing a new compliance program in UK&I or modifying an existing US compliance program for the UK&I markets.

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

Eric Brotten, Director, International Compliance Programs, Optum

Sarah E. Boswell-Healey, Director, Optum Privacy

 

 Compliance Lawyer

505: Leveraging Recent Developments in the Law to Advance Your Program

  • Review recent developments in U.S. and other law related to compliance and ethics, including case law, deferred prosecution agreements and government pronouncements and guidance.
  • Examine the impact of recent legal developments on compliance and ethics program design and implementation.
  • Develop strategies for using C&E legal developments to enhance your program.

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

Rebecca Walker, Partner, Kaplan & Walker LLP

Joseph E. Murphy, Senior Advisor, Compliance Strategists

 

 IT Compliance

506: The EU General Data Protection Regulation: What We Know, Six Months In

  • The European Union General Data Protection Regulation (GDPR) is the most sweeping data protection regulation to be brought into force in 20 years.
  • In the six months since the Regulation went into effect, a substantial amount of jurisprudence and “lessons learned” have been published.
  • In the presentation, we’ll review the state of the Regulation, current enforcement actions, and opinions of the European Data Protection Board in order to develop best practices and promote cost-effective compliance.

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

Scott M. Giordano, Director, Data Protection and Managed Privacy Services, Robert Half International

 

 General Compliance and Hot Topics

507: Get What You Need Out of Your Gift, Entertainment, and Travel (GET) Policy and Approval System

  • Developing an Effective GET Policy and Approval System.
  • Pros and Cons of a Vended Solution vs. a Custom Platform.
  • Lessons Learned. From Customization to Post Rollout.

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

Adriana M. Herrera, Sr. Global Compliance Analyst, Phillips 66

 General Compliance and Hot Topicsback to top

508: Innovative Strategies for Fostering a Compliance Culture

  • There’s a bot for that: How to use artificial intelligence for communication initiatives and as a resource for employees, including lessons learned from developing the pilot through go-live.
  • Highlights from a successful and engaging global launch of a Code of Business Conduct, with key strategies for reaching offline and online employees.
  • Helpful tips for incorporating ethics and compliance messages into business communications, including manager messages.

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

Stephanie Hillhouse, Sr. Ethics & Compliance Manager, The Coca-Cola Company

 Advanced Compliance Track

509: Decades to Build, Seconds to Destroy: Proactive Compliance On Your Own Terms to Avoid or Mitigate An Enforcement Action

  • Learn how proactive assessment and remediation measures are less costly and more effective than more potentially restrictive compliance responses.
  • Determine how company actions prior to, during, and after an ethical crisis can help determine the severity of fines, penalties and required remediation.
  • Explore the value of “proactive monitoring” to help strengthen organizational culture, identify and manage potential vulnerabilities, and establish credibility with government regulators and law enforcement.

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

Eric Feldman, Senior VP and Managing Director, Corporate Ethics and Compliance Programs, Affiliated Monitors

Tom Topolski, Senior Vice President, Business Development Director, Parsons

 

 Professional Skills Track

510: Building Culture through Communication and Engagement

  • It’s critical to effectively communicatean d engage your entire workforce as culture champions. This session will focus on practical, proven concepts by highlighting innovative and interactive training and communication examples you can adapt to your organization.
  • We’ve used a range of communication channels, including blogs, articles, targeted emails, roadshows and Ethics Awareness events.
  • Thrivent has utilized ethics perception surveys since 2008 to validate these actions have helped maintain and strengthen its strong ethical culture. Adapting ideas is always easier than creating from scratch, so join us to get some new tools for your toolbox.

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

Keturah Pestel, Manager, Business Ethics Office, Thrivent Financial

 

 Advanced Discussion Groups

AD9: Compliance in the Modern Multi-National: Aligning Trade Compliance with Your Corporate Compliance Program

  • Interactive discussion on the functional responsibilities of trade compliance and its vital role in a global corporate compliance organization.
  • Addresses important and difficult challenges in aligning trade compliance with corporate compliance programs including the intersection with global supply chain and third party due diligence.
  • Discussion of best practices to identify risk, mitigate liabilities and perform defensible due diligence on supply chain partners.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

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

Suzanne Bullitt, Director – Global Trade Strategy & Compliance, Eastman Chemical Company

 

Advanced Discussion Groups

AD10: Who’s Afraid of the Big, Bad Code?

