#RS1

ROOSTER SESSION 1: Effective Third Party Due Diligence and Monitoring Gerry Zack, CEO, SCCE & HCCA View Description

• Designing a risk-based third party compliance management program
• Techniques for auditing and monitoring third parties -
• Important contract terms for third party monitoring

Breakout

#RS2

ROOSTER SESSION 2: The Queen Has Spoken: Clean the Hive! Paul Zietsman, Compliance Officer, SAP MENA View Description

• The Misconception of "Tone from the Top" as a mysterious mystical spell by the Queen
• The role division that will give "Tone from the Top" wings in a multinational organization
• Strategies to allow your executves to own the field and let the hive thrive

Breakout

#501

501: Crisis Management: Practical Tips for the Compliance Professional When it Goes Wrong Jonathan Armstrong, Partner, Cordery Kevin Paterson, Legal Counsel, Insight Direct (UK) Ltd Mary Shirley, Head of Culture of Integrity and Compliance Education, Fresenius Medical Care North America View Description

• Companies face more crisis than ever before - in part due to increased public appetite for bad news, increased powers for regulators, and greater shareholder interest in compliance events. Compliance professionals should be a key part of the response team
• In this interactive panel, three leading experts with experience of handling crisis around the world will discuss the role of the compliance officer when things go wrong
• The panel will focus on practical tips to help you when a crisis hits your organisation

Breakout

#502

502: Artificial Intelligence in Compliance: The Myths and The Reality Allan Matheson, Chief Executive Officer, Blue Umbrella View Description

• Dispelling the myths around artificial intelligence (AI) technology: What’s here, what’s coming, and what can realistically be accomplished in today’s operational environment
• Using key elements of AI in business processes to automate and increase efficiency for compliance teams -
• Dissection of the workflows behind third-party compliance to identify areas where labor, resources, and decision making play the biggest role and what technologies can be used to reduce administration and increase productivity

Breakout

#503

DG503: What Will Your Employees Say? The Importance of Cultural Assessments Art Weiss, Principal, Strategic Compliance and Ethics Advisors View Description

• Why a cultural assessment? One of the first things government agencies do after targeting an organization is to survey its employee You need to know what your employees will tell the government before it happens >li>How are they used? Government agents and lawyers will interview your employees to get an idea of your culture.
• Does senior management really practice what it preaches? Do they have integrity? Do they behave ethically?
• How can you use your assessment to take corrective action? Is it too late? Are your employees going to help or hurt you?

Breakout

#504

504: Workforce privacy training and effective controls to prevent inadvertent employee data breaches James Castro-Edwards, Head of Data Protection and Partner, Wedlake-Bell Stacey Taylor, Learning Design Director, Deltanet International Limited Laura Docherty, Head of Information Governance, Risk & Compliance, Go Inspire Group Kate Surala, Partner & Chief Compliance Officer, The Analyst Research LLP View Description

• Policies
• Procedures
• Infrasturctures

Breakout

#601

601: Business Ethics Programmes: What is the State of Play in Large European Listed Companies? Guendalina Donde', Head of Research, Institute of Business Ethics View Description

• What are the main emerging ethical challenges for business and how can they be tackled?
• What is the most effective way to put ethics on the Board agenda?
• How has the approach to applied ethics changed in the past 25 years?

Breakout

#602

602: Innovate your Compliance Program through digitalization, metrics, and KPIs Bruno Drummond, Senior Director, Global Compliance, DHL View Description

• Review automation and technology enhancements which can quickly improve a compliance program
• Find out how big data analytics and business intelligence can highlight red flags and demonstrate program development
• Learn which compliance metrics and key performance indicators are meaningful and effective

Breakout

#603

DG603: Balancing the Scales between Compliance and Ethics Jane Mitchell, Director, JL&M Ltd, Robert Smith, Director Business Compliance and Ethics, Serco Group plc View Description

• As the world wakes up to the behaviors of organizations and starts to care about how they do what they do, regulators are catching up with public opinion and demanding effective oversight of both compliance and ethics programs -
• Although expectations are clear of our compliance programs, they are less clear when it comes to defining ethical culture, so how can we balance the effectiveness of both and why is it so crucial to have that balance for sustained business success?
• Weak culture, weak compliance. Strong culture, effective compliance. One cannot thrive without the other.
• The balance needed has to be accepted, understood, and nurtured by all parts of an organization.

