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You are here : Resources  >  Resource Overview  >  Past Conference Handouts  >  Compliance & Ethics Institute  >  2018  >  Monday
Presentations and handouts

2018 Compliance & Ethics Institute

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

Sunday | Monday | Tuesday | Wednesday

CEU Application | Conference Brochure

MONDAY

100s | 200s300s

SESSION

SPEAKER

GENERAL SESSION

(8:30 – 9:30 AM)

Next Level Leadership

Handout

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


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Concurrent Breakout Sessions

10:00 – 11:00 AM

 

Risk back 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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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


Networking Break

11:00 – 1:15 AM


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Concurrent Breakout Sessions

11:15 AM – 12:15 AM

 Risk back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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


Networking Lunch

12:15 – 1:45 pm


Did you miss a session?

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


Concurrent Breakout Sessions

1:45 – 2:45 pm

 Risk back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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


Networking Break

2:45 3:00 pm


Did you miss a session?

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

GENERAL SESSION

3:00 – 4:00 PM

What an Art Forger Can Teach Us About Manipulation and Non-Compliance

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

Gerry Zack, Incoming CEO, SCCE & HCCA