  • Visualizing a new approach to your company’s most important policy.
  • Demystifying the Code of Conduct development process.
  • Strategies and tactics for deployment.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

No Presentation or handouts Available

Michael Levin, Senior Director of Compliance, Ethics & Business Practices, Freddie Mac

 

Concurrent Breakout Sessions

1:00 – 2:00 PM

 Risk

601: RIM: It’s Not Just about the Records

  • Facing downward budget pressure as Company’s try to do more with less RIM Programs face the risk of being left on the side of the road and failure to address records and information management issues may lead to regulatory and legal troubles.
  • International organizations have been in the news recently as a result of their inability to put their hands on, and produce, required records, both in the context of regulatory investigations and civil litigation.
  • In this session, learn how one organization integrated their record and information program into Compliance to successfully overcome this challenge.

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

Jacki Cheslow, Director, Business Ethics & Compliance, Avis Budget Group

 

Ethics

602: Ethical Considerations of Artificial Intelligence

  • To provide an understanding of what AI is and what it is not and why ethics matters.
  • To discuss what is being done on a global level to address ethical issues in AI.
  • To discuss ways organizations can be preparing both their boards and employees today to address AI.

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

Colleen Dorsey, Director, Organizational Ethics & Compliance, University of St Thomas- School of Law

Eileen M. Lach, Member, Executive Committee, The IEEE Global Initiative on Ethics of Autonomous and Intelligent Systems

 

 Case Studies

603: Built in, Not Bolt on: Creating a Compliance Program for a Tech Startup

  • Creating a compliance program from the ground up at an insurtech has both amazing opportunities and great challenges.
  • Learn what it’s like to be the 18th employee at a tech startup and also their Head of Compliance.
  • Explore the innovative compliance program developed over the course of the first year.

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

Danielle E. Herrick, Head of Compliance, Attune Insurance Services, LLC

 

 Multinational/ International

604: Foreign Agents, Partners & Intermediaries: You Can’t Live With Them, But You Can’t Live Without Them

  • Overview of Global Anti-Corruption Laws and Guidance on Managing Third Party Risk.
  • Implementation of an Effective Risk Based Approach to Due Diligence.
  • Utilization of Data Analytics and Risk-based Sampling as a Component of Your Third-Party Risk Management Process.

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

James M. Lord, Shareholder, Glade Voogt Lord Smith

Andy Hinton, VP, Global Ethics & Compliance, Google

Harvey W. Woodford, VP, Chief Ethics & Compliance Officer and Corporate Secretary, Avnet, Inc.

Xavier Oustalniol, Partner, StoneTurn

 

 Compliance Lawyer

605: Preventing Harassment and Discrimination: Why the Current System Fails and What to do About it

  • Harassment and discrimination have been leading news stories despite companies having policies, training and reporting systems.
  • The wrong legal standard is being used to determine what is a “reasonable effort to prevent violations”.
  • We propose a compliance & ethics solution to a serious failure in companies and other organizations.

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

Paul McGreal, Professor of Law, Creighton University

Joseph E. Murphy, Senior Advisor, Compliance Strategists

 

 IT Compliance

606: Creating Cyber Incident Response Plans

  • Worst Case Scenarios: Revisiting Sony.
  • Hindsight is 20/20: What a Robust Cyber Response Plan Could Have Prevented or Accomplished.
  • Strategic Insights: How to Prepare Your Cyber Response Plan.

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

Megan M. Moloney, Federal Bureau of Investigation

 

General Compliance and Hot Topics

607: What Are the OIGs - and Why You Should Care

  • Understand how the Office of Inspector General system functions, their various authorities, and why they may end up on your doorstep.
  • Explore how the missions of the various OIG offices aligns with the compliance profession, and what models may be relevant to your work.
  • Learn how to effectively handle OIG audits, subpoenas, and how to put the best foot forward when under Government scrutiny.

