2019 Compliance & Ethics Institute (CEI)

51. Optimize IT Compliance Processes to Meet New Data Privacy Challenges

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Ralph Villanueva  | September 2019 

    • The audience will learn the common data privacy requirements across several legislations such as the GDPR and the California Privacy Act, and understand the interrelatedness of IT compliance and data privacy

    • The speaker will demonstrate how IT compliance processes can be leveraged to meet data privacy requirements

    • Audience will pick up techniques to make their organizations more data privacy compliant upon returning to the office

52. Leverage Legal Developments to Advance Your Program

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Rebecca Walker, Jeffrey M. Kaplan  | September 2019 

    • Review recent developments in U.S. and other law related to compliance and ethics, including case law, deferred prosecution agreements and government pronouncements.

    • Examine the impact of recent legal developments on C&E program design and implementation.

    • Consider strategies for using C&E legal developments to enhance your program.

53. Measuring Program Effectiveness and Identifying Gaps on a Shoestring Budget

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Marjorie K. Maier  | September 2019 

    • Learn low cost practical ways to measure your program’s effectiveness

    • Identify program gaps and develop targeted activities to drive meaningful improvement. Leverage employees outside your team to initiate progress.

    • Small teams and small budgets CAN drive meaningful culture change in your organization. See how we did it.

54. LinkedIn 2.0: How to Maximize Your LinkedIn Membership

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Matt Ross  | September 2019 

    • How to best optimize your profile

    • How to conceptualize content and utilize it to become a subject matter expert.

    • The little daily actions you can take that collectively elevate your LinkedIn feed.

55. Managing M&A Risk: Essentials for Conducting Compliance & Ethics Due Diligence

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Kasey T. Ingram, Daniel R. Harper, Andrew Gentin  | September 2019 

    • How to recognize the ethics and compliance risks and considerations that arise during mergers, acquisitions, and related transactions, such as joint ventures.

    • How to mitigate deal-related ethics and compliance risks and considerations through due diligence, contract provisions, and strategic planning.

    • How to integrate ethics and compliance after the deal to identify and mitigate any post-closing ethics & compliance risks.

56. Best Friends Forever: Nurturing the Compliance-Board Relationship

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Ellen M. Hunt, Joan Ruff, Ben DiPietro  | September 2019 

    • The ways board members can more effectively engage with ethics and compliance teams

    • How compliance can better communicate and make the most effective use of its time before the board

    • How boards and compliance can make better use of data to work together to grow strong ethical culture and bring greater awareness and engagement with the organization

    • The benefits organizations can gain from having compliance officers serve as board members.

57. A View from the Board: What Board Members Want and Need from Compliance and Ethics

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Michael R. Levin, Aleem Gillani, Joan Ruff  | September 2019 

    • A panel discussion with three members of corporate boards of directors

    • Frank Q and A including: Criticality of the compliance function to the Board’s oversight; How much data is enough/too much?; What does the Board need when things are going fine?; What does the Board need when a crisis arises?

    • General words of wisdom from real board members.

58. AMP IT UP: Move Your Compliance Program from Good to Great

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

    • Now that the building blocks for a good compliance program - policies, training, assessments, remediation, and more - are in place, what more is needed to move your program from good to great?

    • This session is designed to be a fun and interactive open discussion among peers. The goal is to get and keep your creative juices flowing and help you to identify best practices and strategies for elevating your program to the next level.

    • Join us as we tap into the wisdom of the crowd rather than rely on a “sage on the stage”.

59. Compliance Officer Ethics - 2019 Update

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Theodore L. Banks  | September 2019 

    • What ethical rules govern the obligations of compliance officers, whether they are lawyers or not?

    • When do lawyers or compliance officers get rewarded or get punished when they become whistleblowers?

    • Does the availability of attorney-client privilege help or hinder a lawyer in a compliance role?

60. Advanced Investigations in Multinational Companies

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jannica Houben, Katarzyna Golonka  | September 2019 

    • Discuss various aspects of internal investigations from planning, through assembling the investigation team, designing investigative steps, interviews to internal communication and reporting.

