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Handout - 2018 - National - European Compliance & Ethics Institute

SUNDAY, 25 March | Pre-Conference

SESSIONS | 13:00-15:00 
(includes 15 minute break)

SPEAKER

P1: Compliance 101

  • Understand the infrastructure requirements for an effective compliance program
  • Discussion of practical application in implementing the elements of a compliance program
  • Have the opportunity to practice concepts discussed during the sessions

Presentation (2 slides/page A4)
Presentation (3 slides/page A4)

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

Debbie Troklus, Managing Director, Aegis Compliance & Ethics Center LLP

Sheryl Vacca, Chief Risk Officer, Providence St. Joseph Health

 


P2: What Would You Do? A Comparative Cultural Analysis of Common Compliance Scenarios

  • An interactive conversation of ten difficult scenarios commonly encountered by compliance officers.
  • Recommended resolutions previously solicited from peers in both the US and Europe will be discussed and compared.
  • Scenarios will be broadly inclusive with situations and topics familiar to those new to a position as well as those who have extensive experience.
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)

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

Samantha Kelen, Lead Ethics Analyst, Duke Energy

Andrijana Bergant, Director, INETICO, Business Compliance and Integrity Advisory

 


SESSIONS | 15:15-17:15 
(includes 15 minute break)

SPEAKER

P3: Corporate Responsibility and Liability: A Global Perspective; U.S., UK, and EU

  • Responsibility and liability for global organizations in the United States, the United Kingdom and Europe.
  • Cooperation with government investigations; what it means and where.
  • Government enforcement and oversight and employee rights and obligations in global organizations

Presentation (2 slides/page A4)
Presentation (3 slides/page A4)

Handout 1
Handout 2
Handout 3
Handout 4
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Handout 6
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Handout 8
Handout 9

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

Handout 1
Handout 2
Handout 3
Handout 4
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Handout 6
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Gabriel L. Imperato, Managing Partner, Broad and Cassel

Odell Guyton, Managing Director, Klink & Co., Inc.

Robert Bond, Partner & Notary Public as speakers

 

P4: Organisational Ethics: Making the Intangible Tangible

  • This session will focus on ethics and culture, recognizing the difference between ethics and compliance. Standards for compliance programs acknowledge the importance of an ethical culture, but what is it?
  • This will be an interactive session covering values-based leadership, ethical decision-making, and practical tips for joining the dots to assess culture in your organization. How do we create and nurture an ethical culture?
  • What are the factors that drive the way we do things here? And how do we know if we have an ethical culture?

Presentation (2 slides/page A4)
Presentation (3 slides/page A4)

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

Sally March, Director, Drummond March & Co.

Jane L. Mitchell, Director, JL&M

 

P5: What Will Your Employees Say?: The Importance of Cultural Assessments

  • Why a Cultural Assessment? One of the first things government agencies do after targeting an organization is to survey its employees. You need to know what your employees will tell the government before it happens.
  • How are they used? Government agents and lawyers will interview your employees to get an idea of your culture. Does senior management really practice what it preaches? Do they have integrity? Do they behave ethically?
  • How can you use your assessment to take corrective action. Is it too late? Are your employees going to help or hurt you?

Presentation (2 slides/page A4)
Presentation (3 slides/page A4)

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

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

 

P6: How to Keep Your Ethics Program Fresh

  • Share best practices for turning real-life investigations into engaging training and communication for your workforce.
  • Learn how to utilize your workforce (wherever they might be in the world) to develop relevant and accessible materials.
  • We’ll also cover the logistics - i.e., how to find new ideas, when to refresh, and who to involve.