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

Handout (.xlsx)

Daniel H. Coney, Assistant Special Agent in Charge, DOIOIG

 

 General Compliance and Hot Topics

608: OFAC Sanctions: Navigating the Minefield

  • Introduction to OFAC as well as recent new sanctions law enactment in Aug 2017 impacting Russia, Iran and North Korea.
  • Review of recent enforcement actions for lessons learned involving PNB Paribas, Schlumberger and ZTE.
  • Discussion on key steps to take to prevent violations including best practices for policies/procedures, screening, due diligence and training.

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

Robert J. Ward, Jr., VP Global Compliance, Houston International Business Corp

 

 Advanced Compliance Track

609: Building an Ethics Culture & Compliance Program through a Corporate Business Mentor-Protégé Program

  • Business purpose for corporate mentor – protégé.
  • Importance of Mentor-Role-Modeling for An Ethic & Compliance Environment.
  • Building Up the Protégé Bones for Ethics & Compliance.

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

Handout

Lynn Wise, Attorney, Northrop Grumman

 

 Professional Skills Track

610: Outstanding Collaboration: Can’t We Just All Get Along?

  • Why is it often so difficult to work well with Audit, Human Resources, Legal, Procurement, Management and the Board? Join us to find out what to do about it!
  • Turf Wars: How to avoid them and how to maneuver out of them while allowing everyone to save face.
  • Learn concrete, specific techniques for using motivation, influence, persuasion and negotiation skills to collaborate outstandingly with other functions in your business.

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

Kristy Grant Hart, Owner, Spark Compliance Consulting

Angelika Flamm, Deputy Group Compliance Director, Royal Mail Group

 

 Advanced Discussion Groups

AD11: Secrets from In-house Ethics & Compliance Buyers: How to Keep the Gate and Your Sanity

  • Learn how to manage your vendor relationships to maximize their value proposition and minimize persistent and time consuming sales pitches.
  • Vendors believe they can make a buyer’s life easier, but they must listen for “buying or non-buying” cues and modulate their contact proportionately.
  • While the compliance community has seen that tomorrow’s solutions for today E&C issues often come from the vendor community, in-house clients (buyers) respond to authentic vendor relationships as they can easily separate salesy bluster from those colleagues who really care.

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

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

Jay Rosen, VP, Business Development and Monitoring Specialist, Affiliated Monitors, Inc.

 

Concurrent Breakout Sessions

2:15 – 3:15 PM

 

 Risk

701: Divided Loyalties: Conflict of Interest Risks, Impact and Effective Management Strategies

  • Stressed about undisclosed conflicts of interest within your organization? This session will help you know why conflicts of interest matter, be conscious of their significant impact on businesses, and learn how to recognize and address conflict situations.
  • A conflict of interest increases the risk of bias and poor judgment, so it is imperative to stay one step ahead of these perilous circumstances.
  • Prepare for the challenges of today’s business environment by learning best practices and effective management strategies to properly identify and address conflict situations.

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

Shannon Grayer, VP, Global Ethics Solutions, Wells Fargo

 

Ethics

702: Unethical Acts—Why We do What We do

  • How our backgrounds and experiences motivate our behavior in the workplace.
  • Why Ethics and Compliance professionals need to understand diverse perspectives when addressing misconduct to shape and build an effective program.
  • Examples where unethical behavior was driven by previous experiences; and, Ethical theories and how they may motivate employee actions.

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

Lisa A. Gross, Ethics Analysis Sr Mgr, Lockheed Martin

Darren Hill, Director Ethics Business Conduct, Lockheed Martin Aeronautics

 

 Case Studies

703: Lights! Camera! Compliance! …How Making a Movie Changed Our Culture

  • The AGDC training team shares how they prevent costly antitrust litigation by requiring new hires to re-live a chapter from their own history with scenes from their award-winning Hollywood style compliance film “Breathing Underwater.”
  • Attendees will receive a step by step account of walking through the initial antitrust lawsuit, the company culture ten years later, how they translated corporate legal documents into a script, producing the film, to the ultimate screening with employees.
  • AGDC will share how this approach proved to be a tangible investment in their culture of responsibility, and how it sets the stage for a compelling discussion with Compliance experts following the screening.

