2019 Compliance & Ethics Institute (CEI)

  1. Managing Data and Promoting Privacy: A Deliberate Peer-to-Peer Experience Exchange of Ideas About How to Comply with Rapidly Changing Cyber Security and Privacy Compliance Obligations

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Whittney A. Tom, Nisha Sehn, Fastly  | September 2019 

    • The TechSoup Team is back for take two due to positive feedback from their 2018 debut. We will facilitate dialogue about how companies monitor changing cyber security obligations and how you work across departments to protect data and enhance privacy.

    • Who’s responsible and accountable for data management and protection? A discussion about the intersection of business, technology, and compliance teams involvement in data management and protection. We will share successful and collaborative strategies

    • Strategies to address the risks: Strategies to take a risk-based approach to map, manage, and protect data. How you can use technology as a tool to monitor and enforce data protection. A facilitated dialogue about participants’ experiences.

  2. Practical Strategies for Conducting Effective and Ethical Anti-Corruption Risk Assessments in High Risk Jurisdictions

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Mark Morrison, Jonathan Drimmer, John Vanderbeek, Kristine Robidoux  | September 2019 

    • An interactive seminar with leading US and Canadian compliance and investigation counsel focusing on practical strategies for ethically conducting and responding to issues arising from anticorruption risk assessments in high-risk jurisdictions

    • The speakers will discuss the benefits of partnering ethics with riskbased strategies to identify effective risk assessment tools such as formal schedules, mapping exercises, desktop assessments, interviews, testing and sampling, and more

    • Attendees will also learn about approaches for dealing with authorities in multiple jurisdictions, how risk assessments can prevent costly investigations and their importance to the SEC/DOJ, and implications of jurisdictional whistleblower trends

  3. Same but Different: How to Effectively Manage Your Third Party Corruption Risks Globally

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Emanuel Batista, Fernanda Beraldi  | September 2019 

    • 2019 FCPA Around the Globe: Review the largest and latest global third-party related bribery violations

    • One-size does not fit all: How to conduct risk-based third party management program that works globally

    • Technology and Human Capital: Learn best practices to jumpstart your Third Party Management Program with a combination of both approaches

  4. The Vital Role of Exceptional Investigative Teams in the #MeToo Era

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Rebecca A. Speer, Elizabeth W. Gramigna  | September 2019 

    • The key cultural shifts that #MeToo has driven, and their impact on compliance

    • Internal investigative teams as stewards of organizational justice: The accountability that this new era demands

    • Building exceptional internal investigative teams: Lessons leveraged from decades of experience

  5. Working with the U.S. Government: Risks and Compliance with Federal Ethics Rules in Government Contracting

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Steve Epstein, Danica Irvine  | September 2019 

    • When contracting with the U.S. Government, suppliers must understand and comply with Federal ethics rules. This session will focus on common compliance and ethics issues that can arise in contracting and provide helpful guidance to compliance officers so they can take proactive measures to prevent or ameliorate them

    • This is a “must-attend” session for companies who contract to provide services to the Federal Government, particularly when co-located. We will cover a broad array of potential issues, to include conflicts of interest, gifts, social interactions, postemployment restrictions, and protection of data

    • This is a continuously evolving landscape that creates unique compliance challenges not addressed elsewhere. We will identify current and developing issues while also leveraging the shared knowledge of the presenters and the audience in discussing best practices for managing risk

  6. Counseling Compliance in Small to Medium Sized Organizations

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jason Meyer  | September 2019 

    • “SMBs” (under 100 employees) make up 97% of US companies, but they likely face their compliance obligations without a CCO, full C&E department or perhaps even a GC.

    • We will explore the unique challenges (and opportunities) of compliance leadership in SMBs – and nonprofits and governments – where budgets and headcount are limited, processes informal, and executive power dominant.

    • We’ll share experiences and successes, including ways to use regular operational processes as tools to promote compliance, and to use the strong culture in these organizations to their ethical advantage.

  7. Anti-Corruption Metrics & Measurement: Failure is Obvious but How Do We Measure Success?

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Peter Glover, Marjorie W. Doyle  | September 2019 

  8. Designing a Compliance and Governance Model for Today's Hi-Tech Business Environment

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Eric Brotten, Sarah E. Boswell-Healey  | September 2019 

    • The line between tech and traditional companies is blurring, so are the traditional roles-based silos between IT Governance, Privacy and Compliance. Rapid innovation and product development in a global environment requires a cross-functional strategy.