Presentation (2 slides/page A4)
Presentation (3 slides/page A4)

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

Rielle Miller Gabriel, Ethics Officer & Manager, International Ethics Operations, Lockheed Martin

Steven Pegg, Senior Ethics Officer, Lockheed Martin Intl – Europe, Middle East & Africa

 

 

MONDAY, 26 March

COMMON SESSION | 9:00-10:00

SPEAKER

Compliance Investigations: Opening the Can of Worms

  • Critical steps in commencing an investigation
  • Legal and practical lessons learned from investigations gone awry
  • Effective use of data analytics in investigating
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Gerry Zack, Incoming CEO, SCCE & HCCA

Anna Cook, Partner, Bristows LLP


COMMON SESSION | 10:00-11:00

SPEAKER

The Lowdown on Data Security Post-GDPR: Hear Firsthand from Experts on How You Can Reduce Your Risk

  • Learn about today’s cyber threats from one of Europe’s leading white hack organisations — how people can get into your systems today
  • Understand GDPR’s data security requirements and what regulators will be looking for in your compliance
  • What’s on the horizon — the threats this year and next and how you can address them
Presentation 
(2 slides/page A4)
Presentation 
(3 slides/page A4)
Presentation 
(2 slides/page US)
Presentation 
(3 slides/page US)

Mike McLaughlin, Cyber Security Operations Manager, First Base Technologies

Jonathan Armstrong, Partner, Cordery

 


SYNDICATE SESSIONS | 11:30-12:30

101: Building a World Class Compliance Program on a Limited Budget

  • Regardless of the size of the company or the budget of the compliance department, there is almost always a limited amount of resources to do the things you want to do as a compliance officer.
  • Learn how to ensure efficient use of the budget and how to prioritize the most important elements in the program.
  • Get inspiration on how to build an effective compliance program that is aligned with the risk appetite of the shareholders, meets the standard of the company leadership and comply with legal requirements.
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Casper Venbjerg Hansen, Senior Compliance Officer, Coloplast


102: Conducting Effective Compliance Investigations in Russia and CIS

  • What are corruption schemes you need to consider? Conflict of interest, bribery and fraud issues you can face. Investigation tools and methodologies.
  • Working with evidence. Legal aspects of collection and analysis of information: financial data, corporate information, information on individuals, digital evidence.
  • Litigation and law enforcement in Russia and CIS: pros and cons. Achieving Settlement agreement and damages recovery.
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Alexander Pisemskiy, Executive Director, CSI Group LLC

Alexander Khaki, Executive Director, CSI Group LLC

 


AD103: Social Media & Compliance in Europe: Keeping Your Organization Safe & Your Employees Engaged

  • Identify and gain insight into how your employees’ actions on social media can affect your organization and what you can do about it
  • Discuss and collaborate with your peers on what your Social Media compliance policy should include — and what to avoid
  • Share tips on training and communicating social media best practices to members at every level of your organization

No Presentation Available

Kortney Nordrum, Investigations & Risk Consultant, Deluxe

 


SYNDICATE SESSIONS | 13:30-14:30

201: Building a Global Compliance Training Program: 3 Multinationals Share Their Insights

  • Set common global standards for ethics and compliance training and get the technology right for your global program.
  • Engage Compliance Officers in local markets and their regional workforces.
  • Manage the headache of localization and regionalisation
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Matt Plass (moderator), Chief Learning Officer, Interactive Services

Peggy Dolin-Brunel, Compliance Director, Sanofi

Nichole Pitts, Vice President & Compliance Officer, Louis Berger International, Inc.

Britta Luescher, Director Compliance, Novartis

 


202: It is Never Too Late to Get Privacy Compliance

  • The EU General Data Protection Regulation comes into force on 25 May 2018 and many businesses are not compliant. How can they get compliant with weeks to go? The speakers will discuss.
  • What compliance challenges are there in other parts of the world?
  • Top tips for developing and maintaining a compliance programme will be presented
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Robert Bond, Partner & Notary Public, Bristows LLP

Maria Lancri, Avocat à la Cour, GGV Avocats à la Cour - Rechtsanwälte

Axel von Walter, Partner, Beiten Burhhardt

 


AD203: Whistleblower Hotlines in Europe

  • With the need for hotlines in the EU and globally, there are many approaches, and no-one size fits all. How do you handle this? Do you limit allegations for the EU? Do you use an external provider? The internet and telephone? What else?
  • For companies with an implemented whistleblower program, how have you managed the need to have a hotline with the EU directives, cultural issues and privacy concerns? What investigation processes are used, how are issues raised and reported to leadership.
  • This advanced discussion will be an open forum for individuals who are at different points in developing, implementing and embedding hotlines to speak candidly about their challenges and successes, both in the EU and globally.