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

Marc Havener, CEO, Resonate Pictures Inc.

Heather Bell, AGDC Compliance, Altria

Karl Schneider, Senior Lead Specialist Compliance, AGDC

 

 Multinational/ International

704: While You Were Sleeping: Insights about the Realities of Ethics & Compliance in Asia with a Focus on Bribery and Corruption

  • An overview of the regulatory enforcement landscape, including recent investigations, trends and legal updates.
  • From an ethics and compliance standpoint, what tends to work well in Asia and what doesn’t?
  • Ideas and best practices on how to effectively train, investigate and communicate internally with management and employees in your Asian subsidiaries and operations.

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

Jimmy Chatsuthiphan, Global Compliance Investigator, Panasonic Avionics Corporation

Jason Chang, Of Counsel, DLA Piper

 

 Compliance Lawyer

705: To Privilege or Not to Privilege: The Role of Attorney Advice in Performing Risk Assessments and Running a Compliance Program

  • Get grounded on the definition of the attorney-client privilege. Discuss the legal basis for performing privileged risk assessments from both Legal and Compliance perspectives, and explore circumstances when a privileged risk assessment is helpful.
  • Explore the difference in roles of attorneys and compliance professionals, even when the compliance professional is an attorney by education and experience, and how to maintain a healthy partnership between the two, despite natural tension.
  • Discussion centered on the real-world impacts of compliance work under privilege, from the perspective of a non-attorney compliance professional.

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

Suzanne L. Montgomery, VP-Compliance, AT&T

Altresha Burchett-Williams, AVP-Senior Legal Counsel, AT&T

Kristopher Watts, Director-Compliance, AT&T

 IT Compliance

706: Who, What, Why: PCI

  • Overview of compliance with the Payment Card Industry (PCI) Data Security Standard (DSS).
  • Operationalizing compliance across multiple payment channels: e-commerce, retail, mobile, and call centers.
  • Tips for maintaining compliance.

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

Tess Casey Flanagan, Senior Manager and Counsel, Global Compliance Operations, Under Armour

 

 General Compliance and Hot Topics

707: They made the news, but you don’t have to!

  • In this session, we will discuss recent crises that made the news and social media, and the impact of the attention.
  • We will provide some tips for how to handle media inquiries.
  • We will discuss specific steps you can take to prevent negative attention.

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

Ben DiPietro, Former Editor-Reporter, Wall Street Journal

Kitty Holt, Ethics & Compliance Officer, Plan International USA

 

 General Compliance and Hot Topics

708: The Road to ISO 37001 Anti-bribery Management Systems: How We Got There and Why it’s Worth it

  • Evaluating, quantifying, and selling the value of ISO 37001 Anti-Bribery Management Systems certification to your C-Level suite, senior management and the board.
  • Evaluating the readiness of your Anti-Bribery program against the ISO 37001 standards, including; a model approach with practical examples; crafting a remediation plan; prioritization tips; and obtaining support for closure.
  • Essentials to Success: A review of vital management system components and KPIs of program success; including: Risk assessments; third party risk management; achieving organizational synchronization; use of automation; metrics that matter, and audit tips.

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

Mark Speck, Managing Partner, Specktrum Inc.

Diana Trevley, West Coast Director, Spark Compliance Consulting

 

 Advanced Compliance Track

709: Unconscious Bias, Cognitive Errors, and the Compliance Professional

  • Unconscious bias towards social groups, including how to assess bias using the Implicit Association Test.
  • Cognitive errors, including affinity bias, confirmation bias, expectancy effects, investigator bias, lie bias, priming, trustworthiness bias, and Dangerous Decisions Theory.
  • Strategies for compliance professionals to avoid and reduce the impact of unconscious bias and cognitive errors in their work.