Breakout

#604

604: Data Incidents, Breach Costs and Regulatory Actions in Europe - What Lessons Have We Learned? Robert Bond, Senior Counsel & Notary Public, Bristows LLP View Description

• When is a data incident reportable?
• Not all incidents are a data breach
• What’s the worst that can happen? The value of a data incident response plan

Breakout

#701

701: Typical pitfalls in the daily life of a sales man - from little goodies for the customers to resale price maintenance and hub & spoke cartel Christina Hummer, Partner, SCWP Schindhelm Heiko Hellwege, Attorney, PFK WMS View Description

• Kickbacks, tickets for the football game, a treat in the Michelin restaurant: is everything forbidden and all the fun abolished? A practical guide presenting the options left for sales people to persuade and reward their customers
• Providing "guidance" for setting resale prices - what and where is this still allowed? How to react to complaints from customers about resale price of their (online) competitors?
• What tools may the purchasing department use for its own price negotiations? Is showing the offer of a competitor in order to get better prices already an illegal hub & spoke cartel?

Breakout

#702

702: Benchmarking Your Compliance Program – How Mature is Your Corporate Compliance Culture? Torsten Wolf, Director Forensics, Control Risks View Description

• Identifying consistency: A reliant compliance culture also consists of spot checks around the globe. How assured are you that ethical behavior is understood the same way in London, Shanghai, Rio de Janeiro, and Dubai?
• Fit for purpose? Customizing the review program to the specific needs of the business is essential, covering relevant topics and embedding different approaches, such as political risks and data analysis
• Being a value add: Leveraging experience and best practice to create a more mature compliance program that is fit for purpose and adds value to your business

Breakout

#703

DG703: Identifying and Addressing Risks by Using Data Analytics Louis Perold, Principal, Citadel Compliance Krista Muszak, GS SOX Controls and Compliance, Supervisor, Johnson & Johnson View Description

• Diagnosing and treating your compliance risks with data analytics
• Identifying sources of data
• Structuring and visualizing data

Breakout

#704

704: The Challenges of Cross-Border Investigations in a Data-Privacy World Patrik Borjesson, Head of Investigation, Volvo Cars Helge Kvamme, CEO and Founder, Kvamme Associates AS Richard Bistrong, CEO, Front-Line Anti-Bribery LLC View Description

• In a world that is embracing data-privacy, how can investigators conduct robust and fair internal investigations, respecting the privacy and privacy laws of individuals and countries, while at the same time meeting their obligations to identify and address potential wrong-doing?
• In addition to data-privacy laws, such as the recent enactment of the GDPR, what about local employment law regulations, including co-determination by local employee representations,representatives, and workers-counsel rights that can be legally asserted
• In this session, complex issues will be discussed with two seasoned practitioners in global investigations that will be interviewed by Richard Bistrong, himself subject to an internal investigation a decade ago. From both sides of the issue, this promises to be an engaging and interactive discussion on very real-word challenges

Breakout

#801

801: Building a Transnational Workplace Investigations Process Meric Bloch, Vice President, Global Investigations, Booking Holdings, Inc. Daniel Post, Senior Legal Counsel, Booking.com View Description

• How to build a workplace investigations process that supports an effective compliance program, protects your speakup culture, and supports management success
• Navigating the inevitable turf battles, resource constraints, cultural impacts, and conflicting priorities among the internal departments you depend on for your fact finding
• Facilitating basic investigations techniques, training needs, coaching and documentation to show your program is a programmatic activity that can lead to defensible conclusions

Breakout

#802

802: Whistleblowers Welcome: EU Sets New Direction for European Compliance Vigjilenca Abazi, Assistant Professor, Maastricht University Mary Inman, Partner, Constantine Cannon LLP View Description

• The EU Whistleblower Protection Directive presents a new model for how companies respond to internal whistleblowers. As more countries explore North American style whistleblower reward programs, the EU has taken a different tact
• When the EU Directive takes effect, member states must adopt robust protections and companies will have an exciting opportunity to rethink corporate best practices and embrace whistleblowers
• Meanwhile, member states can and should explore additional measures to encourage whistleblowers beyond the minimum standards required by the EU Directive

Breakout

#803

DG803: Moving the Middle - Tools and Strategies for Enhancing Middle Manager Engagement David Barr, Director, CampbellBarr Limited Cedric Dubar, Chief Compliance & Ethics Officer, Volvo Cars Lesley Davey, Head of Ethics, Values and Cultural Change, Airbus View Description

