#P01

P1: Effective E&C Risk Management - Part 1: Framework, Program Essentials, and Core Practice Considerations Greg Triguba, Principal, Compliance Integrity Solutions Jim Urso, Sr. Mgr, Treasury Compliance, Federal Reserve IT 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 real-world examples and scenarios that set the stage for identifying an organization's risk universe, prioritization efforts, and next steps for effective management and mitigation.

Risk

#P02

P2: Ethical Leadership Doesn't Happen Overnight, or Does It? I Was an Employee Yesterday...Leader Today, but Am I an Ethical Leader? Lisa Gross, Ethics Analysis Sr Mgr, Lockheed Martin Darren Hill, Director Ethics Business Conduct, Lockheed Martin Aeronautics View Description

• The difference between a leader and a manager and why this distinction is important to building and maintaining an ethical environment
• Discuss and share assimilation techniques to foster ethical culture and leadership
• Review case scenarios demonstrating good and bad ethical leadership and its impact to the company

Ethics

#P03

P3: When Ethical People Make Unethical Decisions: Lessons, Reflections, and Takeaways from the Public Sector Jabu Sengova, Ethics Officer, City of Atlanta Ethics Office Carlos Santiago, Deputy Ethics Officer, City of Atlanta Ethics Office Jenna Wiese, Deputy Inspector General, Office of the State of Georgia Inspector General View Description

• See and hear real life stories of public sector employees whose ethical lapses resulted in ethics investigations as well as fraud and criminal prosecution
• Engage in an interactive and thoughtful discussion of the key factors that lead to unethical conduct and how "good" people go "bad"
• Gain insight into lessons learned and takeaways from the consequences and aftermath of poor ethical decision-making

Case Study

#P04

P4: The Practical Who, What, When, Why and How’s of Third Party Due Diligence & Monitoring James Lord, Consultant, Dow Jones Xavier Oustalniol, Partner, StoneTurn Andy Hinton, VP, Global Ethics & Compliance, Google View Description

• Creative approaches to preventing and detecting corruption through risk-based third party management
• Determining the right level of due diligence and identifying non-traditional sources of third party information
• Highly engaging use of real life hypotheticals to explore current issues and challenges in third party management around the globe

International

#P05

P5: Advanced Conflict of Interest Risk & Disclosure Process Monica Reinmiller, Corporate Counsel, Legal Affairs & Compliance , T-Mobile Michael Volkov, CEO, Volkov Law Group LLC View Description

• Identify heightened Conflict of Interest risks with public company Board service, Anti-trust and trade secret risks
• Develop a sustainable and ongoing review of high risk conflict disclosures
• Discuss Conflict of Interest best practices and guidance

Lawyer

#P06

P6: Cyber Security Due Diligence: Will You Be the One to Save Your Company & CEO From Disaster? Charles Shugg, Partner | Chief Operating Officer, Sylint Group, Inc View Description

• Discuss the importance and criteria for cyber security due diligence and how it affects corporate or organizational reputation damage, judicial punishment and senior executive careers
• Review case studies that highlight the lack of "reasonable" corporate cyber security due diligence regarding processes, assets and incident response actions
• Provide best practice guidance to improve senior executive awareness, reduce corporate risk and increase the likelihood of C-Staff career survival following a cyber security breach

IT

#P07

P7: 100+ Years of Business Ethics: Learn About the Future from Masters of the Profession Steven Priest, President, Integrity Insight International Carrie Penman, Chief Compliance Officer and Senior Vice President, Advisory Services, NAVEX Global Jeffrey Kaplan, Partner, Kaplan & Walker LLP Edward Petry, Ed Petry, Ph.D., Senior Advisor, NAVEX Global View Description

• "Those who cannot remember the past are condemned to repeat it." Carrie Penman, Jeff Kaplan, Ed Petry and Steve Priest have worked internally and with clients for over 100 years. They have made a lot of mistakes and had quite a few successes.
• Steve will moderate--drawing out the most valuable lessons to help you navigate the challenges of 2020 and beyond
• This interactive session will answer your most pressing questions. No matter what your situation is, one of our panelists will most certainly have experienced something similar, and draw on their expertise to help you.

General Compliance

#P08

P8: Investigations Workshop (Morning Session: Parts 1-3) Albert Gagne, Former Director Ethics & Compliance, Retired Latour "LT" Lafferty, Partner, Holland & Knight Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. View Description

• Part 1: Beginning the Investigation and Interviewing the Reporter. This session addresses the importance for a formal Investigations Policy and focuses on intake fundamentals for getting as much information as possible from the reporter.
• Part 2: Planning the Investigation. This session will focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation.
• Part 3: This session will explore the critical role of document in the investigation process. Internal investigators should be able to identify and explain the purpose of documentary evidence.