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

Michael Johnson, CEO, Clear Law Institute

 

 Professional Skills Track

710: LinkedIn 2.0: How to Maximize your LinkedIn Membership

  • How to best optimize your profile.
  • How to conceptualize content and utilize it to become a subject matter expert.
  • The little daily actions you can take that collectively elevate your LinkedIn feed.

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

Andrew Phillips, Advocacy, Government & Non-Profits, Company: LinkedIn Marketing Solutions

 

 Advanced Discussion Groups

AD12: I’m Here, But My Organization Is There: How Do I Manage This Alone?

  • What challenges do you face when expected to manage a compliance program in one continent when the company (and Compliance Department) are headquartered in a different continent?
  • How do you overcome the differing risk assessment results?
  • What rules, guidelines or regulations are applicable to MY employees?

Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

No Presentation or handouts Available

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

Christine J. Watzke-Ulbert, Compliance Manager-North America, AkzoNobel

 

GENERAL SESSION

3:30 – 4:30 PM

What We Need to Know About #MeToo

  • Exploring the Role of Ethics and Compliance Professionals regarding Diversity and Inclusion in the Workplace
  • Recognizing Organizational Vulnerabilities and Exploring the Compliance Program Value Proposition
  • How C&E programs can help your company and culture during controversial societal events

No Presentation or handouts Available

Moderator- Jenny O’Brien, Chief Compliance Officer, UnitedHealthcare
Rebecca Walker, Partner, Kaplan & Walker LLP
Paul Fiorelli, Professor of Legal Studies and Director, Cintas Institute for Business Ethics, Xavier University
Robin H. Everhart, SVP & Chief Diversity Officer, Cintas Corporation

 

WEDNESDAY

Post-Conference Breakout Sessions

8:00 - 9:30 AM

 Risk

W1: Vendor Risk Management in Practice: Three Steps to Take for the Three Capabilities You Need

  • Due diligence: how to develop a process that finds ultimate beneficial owners effectively, and at scale; the tools to use, controls to have, policies to follow;
  • Risk assessments: how to assess the multiple types of risk””anti-bribery, fraud, collusion, cybersecurity””and integrate those criteria into one versatile assessment process;
  • Operationalize it: how to implement ‘derisking’ programs on a practical basis; how to referee disputes among business functions about which vendors to use or cut loose; and how to document the benefits of your effort.

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

Matt Kelly, Editor & CEO, Radical Compliance

Fernanda Beraldi, Senior Director, Ethics & Compliance, Cummins Inc.

Edwin Broecker, Partner, Quarles & Brady

 

 Ethics

W2: How to Conduct a High-Quality Ethics and Compliance Program Evaluation

  • Planning is Critical. The importance of planning the evaluation thoughtfully cannot be overstated. Consider scope, applicable standards, objectives, context, timing and audience.
  • Conducting a High-Quality Evaluation. What information should you gather? Whom should you interview? What is the best way to collect the data you need?
  • Reporting the Evaluation Results. Why you should prepare more than one version of the report. Embed future plans in the report. The top questions to answer for the Board and Senior Leadership.

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

Anne R. Harris, Principal, Ethics Works, LLC

 

 Case Studies

W3: International Fraud, Ethics and Culture Seen Through the Lens of a Fraud Examiner

  • Steve will walk us through multiple real life cases which he has investigated over the past twenty years to show the link between ethical behavior, culture and fraud.
  • Understand how unethical business models can drive the organization’s culture over the edge into the fraud abyss.
  • Learn how to detect unsavory business practices, measure the ethical climate of the organization and investigate potential instances of fraud, waste or abuse.

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

Steve C. Morang, Senior Manager, Frank, Rimerman & Co. LLP

 Multinational/ International

W4: Avoiding Investigation Pitfalls: A Boots on the Ground Perspective

  • Advice on planning and executing your investigation, including: building trust with potential whistleblowers; navigating cross-border investigations and cultural nuances; and interacting with key stakeholders.
  • Tips for information gathering—interviews, documents, and other creative sources.
  • The who, what, when, where and why of communications strategies and government voluntary disclosures.

