#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 101

#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 102

#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 103

#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 104

#P05

P5: Advanced Conflict of Interest Risk & Disclosure Process Monica Reinmiller, Managing Counsel, Legal 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 105

#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 106

#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 107

#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 108

#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 109

#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 201

#P11

P11: Operationalizing Compliance Grace Wu de Plaza, Group Head of Ethics, Ferguson Hillah Culman, Sr. Risk Analyst, 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 202

#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 203

#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 204

#P14

P14: GDPR Compliance Post-Mortems: Lessons Learned from Facebook, Uber, and Others Scott Giordano, V.P. and Sr. Counsel, Privacy and Compliance, 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 205

#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 206

#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 207

#P17

P17: Is there a Doctor in the House? Diagnosing and Treating your Program Ills with Data Analytics Krista Muszak, GS SOX Controls and Compliance, Johnson & Johnson Louis Perold, Compliance Professional 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 208

#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 209

#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, Group Head of Ethics, Ferguson 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 210

#P20

P20: Managing an Investigations Docket in Asia: Key Regional Regulatory Issues and Top Tips for Conducting Cross-Border Investigations Jimmy Chatsuthiphan, Director, Compliance & Ethics APAC, Uber Technologies Jason Chang, Of Counsel, DLA Piper LLP (US)