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Handout - 2018 - Regional - Seattle - November 16



Compliance Issues in Third Party Risk

  • Overview of select compliance and operational issues intertwined with Third Party Risk Management.
  • Third Party lifecycle and legal/regulatory compliance expectations.
  • Leading practices for managing Third Party risk and governing the program from a compliance perspective, considering the Federal Sentencing Guidelines and other frameworks

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

Matthew Hansen, Director, KPMG Forensic Advisory


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 Giordano, CCEP, CCEP-I, VP, Data Protection, Spirion


Internal Investigations – Tips and Avoiding Turf Wars and Other Pitfalls

  • Compiling the relevant facts
  • Interviewing witnesses fully and impartially
  • Working with a forensics team
  • Documenting information (witness interview notes, fact finding, report findings and recommendations)

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

Mike Duffield, Director, Forensic Investigations, Microsoft Corp.

Steve Simpson, Office of Legal Compliance-Investigations, Microsoft Corp.


Linking Culture to Ethics and Risk Using the Strategic Culture Framework

  • This session will use the Wells Fargo and BP scandals to illustrate the relationship between culture, ethics and risk
  • Participants will be introduced to the Strategic Culture Framework and its implications for proactively managing risk in organizations
  • A high-level roadmap for culture measurement and program impact measurement will also be discussed

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

Caterina Bulgarella, Ph.D., Culture Architect & Ethics Advisor in collaboration with SAI Global


#MeToo and Organizational Responses

  • How we got to the current state;
  • Beyond training – are there best practices for addressing these issues;
  • How generational differences in the workplace affect companies’ approach and response.

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

Jane Orenstein, Director of Legal, Regulatory & Compliance Services, Delta Dental of Washington


Topical Issues Facing Compliance Officers and Professionals (a fire side chat)

  • Cyber and related issues
  • CCO Independence and Board presence
  • Reputational issues resulting from me too, social media issue and privacy and labor practices

No presentation available


Guido van Drunen, Principal, KPMG


Jennifer Zerm, VP, Chief Compliance Officer, Fortive Corporation

Kyle Levine, VP, General Counsel, Chief Ethics & Compliance Officer and Corporate Secretary, Alaska Airlines