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

Ann Sultan, Counsel, Miller & Chevalier

David Ikenna Adams, Compliance Counsel, Eaze

 

 Compliance Lawyer

W5: Never Hearing “I Told You So”—Best Practices for Preparing and Responding to a Federal Investigation

  • This session will provide guidance on how to prepare your compliance program to be a sword in defending an investigation arising from a grand jury subpoena or search warrant, rather than just a shield.
  • This session will also highlight the steps a company should take to comply with a federal subpoena, or to prepare for a search warrant.
  • This session will provide guidance on how to conduct investigations, audits, and monitoring programs that will have credibility with federal agents and prosecutors.

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

Handout

James Carter, Attorney, Pillsbury Winthrop Shaw Pittman LLP

Aaron S. Dyer, Partner, Pillsbury Winthrop Shaw Pittman LLP

 

 General Compliance and Hot Topics

W7: Around the World in 80 Minutes

  • Following on from 2017’s popular program, we’ll return with a comprehensive look at some of the main issues affecting compliance globally. We’ll contrast and compare between the main theatres of operation—the Americas, EMEA and Asia Pacific.
  • Top rated speakers discuss a wide rage of issues including cyber threats, bribery and corruption, workforce compliance issues (like modern slavery and immigration), privacy, global nature of media and whether legal is ever enough.
  • Common threads running across borders will help you manage your global operations effectively whilst staying sensitive to local cultures.

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

Jonathan Armstrong, Partner, Cordery

Mary Shirley, Senior Director, Ethics and Compliance, Fresenius Medical Care North America

Kristine Robidoux, Senior Compliance and Regulatory Counsel, Gran Tierra Energy Inc.

 

 General Compliance and Hot Topicsback to top

W8: Millennial is a Dangerous Word: A conversation about bias and stereotypes in the workplace

  • The Millennial generation has a bad reputation: You hate millennials, they hate Millennials, even millennials hate millennials!
  • This presentation will consider how stereotypes label this group as superficial, lazy, and entitled. But research actually suggests they can be deeply concerned with social issues, often seeking a way to make an impact in an otherwise overwhelming world, making them ideal champions for your compliance and ethics programs.
  • In addition, panel members will discuss their personal experiences as millennials in the workplace and in the compliance and ethics industry, as well as provide tips and strategies to communicate with and capitalize on the strengths of this emerging generation.

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

Samantha E. Kelen, Lead Ethics Analyst, Duke Energy

Laura Ellis, Global Compliance Enablement, Cisco International Limited

Kyle Lewis, Compliance Operations Manager, Holcim Group Services Ltd

 

Post-Conference Breakout Sessions

10:00 - 11:45 AM

 Riskback to top

W9: Leave No Stone Unturned: Looking for Hidden Risks

  • This unique workshop experience will examine and explore ethics and compliance risks across global organizations from various angles and perspectives to stay nimble in the ever changing world of risk management.
  • Attendees will collaborate, discuss strategy and share experiences related to effective risk identification and management.
  • Session takeaways will include leading practices for effective risk mitigation and how to stay proactive and vigilant to risk vulnerabilities.

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

Krista Muszak, Global Compliance Manager, Tech Data

 

 Ethics

W10: I Would Never Do That! How Your Brain Circumvents Ethics and Compliance Efforts

  • As you go through your day, how many of your decisions are made with conscious deliberation as opposed to automatically? Surprisingly, almost 99% of your decisions are made without thought. Learn how to build triggers to improve people’s ethicality.
  • Your mind frames a problem as soon as it is encountered, but how accurate is your frame? Do you sub-consciously look to support what you want to do instead of what you should do? Learn to frame ethical issues in ways that help achieve desired outcomes.
  • Is your compliance program perceived as something you have to do or something you want to do? Your answer could easily determine if your colleagues will act ethically or not.

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

Michael Hood, Director, 21st Century Learning & Consulting LLC

 

 Case Studies

W11: Turning the Tide of Your Culture without Being Hit by a Tsunami

  • Turn a police & punish compliance culture into a collaborative culture of compliance.
  • Measure your cultural baseline to drive your work plan
  • Identify measureable improvements across time.

