2019 Compliance & Ethics Institute (CEI)

76. The Increasing Importance of CCOs with International Expertise to Boards of Directors of Multinational or International Companies

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Stephanie J. Kravetz  | September 2019 

    • Increasingly, Boards of Directors of multinational companies have international Directors who do not understand the need for strict adherence to laws and regulations in the U.S. to avoid compliance and legal risks

    • The presence of global compliance expertise on multinational companies’ Boards of Directors sets the proper “tone at the top” and signals the Board’s overall strategic priorities include compliance

    • The CCO is often in a sandwich position between Management and the Board of Directors. The proper reporting line for CCO’s in multinational companies is to the Global CEO with dotted line to the Global Audit Committee

77. What Keeps You Up at Night? How to Control Potential Travel and Expense Fraud

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Connie Hoen, Caroline Butterfield  | September 2019 

    • Attendees will work alongside their colleagues to discuss what controls each have in place for Travel and Expense policy compliance. Discussing employee education, policies and responsibilities of your employees, managers and internal Audit teams

    • Ensuring compliance across Travel and Expense policies and regulations. Attendees will learn ways to identify the common fraudulent expenses included mileage, FCPA and Sunshine Act violations.

    • This session will identify next steps after you have discovered non-compliant and fraudulent spend. Discussion will occur around how to measure fraud and anomaly compliance success.

78. How can the compliance officer be intelligent about AI?

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Deborah Lynne Adleman  | September 2019 

    • AI: Know the Lingo and the Landscape

    • AI: Risks: Visible and Invisible

    • AI: An Intelligent Roadmap for the Compliance Officer

79. How to Reinvigorate a Global Compliance Training Programme

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Joe Moxom, Catherine Colvin  | September 2019 

    • Autoliv employ over 66,000 people in 27 countries. Their compliance training programme had become disjointed with multiple vendors, multiple platforms and learner fatigue/disengagement.

    • Follow their journey as they embraced scenario led, principle based learning solutions incorporating latest techniques of microlearning and gamification.

    • Learn from Autoliv’s experiences of the project, identify lessons learned and the successes achieved.

80. Embracing Digital Transformation in Ethics & Compliance

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Kristi Kevern  | September 2019 

    • Companies from every sector are experiencing disruption in their industry and are having to transform their businesses using new digital tools and advanced data analytics.

    • Ethics and Compliance organizations need to start focusing on a full scale digital transformation strategy of their own, connected to their company’s journey but also maximizing new capabilities in the E&C space.

    • The Dell and GE CECOs will talk about their own journey, how they are not only embracing this change but prioritizing resources to drive greater productivity, more dynamic ability to identify risk and target just in time information and controls.

81. Engaging your Board - The Importance of Relevance

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Paige Shannon, Adelle Elia  | September 2019 

    • How do you as a Compliance Officer tap into your Board’s current priorities to engage them?

    • How compliance connects to the “hot topics” for Board members in 2019.

    • How does your organization’s compliance function impact the Board’s actions related to how culture impacts performance; cyber security; sexual harassment; board diversity; and shareholder activism.

82. From FCPA Prosecutor to Company Protector: Lessons Learned on the Anti-Corruption Front Lines of an Increasingly MultiJurisdictional World

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Maria Gonzalez Calvet, Rebecca Rohr, Jonathan Rusch  | September 2019 

    • Lessons Learned from Global Anti-Corruption Enforcement: Understand the greatest enforcement risks, learn from problematic fact patterns and see how different global authorities consider compliance when resolving matters and calculating penalties.

    • DOJ FCPA Policies and Your Anti-Corruption Compliance Program: From the design of risk assessments to data retention and increased efficiency of investigative strategies, learn from those who have lived how DOJ applies these policies in practice.

    • Arguments for an Increased Anti-Corruption Compliance Budget: Based on regulator policy guidance and recent enforcement actions, learn five effective arguments to strengthen the case of why your company is better off with an increased compliance budget.

83. How to Conduct Internal Investigations of Compliance Violations Involving Your Foreign Operation or Business?

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Renata Muzzi, Shin Jae Kim, Felipe Maldonado Garcia  | September 2019 

    • Cross-border investigations often add a layer of complexity beyond the issues seen in domestic work.

