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Board & Audit Committee Compliance Conference

February 18 - 19, 2019 | Scottsdale, AZ

Session handouts are organized by conference day. All handouts are in PDF format. (Adobe Reader) with 2 slides per page

Overall Conference EvaluationCEU Application | Conference Brochure

Introduction to Risk and Compliance

Shawn DeGroot, CCEP, CHPC, CHRC, President, Compliance Vitals

  • Key areas of consideration in developing and implementing a compliance program
  • Risk areas for consideration by the board
  • Steps a board may take in considering management accountability related to compliance risks

Presentation

Evaluation

 

 


Introduction to Board and Management Responsibilities for Compliance Oversight

Dan Roach, Chief Compliance Officer, Optum 360

  • What is reasonable oversight of a compliance and ethics program?
  • What are the ideal qualifications and characteristics of a board member for compliance oversight?
  • How do you know if compliance matters are getting sufficient attention by the Board and the C-suite?

Presentation 

Evaluation

Handout 1
Handout 2
Handout 3
Handout 4

Cyber Security and Privacy

  • Cybercrime, hacking, and ransomware
  • Risks to privacy
  • How to become and remain compliant

No presentation available

Evaluation

Martin Hellmer, Supervisory Special Agent, FBI; Roy Wyman, Attorney, Nelson Mullins Broad and Cassel

 


Compliance Keynote Session

Presentation

Presentation - Jim Sheehan

Handout

Evaluation

Gerry Zack, CFE, CCEP, CIA, CPA, CEO of the Society of Corporate Compliance and Ethics & Health Care Compliance Association


 

Healthcare Fraud and Compliance Update

Healthcare Compliance Track

Gabriel Imperato, CHC, Managing Partner at Nelson Mullins Broad and Cassel

  • Recent developments in enforcement and compliance
  • Individual accountability for organizational health care fraud
  • Department of Justice Compliance Counsel and enforcement and compliance in the new administration

Presentation 

Evaluation


Anti-Corruption and Anti-Bribery Foreign Corruption Practices Act

General Compliance Track

Odell Guyton, CCEP, CCEP-I, Co-Founder SCCE, Managing Director, Klink & Co., Inc.

  • FCPA basics
  • Recent trends and enforcement actions
  • Observations and lessons learned

Presentation 

Evaluation


Stark and Anti-Kickback Compliance 

Healthcare Compliance Track

Frank Sheeder, Esq., JD, Partner, Alston & Bird LLP; Steve Ortquist, Esq. CCEP, CHC-F, CHRC, Senior Managing Director, Ankura Consulting

  • An overview of both laws and how they intersect
  • The False Claims Act overlay
  • Recent enforcement actions
  • Practical approaches to mitigating risk

Presentation

Evaluation


GDPR 1 Year Later What's Next?

Mia Singer, Principal and Owner, Singer Consulting, LLC; 

K. Royal Director, Consulting, TrustArc. 

  • General scope and breadth of the GDPR
  • Major challenges and potential solutions to compliance with the law
  • GDPR became effective May 25, 2018 – what does ongoing compliance look like?

Presentation

Evaluation

 


Conflicts of Interest

Martin Biegelman, CFE, CCEP-F, Managing Director, Regulatory, Forensics & Compliance, Deloitte Financial Advisory Services LLP

  • Why conflicts of interest matter for organizations
  • Key conflicts of interest for board members, compliance professionals and other employees
  • Case studies, best practices and effective mitigation strategies

Presentation

Evaluation

 

Whistleblowers: Who Are They, Why Do They Blow the Whistle, and What Makes a Good Whistleblower Case?

  • Whistleblowers: Who are they and why do they file Qui Tam cases under the False Claims Act?
  • What are typical organization responses to reports of non-compliance and the whistleblower threat?
  • What are the most important features of compliance programs that are useful in managing compliance deficiencies and the whistleblower threat?
  • How important is minimizing "retaliation" against a reporter and how does an organization achieve this goal?

Presentation 

Evaluation

Michael Morse, CHC, Partner, Pietragallo Gordon Alfano Bosick & Raspanti, LLP

Jacqueline Nash Bloink

Healthcare Compliance Track

General Compliance Track

Healthcare Privacy & Security and Responsibility to Breaches

Shawn DeGroot, CCEP, CHPC, CHRC, President, Compliance Vitals

Darrell Contreras, CHC-F,CHPC,CHRC, Chief Compliance Officer, Millennium Health

  • The basics of HIPAA Privacy and Security
  • Board responsibilities for the Privacy and Security program
  • What to expect when something goes wrong

Presentation 

Evaluation

Communicating with Enforcement and Regulatory Representatives

James Rough, CCEP, CFE, CHC, Founder and President of SunHawk Consulting, LLC; Christian Schrank, Special Agent in Charge, US DHHS OIG OI - Los Angeles Regional Office

  • Management knows all too well the consequences of receiving regulatory inquiries, or worse, a subpoena can have on their reputation, bottom line, and their time.
  • Learn the importance of building a good working relationship with government representatives
  • Learn the importance of accurate, timely, and complete disclosure when reporting or self-disclosing to government representatives

Presentation

Evaluation

Internal Investigations 101

  • Leveraging Resources
  • Control and Track
  • Prevent Retaliation
  • Effects of poor investigation/lessons learned

Presentation 

Evaluation

Lisa Gressel, General Counsel, PF Chang's;

Eric Cannon, Director, KONE Americas; 

Showtime: The Critical Component of Organizational Culture

Presentation 

Evaluation

Gerry Roy, CHC, CHRC, VP, Chief Compliance & Privacy Officer, Phoenix Children's Hospital

Ethical Culture and Compliance Effectiveness

  • The Effects of Organizational Ethics and Culture on Compliance
  • Detecting the Faint Signals in Your Organization’s Culture
  • Establishing an Ethical Foundation: The Role of Boards and Executives

Presentation 

Evaluation

Steve Ortquist, Esq., CCEP, CHC-F, CHRC, Senior Managing Director, Ankura Consulting

Marianne Jennings, JD, Emeritus Professor, Arizona State University

Judy Ringholz, JD, RN, CHC, Vice President of Compliance and Ethics & Chief Compliance Officer, Jackson Health System

What It Takes To Be a Good Board Member

  • Compliance and board member duties in compliance investigations
  • Board member oversight of mergers and acquisitions
  • The relationship between the board and the C-suite

Presentation 

Evaluation

Dan Roach, Chief Compliance Officer, Optum 360

Gabriel Imperato, CHC, Managing Partner at Nelson Mullins Broad and Cassel

False Claims Act Practices and Procedures, and Halifax Case Study

  • Whistleblowers and Compliance Risk and the False Claims Act
  • Best Practices for Compliance Professionals and False Claims Act Liability
  • Anatomy of a False Claims Act Case and Compliance Case Study

Presentation 

Evaluation

Gabriel Imperato, CHC, Managing Partner at Nelson Mullins Broad and Cassel