Handouts

Overall Survey | CEU Application | Conference Agenda

Effective Communications for Encouraging Reporting Across All Mediums

Grace Wu de Plaza, Group Head of Ethics, Ferguson

  • What are the right messages that encourage people to come forward
  • The importance of building trust to encourage calls and reduce anonymous reporting
  • Are you doing too much or too little? When it’s time to adjust your communication

Presentation
Evaluation

Sitting Across from Someone Reporting a Potential Issue

Laurel Burke, Director and Associate General Counsel - Compliance
J. Veronica Xu, Chief Compliance Officer, Saber Healthcare Group

  • How to encourage the reporter to share more information without scaring him/her off
  • Ensuring confidentiality of face-to-face reports
  • Keeping the door open for follow up conversations

Presentation
Evaluation

Handling Reports That Aren’t Really Compliance Related

Gwendolyn Hassan, Compliance Officer/Counsel, In Transition
Mark Revel, Investigations Manger, Northrop Grumman

  • Developing an effective triage method, including delegating some reports to other departments
  • Helping HR, internal audit, and others understand the importance of handling these reports
  • Ensuring that they are followed up on and the reporter is followed up with

No Presentation Available
Evaluation

How to Communicate with Reporters

Georgetta Lawrence, Senior Compliance Analyst, FedEx Corporation
Dawn Young, Chief Ethics and Compliance Officer, Firefly Aerospace

  • Case status and the amount of information that can be disclosed to reporters
  • Frequency of communication
  • Appropriate personnel who should be communicating with reporters

Presentation
Evaluation

Helplines and Other Contact Methods

Michael Levin, Vice President, Compliance & Ethics, Freddie Mac
Lisa Fine, Senior Counsel and Director, Compliance, Pearson

  • Effective use of multiple contact vehicles
  • Internal vs. third-party helplines: pros and cons
  • What to report to the board
  • How to build trust to reduce anonymous reporting

Presentation
Evaluation

Integrating Reporting Data with Other Compliance-Related Data

Joshua Toas, Chief Compliance Officer, The Research Foundation for SUNY
Brooke Nelson, Chief Compliance Officer, Verily Life Sciences
Joe Turner, VP and Head of Compliance Monitoring, Sony
Gerry Zack, CEO, SCCE & HCCA

  • Ensuring integration with the case management solution, training, conflict of interest and other data collected
  • Ensuring the security of the system
  • Using the data to inform everything from the risk assessment to onboarding employees

No Presentation Available
Evaluation

Lessons Learned from the SEC’s Whistleblower Program

Jane Norberg, Partner - Securities Enforcement and Litigation, Arnold & Porter
Jenny O'Brien, President and Principal, Blackbridge Advisors

  • What the data shows and what it means
  • Why whistleblowers come to the SEC instead of (or in addition to) reporting internally
  • What compliance teams can learn from whistleblower settlements

Presentation
Evaluation
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