General Compliance

#P09

P9: Effective E&C Risk Management -- Part 2: Operationalizing Risk Management and Taking your Practice to the Next Level Jim Urso, Sr. Mgr, Treasury Compliance, Federal Reserve IT Greg Triguba, Principal, Compliance Integrity Solutions View Description

• This session takes a deeper dive into effective risk management/mitigation strategies to include addressing challenges of maturing the Risk Management function and ensuring Risk Management concepts are encompassed as a part of day-to-day operations.
• Examine the pitfalls of an unincorporated Risk Management function, and how periodic "check the box" risk management exercises are the real risk to organizational success
• Discuss methods to successfully mature Risk Management functions, engage all levels of staff and leadership, and foster a Risk-conscious organization

Risk

#P10

P10: Every Choice Has a Consequence Chuck Gallagher, President, Ethics Resource Group View Description

• How easy it is for ethical people to make unethical choices and what to do about it.
• The impact of life’s choices and how that affects your performance, both personally and professionally.
• Real-world practical examples of how to use ethics and integrity to create success in business and life.

Ethics

#P11

P11: Operationalizing Compliance Grace Wu de Plaza, Director Compliance & Corporate Integrity, Farmer Mac Hillah Culman, Program Manager - Dept of Enterprise Operations, Farmer Mac View Description

• Congratulations! The CEO agreed to implement your compliance initiative across the enterprise. Now what?
• In this session, compliance officers who have never developed a project management plan, found the thought of developing a plan overwhelming, or is interested in refining their project management skills will walk away with insights, next steps, and a
• The speakers will take attendees through a case study of how Farmer Mac's compliance department partnered with a project manager and leveraged a project management plan to implement its GRC system and to overhaul its policies and procedures framework

Ethics

#P12

P12: How to Dribble Corruption Risks in Latin America: Learn How to Avoid Faults, Penalty Kicks, and Score Compliance Goals Patricia Colombo, Director of Legal and Compliance, FUJIFILM do Brasil Emanuel Batista, Senior Director, Compliance Risk and Diligence, Kroll Isabel Simmerman, Ethics & Compliance Counsel, The AES Corporation View Description

• 2019 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
• 365 Days Later - The role of new governments and their influence in compliance and Anti-Corruption and Bribery regulations and trends in Brazil, Argentina, Colombia, and Mexico and their impact to corporate governance. What you need to know to navigate
• Think Globally and Act Locally: What you need to know about your third parties in the region and the significance of due diligence in identifying and mitigating risks

International

#P13

P13: The Happy Marriage between Legal and Compliance Donna Boehme, Principal, Compliance Strategists LLC Patrick Gnazzo, Principal, Better Business Practices Judith Nocito, Senior Advisor, Compliance Strategists View Description

• Join experts with "in the trenches" CCO experience in an engaging discussion of the respective roles and responsibilities for Compliance and Legal in your compliance program. The Partnership between these two functions should be strong and clearly defined
• Discussion will include: The evolution away from Compliance as a captive arm of Legal, How a strong partnership can support the mandates of both functions, and Mapping out the respective responsibilities and roles of the two sister functions.
• This unique and dynamic session is intended to clarify an area of much uncertainty and controversy over the past decade, and point the way to more productive working relationships. Bring your questions with you!

Lawyer

#P14

P14: GDPR Compliance Post-Mortems: Lessons Learned from Facebook, Uber, and Others Scott Giordano, VP, Data Protection , Spirion View Description

• In the nearly 18 months since the EU GDPR was brought into force, several well-known companies have been penalized by EU data protection authorities for misuse and loss of personal data.
• In this session, we will review these post-mortems, determine what went wrong, and discuss the implications for complying with the GDPR and other multinational data protection regulations going forward.
• We will also examine recent European Data Protection Board (EDPB) opinions and discuss how they affect overall compliance strategy

IT

#P15

P15: Lessons from the Accidental Compliance Professional Roy Snell, Strategic Advisor, SCCE & HCCA Jenny O'Brien, Chief Compliance Officer, UnitedHealthcare View Description

-How to Handle "The Big One" -A Guide to Being Delightfully Honest -Compliance Activism Belongs in a Rodeo -Study Your Failures to Find a Better Way

General Compliance

#P16

P16: Investigations Workshop (Morning Session: Parts 1-3) (con’t) Latour "LT" Lafferty, Partner, Holland & Knight View Description

• Part 1: Beginning the Investigation and Interviewing the Reporter. This session addresses the importance for a formal Investigations Policy and focuses on intake fundamentals for getting as much information as possible from the reporter.
• Part 2: Planning the Investigation. This session will focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation.
• Part 3: This session will explore the critical role of document in the investigation process. Internal investigators should be able to identify and explain the purpose of documentary evidence.