• A candid discussion looking at the importance, but also the challenges of building and sustaining middle manager E&C engagement
• Ideally a smaller break out session (15 - 30 participants) so we can run some specific engagement examples (drawn from Volvo and Airbus materials)
• As well as considering training materials, we would also cover incentives,appraisals, and mentoring strategies

Breakout

#804

804: Properly Safeguarding Data - How much security is enough? Paul Dorey, Visiting Professor in Information Security, Royal Holloway College, University of London View Description

• Interpreting and evidencing the security expectations of the regulators
• How to discover (in plain English) what security controls are in place?
• What security do you already have that you didn’t know about?

Breakout

#RS3

ROOSTER SESSION 3: Moving the Needle on Modern Slavery - Labor in Supply Chains Anny Tubbs, Trustee, Unseen UK Paula Davis, Director, Waypoint GRC View Description

• It couldn’t happen here... could it? Understanding, identifying and managing modern slavery risk in your business
• Taking it to the front line - how to engage employees and the extended enterprise in the fight against modern slavery
• Crisis management - practical steps to take if you uncover slavery in your business

Breakout

#RS4

ROOSTER SESSION 4: Ethics & Compliance in High-Risk Countries, Lessons Learnt Based upon Two Case Studies Andrew Hoffmanns, Founder, EthXCom View Description

• Introduction of high-risk countries, expectations of the E & C in high-risk countries and some of the challenges management faces in improving E & C and ABC -
• Two case studies of E & C program implementations in Kazakhstan and Iraq explaining the successes and difficulties of training, cultural differences, and compliance investigations
• A summary based on the case studies of lessons learnt, commonalities between the two examples, commons mistakes, challenges, and keys to success

Breakout

#W01

W1: Post-Ethics Investigations. What’s Next? Remediation or Re Occurrence? Alan Dillane , Global Remediation Program Manager, Dell View Description

• Companies from every sector are experiencing ethical misconduct, but often they are just firefighting and a vicious circle ensues and similar misconduct repeats itself.
• Remediation is the key to stop recurrence. What is remediation?
• Dell’s Global Remediation Program Manager will talk about their journey and overall strategy in developing remediation as a key compliance program
• From case handover with the case investigator to root cause analysis to partnering with the business in driving change and the neuroscience behind this to strengthening controls, awareness and tone at the top resulting in downward trends in similar cases

Breakout

#W02

W2: Doing Business in Africa: A Boom and Changing Risk Landscape Lola Adekanye, Program Officer for Africa, Center for International Private Enterprise - Nigeria Office Anna Kompanek, Director, Global Programs, CIPE View Description

• Whether it is large-scale Kenyan agricultural producers or Ethiopian apparel manufacturers, Africa is an increasingly attractive place to source goods bound for European markets but remains inherently risky in terms of compliance
• This session, featuring speakers based in Washington, DC, and Nigeria, offers a view from the frontlines on how companies and compliance professionals are striking a balance between opportunity and risk on the Continent
• From experience working on compliance issues in 16 African markets, the presenters will discuss how to find trusted local companies that meet due diligence requirements, and how to strengthen their compliance capacity and reduce risk profile

Breakout

#W03

W3: My Brother’s Keeper: Mitigating Risk through Business Partner Compliance Program Tool Kits Matthew Werner, VP, Global Chief Compliance Officer, Bio-Rad Laboratories View Description

• Surveying the risk environment: Determining which business partners are creating risk for your company and why
• Effective implementation: Creating right-sized compliance program tool kits that your business partners will find attractive and effective
• Measuring success: Assessing tool-by-tool effectiveness and evolving your kit to stay ahead of risk

Breakout

#W04

W4: How to Survive a Monitor - Tips from Around the World Matthew Paice, Group Compliance Officer, Inchcape Shipping Services Eric Feldman, Senior VP and Managing Director, Corporate Ethics & Compliance Programs, Affiliated Monitors Inc. Maria Lancri, Attorney, Partner, Squair View Description

• Identify the different monitoring regimes in place or planned in the US, World Bank, France, UK, and other countries
• Discuss the “value-added” that monitors can bring to the table
• Identify how pro-active approaches and E & C changes can help companies avoid the imposition of a monitor when settling government cases

