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Presentations and handouts

2018 Compliance & Ethics Institute

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

Sunday | Monday | Tuesday | Wednesday

CEU Application | Conference Brochure

Wednesday (Post Conference)

SESSION

SPEAKER


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


Post-Conference Breakout Sessions

8:00 - 9:30 AM

 Risk back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 Topics back 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

 


Networking Break

9:45 - 10:00 AM


Did you miss a session?

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


Post-Conference Breakout Sessions

10:00 - 11:45 AM

 Risk back 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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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 back to top

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)

Ryan C. Berry, CEO, CHAINTEGRITY LLC

Miranda L. Strong, Bering Straits Native Corporation

 


Did you miss a session?

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