    • Comprehensive analysis of investigation process combining perspectives of legal counsel and compliance officer with that of an external forensic expert and fraud investigator

    • Practical examples and mini case studies including areas such as crisis communication external and internal, data capture and analysis and using external vs. internal team.

61. Becoming an Ethics Expert: Exploring How to Handle the Most Common Ethical Dilemmas in Business

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Brad Agle  | September 2019 

    • This session is based on the highly acclaimed book The Business Ethics Field Guide, which through rigorous research has identified the 13 most common ethical dilemmas faced in organizational life.

    • From the lead author of the book learn about these different common ethical dilemmas, and how understanding these types can improve the ethical awareness and decision-making of those in your organization.

    • Utilizing case studies from the book, practice your ability to identify which dilemma type you’re dealing with as well as your ability to develop strategies for handling these dilemmas effectively.

62. Avoid a Compliance Hangover: Maintain Momentum in Your Compliance Program After the Regulators Have Left

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Gregory Bates, Richard Davies  | September 2019 

    • Provide practical tactics to resist calls from management and the board of directors to undo compliance enhancements after settlements with regulators and external monitors.

    • Address your organization’s realities, such as compliance fatigue at a sensitive time, while maintaining an effective program and demonstrating the program’s value to stakeholders.

    • Learn to identify and protect what’s important, prudently adjust to changing realities, and be a good corporate teammate while shielding your company from recidivism.

63. Being Comfortable with Discomfort

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Meric Bloch  | September 2019 

    • Discuss some of the common friction points and speed bumps you encounter during workplace investigations and how to address them.

    • Be prepared to respond both as a member of management and as the investigator when issues arise. Thinking in advance about these issues allows you to be prepared when they arise. And they will arise.

    • Learn that the investigation process, by its nature, prevents us from being all things to all people. Learn how flexible you can be in accommodating management, colleagues, and investigation participants.

64. Demystifying Government Cyber Security Compliance

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): David Kessler  | September 2019 

    • Understand the alphabet soup of the Federal government cyber security landscape, including FISMA, NIST, FIPS, FedRAMP, CNSSI 1253, IRS 1075, and similar requirements.

    • Learn techniques for encouraging compliance-by-design for Federal cyber security requirements in a commercial company.

    • Appreciate how compliance with Federal cyber security requirements can reduce a commercial company’s overall cyber security risk.

65. Organizational Sentencing Guidelines Confidential: Does Chapter Eight Still Matter to Compliance and Ethics? And if So, Why?

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Eric O. Morehead, Kathleen Grilli  | September 2019 

    • The US Sentencing Guideline apply to all organizations, and apply regardless of industry, governing structure, size or mission. They are universal and yet have evolved over the years in interesting directions we will discuss

    • We will discuss the Guideline’s impact on newer regulatory guidance and best practices from peer organizations. We will discuss how re-focusing on the sometimes overlooked and misunderstood parts of Chapter Eight can improve a compliance program

    • We will also gaze into our crystal ball to see what might be in store for Chapter Eight in the future and we will take a look at Sentencing Commission data on how the guidelines are applied to organizations currently and how compliance is addressed

66. Password Techniques and Strategies to Promote a Higher Level of IT Security

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Frank Ruelas  | September 2019 

    • Learn key criteria applicable to passwords that have the potential to contribute to a higher level of security with respect to the organization’s information system

    • Common myths and mistakes that may compromise the strength of passwords

    • Review and consideration of effective administrative, physical, and technical safeguards to apply to your organization’s password management policy

67. Strength in Numbers: Hotline is the C-Suite and Board's Strongest Tool

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Bob Conlin, William W. Cameron, Kyle Welch, Kristen Olson  | September 2019 

    • Compliance professionals seek to quantify the business value of internal hotline reporting systems, but have had little data directly associating internal reporting with business performance. Until now.