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

Marjorie K. Maier, Compliance and Privacy Officer, HMS, Inc.

 Multinational/ International

W12: Dancing with Danger: How to Respond to the Changing Risk Environment in Latin America

  • Corruption Risks in Brazil, Argentina, Colombia, and Mexico: Gain insight into recent corruption headlines and their impact on local anti-corruption laws and the overall culture of compliance.
  • Understanding Local Nuances: What you need to know about your third parties in the region and the significance of due diligence in identifying and mitigating risks.
  • Compliance trends in Brazil, Argentina, Colombia, and Mexico and their impact to corporate governance.Increasing collaboration between US and Latin American authorities. What you need to know to navigate the global regulatory landscape.

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

Handout

Patricia Colombo, Legal, Compliance and RA Director, FUJIFILM do Brasil

Emanuel Batista, Director, Compliance, Kroll

Isabel Simmerman, Compliance Associate, The AES Corporation

 

 Compliance Lawyer

W13: Yin and Yang—Leveraging the Strengths of Legal and Compliance

  • There is sometimes confusion on the different roles compliance and legal play in an organization; understanding what these differences are and how to leverage the strengths of each can help institutional compliance programs be more effective.
  • Some of the key roles of compliance include designing and implementing internal controls such as risk assessment, policies, procedures, trainings, and audits with the combined goals of detection, correction, and prevention of compliance incidents.
  • Some of the key roles of legal include research, legal and regulatory interpretation, and defending the actions of the university when a legal matter arises; when compliance and legal work together risk is reduced and compliance programs are strengthened.

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

Deena King, Director of Compliance, Texas Woman’s University

Destinee N. Waiters, AVP Compliance & General Counsel, Texas Woman’s University

 

 IT Compliance

W14: Everything 3rd, 4th, & Nth Party Risk Management: Understanding the Key Elements of an Effective Privacy & Cybersecurity Program - Contracting, Due Diligence, Auditing & Monitoring, Remediating Gaps, Terminating

  • Understand the emerging trends and requirements including continual monitoring, prior approval, and 4th through Nth Party due diligence. Hear how to stay up to date in this rapidly maturing function and discipline that changes and evolves every day.
  • Review key domestic & international Legal, Regulatory, Standards, Guidance, Industry Segment, Business Practices, and Customer Requirements impacting and governing 3rd, 4th, and Nth Party Vendor Risk Management.
  • Hear Top Action Steps to take to build and maintain an effective 3rd, 4th, and Nth Party Vendor Risk Management Program “program structure and maturity, resources, vendor assessments, audits, contracts, and a whole lot more.

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

Handout 1
Handout 2

Web Hull, Privacy, Lead Information Security Privacy Specialist, Houghton Mifflin Harcourt

 

 General Compliance and Hot Topics

W15: Designing a Built-In Compliance Program

  • Learn how to use technology and existing communication tools to design a built-in compliance program.
  • Get practical tips on how to integrate ethics with the business units; and how to cultivate key partnerships.
  • Discuss how to use metrics to show ROI.

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

Grace C. Wu de Plaza, Director Compliance & Corporate Integrity, Farmer Mac

Anjali Desai, Assistant General Counsel – Corporate & Compliance, Farmer Mac

 

 General Compliance and Hot Topics

W16: CANCELED
Effective Human Trafficking Compliance: Practical Steps for Combating Modern Day Slavery in Your Corporate Supply Chains

  • The ILO estimates over 25M current victims of human trafficking in the form of forced or bonded labor. Combating this affront to human dignity is a top federal enforcement priority, with support across the political spectrum.
  • In a global economy that includes unscrupulous manpower companies, debt bondage, document servitude and wage and housing violations, hear how compliance officers can effectively address the internal and supply chain risks of human trafficking.
  • Learn best practices for identifying trafficking practices, compliance strategies and risk mitigation, sources of law and guidance, toolkits and technologies you can use to position your compliance program for maximum effectiveness.

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