Opening Remarks

Taking Your Code Digital: Here’s How to Do It Right Kirsten Liston, Principal, Rethink Compliance Rachel Lei, CCO & Assoc General Couse, GATX Corporation Jenifer Caracciolo, Assistant General Counsel, Law & Compliance, GATX Corporation

• Optimize your Code for your 21st-century, always-online audience.
• Make the most of available technology, while avoiding tech hassles.
• Learn where to start, five features your Code must have, and three things you don’t need.

Break

Tips When Leveraging Technology to Enable Compliance and Risk Management Processes Vito Giovingo, Senior Manager, Deloitte Financial Advisory Services LLP Suzanne Madden, Director, Enterprise Risk, Capco

• Enabling compliance and risk management processes with technology
• Engaging and seeking adoption from stakeholders
• Identifying ways to leverage technology for additional use cases

Break

Recent Compliance Guidance and Enforcement Actions from US/UK/Europe Erin Schrantz, Partner, Jenner & Block Christine Braamskamp, Partner, Jenner & Block

• Department of Justice guidance on the evaluation of corporate compliance programs, and enforcement activities and trends that reflect DOJ’s analysis of compliance programs in DOJ resolutions;
• UK Serious Fraud Office approach to corporate compliance, and the deferred prosecution agreement with Airbus as a case study in compliance failures and cross-border law enforcement collaboration; and
• Strategies and best practices to identify and mitigate compliance risk

Lunch Break

Infusing Diversity and Inclusion into Your Compliance Culture Corey Flournoy, Global Head of Inclusion & Diversity, Groupon Alison Crane, Principal, JacksonLewis Kris Carey, SVP, HR and Chief Diversity Officer, Constellation Brands

• Introduction to diversity, equity & inclusion (DEI) basics for the compliance professional
• Strategies for collaboration between compliance and DEI
• Why infusing DEI is a business imperative

Break

Practice and Pitfalls of Internal Investigations Elizabeth Brown, Assistant General Counsel, Compliance & Risk, Groupon, Inc. Scott Lassar, Senior Counsel, Sidley Austin LLP Jayne Rosefield, Partner, Brunswick Group

• The mechanics of internal investigations
• The constitutional implications of internal investigations
• Dealing with the public aspects of internal investigations

Break

The State of Whistleblowing Hotlines & Incident Management for 2020 Carrie Penman, Chief Compliance Officer and Senior Vice President, Advisory Services, NAVEX Global

• Hear the findings from new data points such as variations in case closure time by category & how standard benchmarking metrics differ by company size
• Discover what benefits have been seen from documenting reports from all sources, such as open door reports?
• Hear the impact of COVID-19 on internal reporting systems