    • As a compliance professional, you need to understand how to add value in these team of teams times. Explore differences between traditional waterfall/stagegate product development and current agile methodologies. Learn how to avoid scrum burnout.

    • Today’s compliance professionals support hi-tech governance. Explore how you can be a valuable part of a governance team and learn practical tips about how to design a program using tools like artifact libraries, playbooks, hazard logs, and RACIs.

  9. Don't Boil the Ocean - Distill It!

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Courtney A. Sander, Katie H. Smith  | September 2019 

    • You’ve got a sea of cultural survey results, but what do you do with it? Is data even reality?

    • Learn how to do your own self-assessment and avoid analysis paralysis.

    • We’ll show you how to set achievable goals and craft your own practical action plan.

  10. Don't be an Armchair Quarterback. Use Just-in-Time Coaching to Reduce Compliance Risks!

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Harper E. Wells, Kortney Q. Nordrum, Courtney A. Sander  | September 2019 

    • Create a game plan – We’ll share real-life examples on how to identify and leverage existing systems and business practices to help your employees be their own coach.

    • Work with you special teams – You’ll need stakeholder and subject matter expert buy-in to make compliance a built-in activity, so we’ll give you tips on how to make that happen.

    • Keep score – We’ll show you how to monitor and continuously improve your compliance program the easy and effective way.

  11. Engineering Ethics into Existing Business Practices

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Rebeka Spires, Shannon Young  | September 2019 

    • No bullets

  12. Inside Out: What Do Regulators and Enforcement Staff Understand and Misunderstand About Compliance Programs and Compliance Culture

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Michael Henry, David Applebaum, Christine Roth, Nadira Clarke  | September 2019 

    • Presentation from four former regulators drawing on experiences from four different federal agencies (with expertise in enforcement, labor/employment, environment, and energy) on what regulators get right and what they get wrong about compliance programs.

    • How to create internal procedures that will help your company withstand scrutiny and how to communicate those procedures, and the company’s overall compliance culture, to regulators.

    • How to ensure the regulator understands the relevant facts and circumstances so that you can help keep an investigation from spinning out of control.

  13. In Case the Government Comes Knocking: Best Practices in Investigating and Remediating FCPA Issues

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Iris E. Bennett, Nancy Jacobson, Maria Gomez, Deputy General Counsel  | September 2019 

    • Lessons from DOJ and SEC policies and settlements: their expectations of corporate internal investigations and remediation and how those expectations impact obtaining a favorable resolution.

    • Managing FCPA internal investigations: lessons for compliance officers and in-house counsel on effective resourcing; preserving, gathering and analyzing the evidence; local law issue-spotting; data privacy; language and culture; and the key legal concepts

    • - Managing FCPA remediation: lessons for compliance officers and in-house counsel on types of remediation in FCPA cases; how much is enough; what about your third parties; and documenting and implementing.

  14. Lock It Down: Protecting Your Data From Third-Party Security Risks

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Matt Kelly, Fernanda Beraldi, Edwin Broecker  | September 2019 

    • Review the current state of oversight that most companies have over business partners handling their confidential data, and why weak oversight is more a failure of policy and procedures rather than of IT security

    • Understand the risk assessment process and other resources that companies can use to gauge and monitor data security risk with its vendors and other third parties

    • Hear how one global corporation does track the third parties handling its confidential data, and the techniques it uses to ensure compliance with its data privacy and securities policies

  15. Next Generation Anti-Corruption Compliance Programs: Transforming a Policy-Based Program to a Controls-Based Program

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Parth Chanda, Samantha Badlam, Natasha Trifun  | September 2019 

    • Hear from a DOJ-appointed monitor, a current in-house compliance lawyer, and a former in-house compliance lawyer turned technologist on how to implement a robust controls system to mitigate corruption risks that will pass muster with enforcement agencies

    • Using real-life examples, understand how to map your controls gaps to operationalize end-to-end systems and controls, from preapproval systems and third-party due diligence, to payment controls and compliance monitoring and analytics platforms

    • Learn about how to prioritize improvements with limited resources and how to leverage resources outside of Compliance, such as Procurement, IT, Internal Audit and Finance, from three speakers with hands-on experience as in-house and outside counsel

  16. RIM 101: Managing Risk and Designing a Compliant Information Management Plan

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jacki Cheslow  | September 2019 

    • While we live in the Information Age, not all information created or received is equal

    • This session will focus on building a compliant and legally defensible plan to manage your records and information

    • During the session we will explore the record and information lifecycle, General Accepted Accounting Principles and the steps required to design a compliant and legally defensible record retention plan

  17. Role of the Compliance Officer in Preventing Perverse Performance Incentives that Can Drive the Wrong Employee

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Eric R. Feldman  | September 2019 

    • Discuss why employee incentives, such as bonuses and promotions, should be properly aligned with corporate ethics and integrity objectives.