    • In this session we will discuss how to better handle multi-jurisdictional internal investigations.

    • Do’s and Don’ts when conducting a cross-border internal investigation.

84. Mitigating Trade Compliance Risk - How to Build a Plane While Also Flying It!

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Gwendolyn Lee Hassan  | September 2019 

    • Comprehensive review of emerging trade compliance risks faced by companies doing business internationally

    • Discussion of recent developments in trade sanctions, export regulations, tariffs and free trade agreements.

    • How to stand-up and manage a trade compliance program “from scratch” including where to start and how to take it to the next level.

85. It's a Risk-Based Dinner Gathering - Compliance, ERM, and Audit

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Stephanie Kandel, Joseph M. Pugh, Ryan Abdel-Megeid  | September 2019 

    • Panel will discuss the importance of having a risk-based compliance program and how Compliance, ERM and Audit have distinct yet complementary roles to executing the organization’s strategy.

    • Learn the value and relevance of ERM to the compliance function.

    • Strategies for engaging executive management to build the case for Compliance, ERM and Audit integration.

86. Launching Ladies into Senior Leadership

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Kristy Grant-Hart, Jenny O'Brien, Kirston Liston  | September 2019 

    • Are you ready to launch into the highest levels of leadership? Joining the C-suite? Being on the Board? Then this session is for you.

    • Learn how to win champions and mentors; use verbal language and body language to up your confidence and likeability quotients; and move up the ladder using accountability and top negotiating skills.

    • Master lessons taken from female entrepreneurship. Learn why your network is your net worth (and how to grow it strategically) and how to raise the roof on your profile.

87. Lessons in Ethical Leadership from Recent Events

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): LT Lafferty  | September 2019 

    • Examine recent ethical failures as compliance and ethics case studies.

    • Understand lessons in ethical leadership from each case study.

    • Learn ethics and compliance tips that can help your organization successfully manage and mitigate potential risk areas.

88. 100+ Years of Business Ethics: Learn About the Future from Masters of the Profession

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Steven Priest, Carrie Penman, Jeffrey M. Kaplan, Edward Petry, Ph.D.  | September 2019 

89. Advanced Conflict of Interest Risk & Disclosure Process

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Monica Reinmiller, Michael I. Volkov, Sonia Zeledon  | September 2019 

    • Identify heightened Conflict of Interest risks with public company Board service, Anti-trust and trade secret risks.

    • Develop a sustainable and ongoing review of high risk conflict disclosures.

    • Discuss Conflict of Interest best practices and guidance.

90. Cyber Security Due Diligence: Will You Be the One to Save Your Company & CEO From Disaster?

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Charles Shugg  | September 2019 

    • Discuss the importance and criteria for cyber security due diligence and how it affects corporate or organizational reputation damage, judicial punishment and senior executive careers.

    • Review case studies that highlight the lack of “reasonable” corporate cyber security due diligence regarding processes, assets and incident response actions.

    • Provide best practice guidance to improve senior executive awareness, reduce corporate risk and increase the likelihood of C-Staff career survival following a cyber security breach.

91. Grant Fraud: $700+ Billion in Potential Risks

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Kenneth Dieffenbach  | September 2019 

    • The Federal Grant Process: what you need to know about the basic parameters from application to award to implementation to oversight mechanisms.

    • What Can and Does Go Wrong: the common grant fraud schemes and key liability areas that every grantee must address.

    • Grant Fraud Prevention: practical tips on how to proactively protect your organization.

92. GDPR Compliance Post-Mortems: Lessons Learned from Facebook, Uber, and Others

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Scott M. Giordano  | September 2019 

    • In the nearly 18 months since the EU GDPR was brought into force, several well-known companies have been penalized by EU data protection authorities for misuse and loss of personal data.

    • In this session, we will review these post-mortems, determine what went wrong, and discuss the implications for complying with the GDPR and other multinational data protection regulations going forward.

    • We will also examine recent European Data Protection Board (EDPB) opinions and discuss how they affect overall compliance strategy.

93. New Beginnings: Starting your Compliance Program and What Needs to be Included

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Sheryl Vacca, Debbie Troklus  | September 2019 

    • Discussion on the basic elements of a compliance program

    • Overview of the challenges and opportunities in developing a compliance program.

