Welcome & Introduction

8:55 – 9:00 am CDT

Intro and Background to Compliance and Ethics Programs

• History and evolution of compliance and ethics programs
• Introduction to the required elements of a compliance & ethics program
• Expectations of enforcement and regulators

9:00 – 10:15 am CDT

Conference Break

10:15 – 10:30 am CDT

Standards and Procedures

• Understanding the importance of written standards including policies, procedures, and the Code of Conduct
• Form, function, and maintenance of written standards of conduct to support the compliance program
• Types and purposes of written standards and procedures

10:30 am - 12:00 pm CDT

Mid-Conference Break

12:00 – 12:45 pm CDT

Governance, Oversight, and Authority

• Compliance responsibilities at each level of an organization
• Positioning and structure of the compliance function
• Relationship with the board of directors

12:45 – 2:15 pm CDT

Risk assessment – Part 1

• Performing compliance risk assessments
• Risk criteria to consider
• Design and implementation of risk responses

9:00 – 9:50 am CDT

Conference Break

9:50 – 10:00 am CDT

Risk assessment – Part 2

• Performing compliance risk assessments
• Risk criteria to consider
• Design and implementation of risk responses

10:00 – 11:00 am CDT

Conference Break

11:00 – 11:15 am CDT

Due Diligence in Delegation of Authority

• Identifying who has important compliance responsibilities
• Issues with employee background checks
• Due diligence for vendors and other third parties

11:15 am – 12:30 pm CDT

Mid-Conference Break

12:30 – 1:15 pm CDT

Communication & Training

• Risk-based identification of training needs
• Development and delivery of compliance training
• Compliance and ethics-related communications

1:15 – 2:30 pm CDT

Optional Networking Hour – use this hour to interact and engage with fellow attendees and instructors. Recap the last two days, ask questions, and make connections.

2:30 – 3:30 pm CDT

Incentives and Enforcement

• Active promotion of the compliance and ethics program
• Use of incentives to encourage compliance
• Discipline for identified wrongdoing

9:00- 10:15 am CDT

Conference Break

10:15 – 10:30 am CDT

Monitoring, Auditing, and Reporting Systems – Part 1

• Understanding the essential aspects of auditing and monitoring
• Developing the compliance auditing and monitoring plan
• Techniques and approaches to auditing and monitoring

10:30 am – 11:30 pm CDT

11:30 – 11:45 am CDT

Monitoring, auditing & reporting systems – Part 2

• Understanding the essential aspects of auditing and monitoring
• Developing the compliance auditing and monitoring plan
• Techniques and approaches to auditing and monitoring

11:45 am – 12:45 pm CDT

12:45 – 1:30 pm CDT

Investigations

• Key steps in performing compliance investigations
• Conducting effective interviews and gathering evidence
• Concluding and reporting on investigations

1:30 – 2:45 pm CDT

Response to Wrongdoing

• Actions to take when wrongdoing is discovered
• Performing root cause analysis
• Designing and implementing remediation actions

9:00 – 10:15 am CDT

Conference Break

10:15 – 10:30 am CDT

Program Improvement

• Methods of assessing performance of the compliance and ethics program
• Focus on continuous improvement of the program
• Internal vs. third party assessments

10:30 – 11:30 am CDT

Mid Conference Break

11:30 – 12:00 pm CDT

Hot/Common Compliance Issues

• Overview of FCPA, UK Bribery, and other anticorruption laws
• Privacy and data security issues, including cybersecurity
• Conflicts of interest

12:00 pm – 1:15 pm CDT

1:15 – 1:30 pm CDT

What is Next for Me and My Program?

• Key skills necessary for compliance professionals
• Taking action to have a successful career in compliance
• Applying what you have learned to your compliance program

1:30 – 2:30 pm CDT

Optional Networking Hour – use this hour to interact and engage with fellow attendees and instructors. Recap the last two days, ask questions, and make connections.

2:30 – 3:30 pm CDT