17th Annual Compliance and Ethics Institute 2018

#P01

P01 - Ethics & Compliance Risk Management 101: Program Essentials and Effective Practice Greg Triguba, Principal, Compliance Integrity Solutions Carla Weiler, Manager, Ethics & Compliance, Starbucks View Description

• Gain a deeper understanding of the basic roles, resources and fundamentals necessary to facilitate and manage an effective ethics and compliance risk management program.
• Explore the challenges, planning considerations, and strategic solutions for implementing and leading effective ethics and compliance risk assessment processes.
• Consider outcomes derived from basic risk assessment findings and explore opportunities to use this valuable information to prioritize and build strategic plans for effective management and mitigation.

Risk 101

#P10

P10 - Trade Compliance Risks: What You Don't Know, Can Hurt You! Gwendolyn Lee Hassan, Managing Counsel, Global Compliance & Ethics, CNH Industrial View Description

• Explore the fundamentals of building an effective trade compliance program from the ground up.
• Survey and discuss recent enforcement trends, hot topics, global risks and advanced practice.
• Participate in a complex real-world scenario simulating global trade compliance risks and challenges; explore practical solutions and strategies to effectively manage and mitigate the risks.

Risk 201

#101

101 - Social Media: Risks & Redemption Kortney Nordrum, Regulatory Counsel & Chief Compliance Officer, Deluxe Corporation View Description

• 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.
• Gain insights into best practices for mitigating social media risks and how much of it is out of your hands.

Risk 301

#201

201 l- Global Antitrust Compliance - Assessing Antitrust Risks and Creating an Effective Antitrust Compliance Program Tim Bridgeford, Sr Dir Antitrust Compliance, Walmart Douglas Tween, Partner, Linklaters LLP View Description

• 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.

Risk 351

#301

301 - M&A Transactions: Tactics & Strategies for Effectively Managing Ethics & Compliance Risk Kasey Ingram, General Counsel & Chief Compliance Officer, ISK Americas Incorporated Louis Sapirman, VP, Chief Ethics & Compliance Officer, Panasonic Corporation of North America View Description

• 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.

Risk 401

#401

401 - Working with Uncle Sam: Managing Compliance Risk when Providing Services to the U.S. Government Danica Irvine, Ethics Program Manager & DDAEO, DoD Office of General Counsel Steve Epstein, Former Chief Counsel Ethics & Compliance, Boeing Company View Description

• 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.

Risk 451

#501

501 - 501 Using Privacy Impact Assessments Effectively Robert Bond, Senior Counsel & Notary Public, Bristows LLP View Description

• 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.

Risk 501

#601

601 - RIM: It's Not Just about the Records Jacki Cheslow, Global Compliance Program Leader, IEEE View Description

• 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.

Risk 551

#701

701 - Divided Loyalties: Conflict of Interest Risks, Impact and Effective Management Strategies Shannon Grayer, VP - Senior Manager, International Investigations, Wells Fargo & Co. View Description

• 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

Risk 601

#W01

W01- Vendor Risk Management in Practice: Three Steps to Take for the Three Capabilities You Need Matt Kelly, Editor & CEO, Radical Compliance Fernanda Beraldi, Senior Director, Ethics & Compliance, Cummins Inc. Edwin Broecker, Partner, Frost Brown Todd View Description

• 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.

Risk 801

#W09

W09 - Leave No Stone Unturned:Looking for Hidden Risks Krista Muszak, GS SOX Controls and Compliance, Johnson & Johnson View Description

• 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.

Risk 809