    • Identify through sharing of case examples how perverse incentives can contribute to employee misconduct.

    • Learn how Compliance Officers can play a value-added role in corporate performance management processes.

  18. The College Admissions Scandal: Lessons for Other Organizations

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jonathan E. Turner  | September 2019 

    • What we know is that: Unexpected ethical lapses expose organizational blind spots; we are still only as strong as our weakest employees; reputational risk has exponentially increased

    • Given that, what specific action steps do organizations take today?

  19. Sexual Misconduct in Olympic Sports: Compliance in the Post-Nassar Environment

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Regis Becker  | September 2019 

    • Fair, objective, and timely investigation of alleged sexual misconduct is a top priority in every organization today

    • Learn about the creation and rapid growth of the US Center for SafeSport, the entity created to address sexual misconduct and promote athlete safety in the US Olympic Movement

    • Gain insight from the Center’s effort to train over half a million athletes, coaches and administrators on all aspects of sexual misconduct in sport, while investigating more than 2000 reports of misconduct

  20. Transformation! 5 Success Strategies for Compliance Changemakers

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Amii L. Barnard-Bahn, Virginia MacSuibhne  | September 2019 

    • Organizations have a natural tendency to resist change. Compliance leaders need to adopt change management principles to successfully manage this natural resistance

    • Learn the 5 change management principles that will enable you to manage compliance initiatives for optimal acceptance, cultivate positive business relationships, and create an information funnel that enables continuous improvement

    • Explore a Roche case study illustrating how change management principles transformed the business. Attendees will come away with a deep understanding that change management ensures our most important work is built to last

  21. The Compliance Officer's Guide to Keeping Calm and Carrying On: Strategies and Tools for Thriving in a Stressful Profession

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Diana L. Trevley, Lisa Beth B. Lentini  | September 2019 

    • Share and discuss the unique challenges and stressors facing compliance officers in today’s corporate world

    • Learn simple but effective life hacks for managing burnout, jet lag, crises, and crying babies (of both the corporate and infant variety)

    • Discover the science behind the mindfulness, meditation, and gratitude practices that helped transform one company’s compliance team

  22. Using Automation for Compliance Management and Reporting That Will Bring a Smile to the Face of Any Prosecutor

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Theodore L. Banks, Heidi Randolph, Gene Stavrou  | September 2019 

    • Technology tools to facilitate collaboration/delegation with other parts of the business (including case management systems, learning management, policy management, etc.)

    • Aligning and evaluating your compliance program to fit the recommendations of the Federal Sentencing Guidelines and the DOJ Evaluation of Corporate Compliance Programs tool

    • Using technology tools for management reporting and engagement (including risk assessment, financial management, ROI, etc.)

  23. What do Starbucks Coffee, Jimmy Buffet and a Can of Cheez Whiz Have in Common? A Unique Look at How to Explain Ethics and Compliance and Successfully Embed it Within the Operations.

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Beth Colling  | September 2019 

    • Learn how to introduce or refresh a compliance and ethics program into your organization, especially where buy-in seems lacking

    • Develop methods to market your program to internal stakeholders using real-life examples

    • Take away practical tips for establishing and defining the program and embedding it within your organization using the operational leaders as your Compliance Ambassadors

  24. Automating Privacy Operations at Scale in Azure

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): David J. Marcos  | September 2019 

    • Built on Trust: operationalizing privacy compliance for Cloud.

    • Data-driven continuous monitoring of privacy

    • Looking to the future: laying the groundwork for ethical computation.

  25. #WeToo - Is Your Organization Ready to Respond Properly to Allegations of Sexual Harassment?

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Cedric Bourgeois  | September 2019 

    • A harassment-free work environment is paramount to institutional integrity. How organizations handle allegations conveys the tone at the top, especially when they relate to sexual harassment.

    • Your compliance program already has valuable elements to build a proper response to allegations of sexual harassment: learn how to transfer those skills to the challenge the #MeToo campain has highlighted.

    • This session will explore the specifics of investigations into allegations of harassment, including legal challenges and high scrutiny from a wide variety of stakeholders