    • New research from George Washington University shows that increased use of hotline reporting systems leads to greater profitability, fewer material lawsuits, lower litigation costs and fewer external whistleblower reports

    • Join this session to flip the script on what you thought you knew about hotlines and gain the tools you need to show your C-Suite and board that hotline usage is a crucial metric of business performance

68. Privacy Trends in the US and Implications for US and Global Organizations

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Teresa Troester-Falk  | September 2019 

    • For the past 2 years, the GDPR has garnered the attention, resources and budget of organizations, but privacy is in the headlines almost everyday in the US and the new California Consumer Privacy Act will take effect Jan 1, 2020 as well as Nevada’s new law in October of this year

    • Several other States are considering similar legislation and these new US laws and increasing regulator attention will impact operations

    • This session will provide you with an overview of the state of play of US privacy laws and bills and provide practical insight into how organizations are handling these changes and trying to “future-proof” their operations in order to efficiently deal with any forthcoming law

69. Professional Skepticism

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Debra Sabatini Hennelly, Suri Surinder  | September 2019 

    • UNDERSTAND the sources of unconscious bias that get in the way of exercising appropriate professional skepticism

    • ASSESS our level of unconscious bias through exercises that reveal our mental skews and predispositions

    • ANALYZE and mitigate the sources of unconscious bias to help sustain our professional skepticism

70. Responding to Data Subject Requests

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Robert J. Bond  | September 2019 

    • Overview of data subject rights under EU and other laws. Rights to object, to request access, to erasure and to portability

    • Using case studies to give practical advice on how best to prepare for such requests and how to manage expectations given that such requests are not always absolute

    • Developing policies and procedures to meet compliance obligations and the expectations of data subjects as well as what happens when the regulator gets involved

71. Retaliation: Real or Imagined in the Age of Speak-Up Cultures

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Albert G. Gagne  | September 2019 

    • This Advanced Discussion Group will identify what exactly constitutes retaliation.

    • The group will discuss methodologies for identifying various forms of retaliation and how to deal with them.

    • Finally, the group will address strategies for communicating a”Speak-Up” Culture for their respective organizations.

72. Taking a Dynamic Approach to Compliance Risk Assessments for U.S. Government Contractors

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Nick Sanders  | September 2019 

    • Learn how to manage a changing risk profile as your business evolves in size and transitions from sub to prime contractor and contracts change from fixed-price to cost-reimbursable

    • Increase your organization’s ability to identify and assess risks associated with organizational and contractor evolution using revenue, contract-type and acquiring agency as key differentiators

    • Better understand Federal Acquisition Regulation contract clauses and changing non-compliance risk

73. Secrets from In-House Ethics & Compliance Buyers: How to Keep the Gate and Your Sanity

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jay Rosen  | September 2019 

    • Learn how to manage vendor relationships to maximize their value proposition and minimize persistent and time consuming sales pitches.

    • Vendors believe they can make a buyer’s life easier, but they must listen for “buying or non-buying” cues and modulate their contact proportionately.

    • While the compliance community has seen that tomorrow’s solutions for today’s E&C issues come from the vendor community, in-house buyers respond to authentic vendor relationships as they easily can separate salesy bluster from those who really care.

74. Starting the "Great Women in Compliance" Podcast: How an Idea from the 2018 SCCE CEI Evolved into a Podcast and What We Learned

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Lisa Fine, Mary Shirley  | September 2019 

    • At the 2018 SCCE conference, we heard from accomplished women in compliance and about issues pertaining to women, and came up with the idea of the “Great Women in Compliance” podcast

    • We were excited to see interest in this topic and quickly learned the ins-and-outs of the process to launch our podcast. We’ll share tips on how to build a podcast community, and provide advice to those who may want to do something similar

    • We will discuss and what we have learned thus far, including typical challenges women in compliance are actively addressing at different points in their careers, including discrimination in hiring and compensation, board participation, mentoring, and more

75. The 7 Habits of an Effective Compliance & Ethics Professional

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Dan Roach  | September 2019 

    • Understanding the compliance and ethics challenge

    • Positioning yourself for success as a compliance and ethics professional

    • Key drivers of effectiveness