    • Identifying ways to get “buy in” for the compliance efforts

94. The Happy Marriage between Legal and Compliance

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Donna C. Boehme, Patrick J. Gnazzo, Judity L. Nocito  | September 2019 

    • Join experts with “in the trenches” CCO experience in an engaging discussion of the respective roles and responsibilities for Compliance and Legal in your compliance program. The Partnership between these two functions should be strong and clearly defined

    • Discussion will include: The evolution away from Compliance as a captive arm of Legal; How a strong partnership can support the mandates of both functions; Mapping out the respective responsibilities and roles of the two sister functions

    • This unique and dynamic session is intended to clarify an area of much uncertainty and controversy over the past decade, and point the way to more productive working relationships. Bring your questions with you!

95. The Practical Who, What, When, Why and How's of Third Party Due Diligence & Monitoring

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): James J. Lord, Andy Hinton, Xavier Oustalniol  | September 2019 

    • Creative approaches to preventing and detecting corruption through risk-based third party management

    • Determining the right level of due diligence and identifying non-traditional sources of third party information

    • Highly engaging use of real life hypotheticals to explore current issues and challenges in third party management around the globe

96. Top 5 Compliance Risks when Contracting with the Federal Government

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Erica Geibel, Stephen Knight  | September 2019 

    • The federal government is unlike any other customer that a company can have, imposing complex compliance requirements on contractors

    • This discussion will focus on the major government contracting compliance challenges and how to address those challenges preemptively

    • The presenters will provide an overview of the significance of doing business on federal government money; the five greatest compliance risks affecting contractors; and a summary of significant legislative and regulatory developments in those areas

97. Software License Compliance & Vendor Management: Why It's Mission-Critical To Reputation & Cybersecurity, 10 Reasons It's Hard (& Getting Harder), and 10 Action Tips For You and Your Team

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Henry W. (Hank) Jones  | September 2019 

    • Non-Compliance, Now: How Traditional Purchasing & IT Processes + Vendor & Technology Changes Have Landed Nearly Every Entity In Contract Breach, Copyright Infringement, & Security & Reputation Risk

    • Digital Dependency Reduction & Organizational Quality Control: Best Practices: Recommended, Rank-Ordered Action Items For Compliance Professionals To Help Purchasing, IT & Other Colleagues See & Fix Software License Compliance

    • Get To Not Just Yes & Fixed, But Also Thank You: Tips For Software-Specific Change Enablement, Quantification, Persuasion, Charm, Evidence, Appreciation, Budgeting, & Career Benefits

98. The First, Best Chance: Post-Merger Ethical Culture Building Challenges, Opportunities, and Lessons

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Robert L. Locraft, Jason L. Lunday  | September 2019 

    • Perspecta’s challenges to build a new ethical culture company formed by the spin-off of the DXC Technology U.S. Public Sector business and merger with Vencore and KeyPoint Government Solutions to address big U.S. Government IT and security challenge

    • As a newly publicly traded company, and a government contractor, the ethics and compliance program had to be ready to go Day 1, including a unified Code of Conduct and plan to promote a common set of behavioral standards to bring together all employees

    • This offered Ethics & Compliance the chance to lead the way under the company’s new Values statement. The ECO brought to life these Values through training and communications initiatives as central to the new company’s launch and culture setting

99. When Ethical People Make Unethical Decisions: Lessons, Reflections, and Takeaways from the Public Sector

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jabu M. Sengova, Carlos R. Santiago, Jenna Wiese  | September 2019 

    • See and hear real life stories of public sector employees whose ethical lapses resulted in ethics investigations as well as fraud and criminal prosecution

    • Engage in an interactive and thoughtful discussion of the key factors that lead to unethical conduct and how “good” people go “bad”

    • Gain insight into lessons learned and takeaways from the consequences and aftermath of poor ethical decision-making

100. Every Choice Has a Consequence

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Chuck Gallagher  | September 2019 

     • How easy it is for ethical people to make unethical choices and what to do about it.

     • The impact of life’s choices and how that affects your performance, both personally and professionally.

     • Real-world practical examples of how to use ethics and integrity to create success in business and life.