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

2018 Compliance & Ethics Institute

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

Sunday | Monday | Tuesday | Wednesday

CEU Application | Conference Brochure

TUESDAY

400s | 500s | 600s | 700s

SESSION

SPEAKER

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


Networking Break

9:15 - 9:30 AM


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Concurrent Breakout Sessions

9:30 – 10:30 AM

 Risk back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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?

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Concurrent Breakout Sessions

11:00 AM – 12:00 PM

 Risk back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 Topics back 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 back to top

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 back to top

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 back to top

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 back to top

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


Networking Lunch

12:00 - 1:00 PM


Did you miss a session?

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


Concurrent Breakout Sessions

1:00 – 2:00 PM

 Risk back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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.

Networking Break

2:00 - 2:15 PM

 

Did you miss a session?

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


Concurrent Breakout Sessions

2:15 – 3:15 PM

 

 Risk back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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

 


Networking Break

3:15 - 3:30 PM


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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