No Presentation Available

Lisa Fine, Director, Global Compliance, gategroup

 


SYNDICATE SESSIONS | 15:00-16:00

301: A Unique Journey to Compliance: Solutions for Small to Medium Sized Companies

  • An overview of unique fraud and corruption challenges facing small and medium-sized companies (SMEs)
  • A real case study to take you through the journey of a SME to compliance
  • A discussion of effective and practical resistance strategies and risk mitigation solutions for SMEs
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Harald Nikutta, Senior Partner and Managing Director, Control Risks

Matthew Kinch, Associate Director, Control Risks

 


302: Foundations and Culture of Compliance Programs: A Global Perspective

  • The commonalities, differences, challenges, and obstacles when establishing compliance program frameworks in Europe, Russia, Africa, and the U.S.
  • The methods, techniques, and ways compliance programs have adapted to cultural norms; how resilient and responsive compliance programs in Europe, Africa, and the U.S. are to change (e.g. economic, regulatory, and technological change)
  • Examples from Europe, Africa, and the U.S. of how foundations of compliance programs, culture, and industry standards merge within the culture of compliance.

No Presentation Available

Sheryl Vacca (moderator), SVP/Chief Risk Officer, Providence St. Joseph Health

David S. Lane, Chief Compliance Officer, Providence St. Joseph Health

Kirill Boychenko, Campaign Coordinator, International Labor Rights Forum

Letitia Adu-Ampoma, Director, Peverett Maxell

 


AD303: Working with Third Parties in Conducting Investigations

  • Determining when it makes sense to utilize third parties in investigations
  • Oversight and management of third party investigative resources
  • Best (and worst) practices in using outside investigative firms

No Presentation Available

Gerry Zack, Incoming CEO, SCCE & HCCA

 


SYNDICATE SESSIONS | 16:15-17:15

401: Building Effective E&C Programs Globally: The Value of Independent Assessments and Evaluation

  • Overview of global ethics and compliance standards and frameworks that multi-national organizations need to consider now before an ethical crisis occurs; what government regulators, and enforcement officials are targeting on a global scale
  • The value of an independent assessment of your compliance program and risk management infrastructure to help strengthen organizational culture, identify and manage potential vulnerabilities, and establish credibility with government entities
  • The corporate “return on investment” and business case that effective compliance, ethics, and risk management programs bring to global organizations
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

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

Thomas Topolski, Executive Vice President, Turner & Townsend

 


402: Implementing a Code of Ethics Globally: Overcoming the Hurdles to Win the Race

  • Johnson Matthey, a FTSE100 listed science company with 12,000+ employees in 35 countries will provide a case study on their global Code of Ethics implementation.
  • This was their first global Code of Ethics; learn how they approached the challenges of adoption across the organisation and have achieved continued engagement.
  • JM used various methods including a hard-copy publication and a blend of face to face and online training supported by their global Ethics Ambassador network.
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Darren Hockley, Managing Director, DeltaNet International

Allan Woods, Ethics & Compliance Engagement Specialist, Johnson Matthey

Barbara Triolo, Paralegal and Compliance & Ethics Coordinator, Johnson Matthey

 


AD403: Meeting the Challenges of International Ethics & Compliance Programs

  • Dealing with different legal environments and cultures
  • Identifying/addressing corporate risk areas
  • Implementing training effectively, avoiding head office “Big Brother” syndrome, & addressing language issues

No Presentation Available

Paul Rew, Partner, McDougall Rew

Kirsten Liston, Principal, Rethink Compliance

 

 

TUESDAY, 27 March

COMMON SESSION | 9:00-10:00

SPEAKER

Fight Against Corruption: Comply or Settle the French Way

  • First implementation phase of the Sapin II Law
  • French anticorruption agency issues guidelines
  • French National Financial Prosecutor issues
  • first DPA
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

