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Agenda

Welcome & Introduction

8:55 – 9:00 am CST

The Relationship Between Enterprise Risk Management, Internal Controls, and Compliance and Ethics Programs

  • Understand the relationship between ERM and compliance programs
  • Clarify differences and relationships between ERM and compliance related internal controls
  • View the compliance risk management process through the lens of the COSO ERM framework
9:00 – 10:00 am CST

Coffee Break

10:00 – 10:15 am CST

Characteristics of Compliance Programs Applicable to the Governance and Strategy Components of ERM

  • Understand how the governance and culture component and the strategy and objective-setting components of the COSO ERM framework relate to compliance risk management
  • Identify key characteristics of effective compliance programs applicable to the ERM principles underlying the governance and culture component and the strategy and objective setting components
  • Consider how to apply these characteristics to potential compliance risks

10:15 – 11:30 am CST

Coffee Break

11:30 – 11:45 am CST

Characteristics of Compliance Programs Applicable to the Performance Component of ERM

  • Understand how the performance component of the COSO ERM framework relates to compliance risk management
  • Identify key characteristics of effective compliance programs applicable to the ERM principles underlying the performance component
  • Consider how to apply these characteristics to potential compliance risks

11:45 am – 12:45 pm CST

Coffee Break

12:45 – 1:00 pm CST

Characteristics of Compliance Programs Applicable to the Review and Revision Component and the Information, Communication and Reporting component of ERM

  • Understand how the review and revision component and the information, communication and reporting component of the COSO ERM framework relate to compliance risk management
  • Identify key characteristics of effective compliance programs applicable to the ERM principles underlying the review and revision component and the information, communication and reporting components
  • Consider how to apply these characteristics to potential compliance risks

1:00 – 2:15 pm CST

Coffee Break  

Practical Applications of ERM to Compliance Risk Management

  • Hear practical tips for applying the ERM framework to compliance risks
  • Integrate compliance risk management using the compliance and ethics program methodology with the ERM framework
  • Identify and overcome potential obstacles to the integration of the ERM framework with compliance and ethics programs

2:30 – 3:30 pm CST

All sessions for this conference are Intermediate knowledge level, the levels indication is just a guideline and you are free to attend sessions of any level.

Intermediate: Program knowledge level that builds on a basic program, most appropriate for Compliance Professionals with detailed knowledge in an area. Such persons are often at a mid-level within the organization, with operational or supervisory responsibilities, or both.