Breakout

#W05

W5: Sanctions Compliance in CIS During Turbulent Times Alexander Khaki, Executive Director, CSI Group LLC Ethan Heinz, Counsel, Denton, Europe Region Eric Clark, Lead Counsel, Global Trade Compliance, Nokia Solutions and Networks View Description

• Sanctions vs business needs. What to look at during third party integrity due diligence in Russia?
• Sectoral and blocking sanctions: What needs to be considered when making a new deal with local business partners
• Dos and Don’ts for western companies: True story from business representative

Breakout

#W06

W6: Compliance Learning Excellence: How Are Multi-Nationals Succeeding in Creating Effective, World-Class Compliance Training Programs Neil Cullen, Director, Compliance Learning, Interactive Services Johan Thorell, Senior Director EMEA Compliance & Data Privacy, CWT View Description

• Why does compliance training matter for the 2020 workforce?
• How learning can build a culture of compliance and ethical behavior, and instructional principles for reaching large, multi-national workforces
• Join us for a discussion about how CWT is building compliance training programs that work

Breakout

#W07

W7: How to Influence Culture and Behavior as an Ethics and Compliance Officer Maarten Hoekstra, Sr Expert Compliance Development, ABN Amro bank Geert Vermeulen, CEO, ECMC Susanne Hafkamp, Compliance & EFPIA Lead, Pfizer Biopharmaceuticals Group Marlène Jans, Director, RSM Netherlands GRC Consultancy B.V. View Description

• Why is it important that ethics and compliance officers help their management to influence culture and behavior?
• How can we do that? Presentation of a toolbox containing some 40-50 tools that ethics and compliance officers can use to influence culture and behavior
• Let’s give it a try: We will practice with one or two tools

Breakout

#W08

W8: Strategic Planning for Internal Controls Sally March, Director, Drummond March Ltd View Description

• Internal control is a process designed to provide reasonable assurance that an organization can achieve its objectives relating to operations, financial reporting, and compliance. E & C is a vital part of ERM
• Internal audit and ethics & compliance -- two sides of the same coin? How can we better align the strategy of ethics & compliance with the strategy and objectives of the organization and with the wider internal controls?
• Integrity and ethical values are critical components of the control environment. How can we help the Board and senior leaders understand that these are the foundation necessary for any other controls to be effective?

Breakout

#W09

W9: Choosing and Using KPIs and Kristy Grant-Hart, Founder & CEO, Spark Compliance Susan Du Becker, Director, Risk & Resiliency, Microsoft Systems View Description

• Learn how to choose Key Performance Indicators that actually matter: meaningful, impactful and business relevant
• Find out how to evaluate your program from the inside out by using cutting edge metrics that not only tell the story of your program’s progression, but also how you’ve supported business initiatives.
• Hear over 40 specific Key Performance Indicators so you can choose those that best fit your program. You’ll find out how to track, monitor, and manage in a more effective way

Breakout

#W10

W10: Internal Investigations for Global Organizations Gabriel Imperato, Managing Partner, Nelson Mullins Riley & Scarborough Odell Guyton, Managing Director, Klink & Co. Inc View Description

• Challenges in conducting internal investigations in different cultures
• Internal investigations with or without confidentiality and the protection of privilege
• Best practices for internal investigations; responding to reports of non-compliant activity, documents, interviews, findings and evaluation, and remediation

Breakout

#W11

W11: Business Ethics & Compliance 2.0: Using Jacki Cheslow, Global Compliance Program Leader, IEEE View Description

• Hear how one company used the implementation of new technology as an opportunity to drive significant change in the structure of their business ethics & compliance program
• Get practical advice on how they developed their compliance leader network and successfully overcame roadblocks to implement a global network
• Learn how they use dashboards to monitor the program, provide transparency, and keep business leaders engaged

Breakout

#W12

W12: Challenging Yourself to Challenge the Board to Challenge You Sally March, Director, Drummond March Ltd Jane Mitchell, Director, JL&M Ltd, View Description

• Outputs v outcomes - helping your Board to challenge their outdated notions of ethics & compliance effectiveness and demand a shift in oversight from quarterly monitoring outputs to long-term sustainable business impacts
• Your Board must hold leadership accountable for aligning process and systems with purpose, values, and strategy. We will explore how ethics & compliance can help to bridge that cultural gap
• Shifting the narrative from “Tone at the Top” to “Conduct at the Top” and boosting your role as an “Ethics and Culture Officer”. How you can help senior leaders to actively role-model a culture of integrity

Breakout