André Bywater, Partner, Cordery

Maria Lancri, Avocat à la Cour, GGV Avocats à la Cour - Rechtsanwälte

 


COMMON SESSION | 10:00-11:00

SPEAKER

Wonders of Spaceflight and Its Risks: Lessons from the Space Shuttle Program

  • What a compliance officer can learn from the Space Program tragedies of Apollo 1, Challenger, and Columbia
  • How to encourage a culture where people speak up and listen
  • Where cultures go wrong and the consequences when they do

Presentation

Dr. Garrett Reisman, Mission Specialist, STS-132; Crew Member, International Space Station; Twitter: @astro_g_dogg

 


SYNDICATE SESSIONS | 11:30-12:30

501: Best Practices for Multinational Companies Conducting Cross-Border Investigations and Due Diligence

  • What if subsidiaries don’t get along? Structuring compliance departments in an international company for maximum efficiency.
  • When borders unite: Increasing expectations on companies from governments that are working together.
  • When borders divide: Navigating employee and third party interviews and background checks, the movement of data, and language and cultural differences.
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Ann Sultan, Attorney, Miller & Chevalier

Patrick Garcia, Group Compliance Officer, VEON Ltd.


502: Compliance in Emerging Markets: Disrupting the Single Story

  • Doing business in emerging markets can be challenging for companies and their compliance officers.
  • The speakers have experience working in various emerging markets across different industries, and the presentation will provide a different take on compliance in emerging markets.
  • This session is designed to assist compliance professionals in understanding risks in emerging markets but also to share best practices based on their experience in a number of those countries.
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Cecilia Fellouse-Guenkel, CEO, Compliance for Good

Caroline Hailey, Compliance & Ethics Practitioner

 


AD503: Compliance and Ethics: Essential Components in Every Manager’s Toolkit

  • Discuss how you can use middle manager training to drive a change in how compliance is perceived - from dull annual training to an essential part of a manager’s skillset.
  • Focus compliance training to facilitate middle managers’ learning and how they can incorporate strong ethical and compliance values day to day.
  • Share simple training tips to help middle managers become better role models and highlight the business value of compliance and ethics to capture manager focus — and thereby spread the load for compliance officers everywhere

No presentation available

Sorcha Diver, Senior Manager, Risk and Compliance, Allstate Northern Ireland

 


SYNDICATE SESSIONS | 13:30-14:30

601: Coordination Between Ethics & Compliance, Internal Audit, and Enterprise Risk Management: Practical Tips on How to Leverage Risk Assessment and More

  • Learn how to use, share and leverage technology.
  • Hear practical examples that lead to more complete Risk Assessment.
  • Can’t handle a large diverse company spread throughout the world; Divide and Conquer.
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

David J. Heller, VP Risk Management & General Auditor, Edison International

Kai Bruehl, Director, Strategic Risk Advisory

 


602: Mergers & Acquisitions: Managing Corporate Compliance Through Integration and Organizational Change

  • Compliance’s Role during Due Diligence
  • Integrating the Compliance Program
  • Change Management
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

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

Julian Pierro, Head of Legal, Central Region, Avis Budget Group

 


AD603: Managing Third-Party Supply Chain Risk: How Much Is Enough, and When Is It Too Much?

  • This lively and interactive advanced discussion session will help you to benchmark your third-party program and provide best practices from people facing the same challenges that you are.
  • Discuss what’s happening in the new modern slavery and human trafficking landscape: What are you doing next? What challenges are you facing?
  • Explore solutions to common third-party risks: data privacy, anti-bribery/corruption, and reputational risk around misconduct that could be attributed to you.