General Compliance

#P17

P17: Is there a Doctor in the House? Diagnosing and Treating your Program Ills with Data Analytics Krista Muszak, Global Compliance & Ethics Professional Louis Perold, Global Compliance Manager, Jabil View Description

-With access to so much data, where do you begin? How do you make sense of it all? How can you leverage the data to reveal gaps, mitigate risks and grow your compliance program? -Are you wrestling with how to manage and monitor your data to make sure you are in compliance with the ever-changing rules? -Answer these questions and discuss how you can use data analytics for risk assessments and to address other elements of an effective compliance program.

Risk

#P18

P18: Ethics & Leadership: More than Slogans & Sayings Don Mullinax, President & CEO, Mullinax Group, LLC View Description

• Managing partner of accounting firm sentenced to 20 years for theft of $500,000 from his own company. Despite policies and codes of ethics, lapses in ethics like this occur every day. You will take an interesting look into the mindset of these fraudsters.
• Would commit a felony to pay for needed surgery for your child? How do you rate yourself when it comes to ethics? What would you do? You will test your Ethics IQ using real-world cases to determine what you "would" do versus what you "should" do.
• Leaders must set the proper tone within their organizations and that means more than just a bunch of slogans and sayings -- they must change behaviors. Where do you begin?

Workshop

#P19

P19: Ethics and Compliance as a Start Up - 20 Steps to Up and Running Charlotte Young, Chief Risk and Compliance Officer, Winrock International Grace Wu de Plaza, Director Compliance & Corporate Integrity, Farmer Mac View Description

• Starting a compliance office? Here is a handy checklist of how to get started and what not to forget
• Intended for new programs but also would enhance a mid-mature program
• Providing tested practical tips and tools to leverage your resources to build an effective program

Case Study

#P20

P20: Managing an Investigations Docket in Asia: Key Regional Regulatory Issues and Top Tips for Conducting Cross-Border Investigations Jimmy Chatsuthiphan, Director, Global Compliance Investigations, Panasonic Avionics Corporation Jason Chang, Of Counsel, DLA Piper LLP (US) View Description

• Exploration of recent hot regulatory issues affecting the Asia region
• Effectively manage investigations in Asia, particularly for multinational organizations
• How to build an effective cross-border investigations team and key components

International

#P21

P21: Top 5 Compliance Risks when Contracting with the Federal Government Erica Geibel, Corporate Legal Counsel, Ethics and Investigations, Perspecta Inc. Stephen Knight, Partner, Smith Pachter McWhorter, PLC View Description

• The federal government is unlike any other customer that a company can have, imposing complex compliance requirements on contractors.
• This discussion will focus on the major government contracting compliance challenges and how to address those challenges preemptively.
• The presenters will provide an overview of the significance of doing business on federal government money; the five greatest compliance risks affecting contractors; and a summary of significant legislative and regulatory developments in those areas.

Lawyer

#P22

P22: Move the Needle - Active Agent Approach to Cybersecurity and Data Protection Compliance Brian Novack, Lead Compliance Analyst, AT&T Oleg Vasilyev, Director Compliance, AT&T View Description

• Core products and processes at each company are dependent on IT. Active threats continue to evolve and drain resources. This limits a company's ability to reinvest, develop products, expand offerings to drive the next wave of growth, or to remain viable.
• To help, compliance must become an active partner supporting all facets of a company to establish the expectation for compliance, plan for compliance upfront, and drive compliance through strategic resource investment that is balanced with the risk.
• We will discuss an approach to help move companies towards active compliance, enabling each of us to build a solid foundation on which to reduce the threat opportunity and most importantly: Move the Needle.

IT

#P23

P23: Grant Fraud: $700+ Billion in Potential Risks Kenneth Dieffenbach, Assistant Special Agent in Charge, U.S. Department of Justice OIG View Description

• The Federal Grant Process: what you need to know about the basic parameters from application to award to implementation to oversight mechanisms.
• What Can and Does Go Wrong: the common grant fraud schemes and key liability areas that every grantee must address.
• Grant Fraud Prevention: practical tips on how to proactively protect your organization.

General Compliance

#P24

P24: Investigations Workshop (Afternoon Session - Parts (4-6) Albert Gagne, Former Director Ethics & Compliance, Retired Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. View Description

• Part 4: Taking Effective Interviews: This session will focus on the difference between an interview and an interrogation. Attendees will also gain a better understanding of the importance for documenting your interviews.
• Part 5: Preparing the Investigation Report. This session will focus on the importance for documenting key facts in the investigation report.
• Part 6: Question & Answer Panel. This final session provides an opportunity for attendees to leave no stones unturned by asking any questions on conducting internal investigations. This session is lively and highly engaging

General Compliance