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Agenda

Monday

 

8:00 – 8:30 am

Registration and Continental Breakfast (provided)

8:30 – 8:45 am

Welcome/Introduction

8:45 – 10:30 am

Organizational Ethics

This is a focus on what an ethical culture is and its importance as the underlying basis for a strong culture of compliance and ethics. It focuses on the legal requirement of an ethical culture and the business value of one. The course also covers the current ethical landscape and the practical steps to creating and maintaining a strong ethical corporate culture.

10:30 – 10:45 am

Break

10:45 am – 12:15 pm

Introduction to Compliance Practice 

Abbreviated Compliance 101
This course provides a basic introduction to compliance and compliance programs. It covers the seven essential elements of a compliance program and reviews the organizational steps necessary to implement a successful compliance program. The laws, rules and regulations pertinent to compliance programs are introduced. Challenges confronting compliance officers are discussed.

12:15 – 1:15 pm Lunch (provided)
1:15 – 3:00 pm Compliance Infrastructure

This course is designed to help compliance professionals understand the components of an effective compliance infrastructure. Implementation of a compliance program, selection of qualified staff, budgeting for compliance and the overall structure of the office are discussed. Time is spent discussing the various positions needed and the qualifications for each. The auditing position along with qualifications (coding credentials) is discussed. A compliance professional should be able to use what is taught in this course to design an adequate structure to facilitate an effective compliance program.
3:00 – 3:15 pm Break
3:15 – 5:00 pm Creating and Reviewing Compliance Policies and Procedures

This course focuses on the importance of policies and procedures as the foundation for any strong ethics and compliance program. It covers the legal, cultural, and efficiency reasons for having policies and procedures. The main purpose of the course is to clearly define what policies, procedures and guidelines are, what their specific elements are, and how to create effective policies and procedures. It covers an updated view of best practices on codes of conduct. Finally, it covers the ways to review and update policies and procedures.
Tuesday  
7:30 – 8:00 am Continental Breakfast (provided)
8:00 - 9:45 am Ethics and Compliance Risk Assessment

If there were an eighth key element of compliance program guidance, risk assessment would be it. In this session, participants will learn what risk is and how it can be assessed, who should be involved in risk assessments, ways to identify risk areas, and what to do with the results of a risk assessment
9:45 – 10:00 am Break
10:00 – 10:15 am CCEP Exam Discussion
10:15 am – 12:00 pm Privacy and Information Security

This session provides an overview of key data privacy laws, regulations and guidelines that could impact a U.S. or global company with
U.S. operations. It also touches on corresponding data protection standards. The Privacy session provides a basic high level introduction
to new and emerging law, regulations and standards in many segments of industry. It covers laws and regulations applicable to both
private industry and government. Laws and regulations for activities in Europe, Asia and other areas of the world are also briefly touched
on in this session.
12:00 – 1:00 pm Lunch (provided)
1:00 – 2:15 pm Discipline and Program Improvement

This session focuses on two of the most important elements of a program. When a failure is detected, discipline shows the culture that enforcement of the standards of the organization is serious. Discipline not only affects the individuals involved but is a message to the culture. Program improvement is an analysis after every failure to see what can be done to which elements of the program to prevent the same failure in the future. The program is always a work in progress.
2:15 – 3:15 pm Legal Issues, Risk Factors, & Disclosure Issues

This session will cover the need to identify legal risks, the need to investigate those risks, disclosure of wrongdoing, and the prevention of damage arising from both risks and non-disclosure.
3:15 – 3:30 pm Break
3:30– 5:00 pm Ethics and Compliance Programs: Best Practices and Perspectives

This interactive session provides a comprehensive overview of ethics, compliance, and risk management best practices, including strategies and insights for taking your program to the next level. Highlights of this session include considerations and first steps to best practices programs; highlights and metrics on industry trends and perspectives; exploration of program successes, challenges, and opportunities; resources available for developing and enhancing your programs; and an interactive networking and information sharing opportunity
5:30 pm Networking Dinner (optional)
Wednesday  
8:00 – 8:30 am Continental Breakfast (provided)
8:30 – 10:15 am Education and Training

This session will cover the need for compliance and ethics training, the different types of training, targeted training, the dangers of ineffective training, and the use of data to help prove “effectiveness”.
10:15 – 10:30 am Break
10:30 am – 12:15 pm Auditing and Monitoring

The goal for this session is to provide compliance professionals with a solid understanding of the role of auditing and monitoring in the compliance system. It begins with determining the role of auditing and monitoring in the organizational governance process—specifically what assurances the board and management need to meet their responsibilities. Next the session explores the relationship between monitoring activities and internal control. A practical process for developing effective monitoring plans and strategies is then presented along with attributes needed for these plans to provide assurance on the effectiveness of the compliance program. Finally, the session ends with a discussion of internal reporting systems as a key part of an organization’s monitoring activities.
12:15 – 1:15 pm Lunch (provided)
1:15 – 3:00 pm Investigations

This session provides an overview of the workplace investigation process and the key steps in conducting a workplace investigation. Session content is presented for compliance officers who conduct investigations regularly as well as those who incorporate investigation findings in their other compliance work. The structure of an investigations process within the compliance program is discussed. The session proceeds through the investigation process and includes examples from actual investigations.
3:00 – 3:15 pm Break
3:15 – 5:00 pm E&C Programs: Effectiveness and Evaluation

This session focuses on Ethics & Compliance Program effectiveness and evaluation to include core components of program design, implementation, and management, among other key areas. Effectiveness considerations are explored to include strategies and approaches across program elements, organizational impact, global standards, stakeholder expectations, and best practices. The course will also consider methods, tools and resources for evaluating effectiveness and suggested steps for managing program risks, reporting, and opportunities to take the Ethics & Compliance Program to the next level. Overall, this course provides valuable insight and reinforcement of fundamental program requirements, needs and objectives.
Thursday  
7:30 – 8:00 am Continental Breakfast (provided)
8:00 – 9:45 am Conflicts of Interest

Conflicts of interest are some of the most common and challenging issues for compliance and ethics programs. Employees are expected to act in the best interests of their organizations and exercise sound judgment unclouded by personal interest or divided loyalties, but that does not always occur. This session is designed to assist compliance professionals in understanding ethical and organizational risks that result from conflicts of interest. It will review the many kinds of conflicts of interest and how they occur; gifts, gratuities, and kickbacks; policy development; disclosure programs; detection and auditing for compliance; training; case studies; and best practices.
9:45 – 10:00 am Break
10:00 – 11:45 am FCPA Anti-Corruption and Bribery

This course explores the domestic and global administrative and law enforcement efforts surrounding anti-corruption enforcement principles, and provides a practical (hands-on) approach for dealing with these and other organizational compliance and ethics risks.
11:45 am Boxed Lunch (provided)
12:45 pm Exam Check-In Time (optional)
1:00 – 4:00 pm Exam Time – Certified Compliance and Ethics Professional (CCEP)® Exam (optional) The exam is optional. You must apply and be approved to sit for the CCEP exam by CCB, separately from your academy registration. To apply online, click on the Certification Exam tab on the left. Academy and certification exams offered are only in English at this time.

PLEASE NOTE: If you are not present at the specified ‘Exam Time’ as listed above, and as determined by the exam proctor, you will not be allowed to sit for the exam. Actual exam duration is 120 minutes per the Candidate Handbook. Time range above includes mandatory exam procedures and proctor instructions.

Agenda subject to change.