No presentation available

Diana Trevley, West Coast Director, Spark Compliance Consulting

 


SYNDICATE SESSIONS | 14:45-15:45

701: Amplifying Communications: Enabling Leader & Manager Led Ethics and Culture Discussions

  • This session looks at how organisations like BP, GSK, Spectris, Volvo and Rolls-Royce are getting self-delivery toolkits into the hands of their leaders and managers to enable a more frequent, but informal drumbeat of ethics and culture discussions with their teams.
  • Looking at strategies employed to engage managers to use these kits.
  • Highlighting some sample kits with the audience
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

David Barr, Director, Campbell Barr

Darriane Garrett, Senior Compliance Manager, GSK

Cédric Dubar, Chief Compliance & Ethics Officer, Volvo Cars

 


702: Millennial is a Dangerous Word: How to Address Bias & Stereo­types in Relation to Compliance & Ethics

  • Bias and Culture: You hate millennials, they hate Millennials, we all hate millennials!
  • Aligning this to Compliance and Ethics: What does this have to do with me?
  • What’s Next?
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Susan Du Becker, Global Compliance Enablement, Cisco Systems BV

Laura M. Ellis, Global Compliance Enablement, Cisco International Limited

 


AD703: The Wolf in Sheep’s Clothing: How Do You Identify Your Next Risk?

  • Risk identification in a multinational business environment
  • The role of the CO in mitigating risks in a multinational business environment
  • How to mitigate risks in a multinational business environment

No presentation available

Louis Perold, Global Compliance Manager, Jabil

Guido Febus, Compliance & Ethics Expert, Avila Business Ethics

 

 

Wednesday, 28 March | Post Conference

SESSION | 8:30-10:00

SPEAKER

W1: Integrated Compliance: New EU and Global Standards

  • Understand how compliance with EU (as well as U.S. and Canadian) regulations on corruption, sourcing sustainably, and using non-forced labor has placed a burden on firms looking to join global value chains. One solution is to harmonize compliance requirements.
  • Discuss how a harmonized or integrated approach allows firms to focus on synergies that exist in compliance programs addressing the EU’s requirements for GSP+ status. Common elements include due diligence, whistleblower mechanisms, and adequate corporate governance.
  • Learn about the work of the non-profit Center for International Private Enterprise to pilot an integrated compliance program for Asian businesses in cooperation with the World Resources Institute and labor-oriented NGOs.
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Frank Brown, Value Chain/Anti-Corruption Program Team Leader, Center for International Private Enterprise

Anna Kompanek, Director, Multiregional Programs, Center for International Private Enterprise

 


W2: “Do as I Say, but Not as I Say…” The Importance of Consistent Compliance Messaging Across the Organization

  • Why you should care about what people are saying: The importance of consistent compliance communications as well as dangers and pitfalls of inconsistent compliance communication.
  • What to look for and where to look: Real life strategies and tips for rooting out and correcting inconsistent messaging within an organization.
  • Who can help: Creating partnerships within an organization in order to achieve efficient and effective compliance communication
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Kyle Lewis, Compliance Operations Manager, LafargeHolcim

 


SESSION | 10:15-11:45

W3: Design for Compliance: Making Compliance Understandable for Employees

  • Your program will only work if employees can understand and use it — areas tackled by the field of design
  • Go from saying “we should have a video/app/game” to thinking about what works best to make a piece of information understandable and actionable
  • Basic design principles that will immediately improve your training and communications
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Ricardo Pellafone, Founder, Broadcat

 


W4: Culture Change Takes Time and Patience: Practical Insights on the Use of Ethics Ambassadors to Catalyse and Support That Change

  • How do you ensure that your compliance efforts is supported by the entire company “ecosystem”? How do you get your company values off the wall and into the business?
  • Stories & examples from ethics ambassadors in different companies that  illustrate what has worked and what has not, and some encouraging preliminary research on the benefits of an ethics ambassador network.
  • Ethics ambassadors form a two-way bridge between you and the business; how do you encourage travel in both directions and improve your results without increasing headcount or taking on risk that belongs in the business?
Presentation (2 slides/page A4)
Presentation (3 slides/page A4)
Presentation (2 slides/page US)
Presentation (3 slides/page US)

Ruth N. Steinholtz, Values-Based Business Ethics Advisor, AretéWork LLP; Co-Author of “Ethical Business Practice and Regulation: A Behavioural and Values-Based Approach to Compliance and Enforcement”