SCCE Conference Slides and Recordings

  1. Whistleblowers, Incident Management & Training: The Trifecta for Creating an Effective Speak-Up Culture

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Joshua Toas, Tony Charles  | September 16, 2020 

    • This panel will present some case studies/best practices from clients on what elements companies are using in their arsenal for helping to promote a speak-up culture within their organizations.

    • How is training and attestation used as support? What role does a strong incident management program have?

    • Why is just providing a hotline not enough? And what impacts have these changes had on their compliance efforts?

  2. 5 Steps to Ethical Problem Solving (2020 Compliance & Ethics Institute)

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Marcy Maslov  | September 16, 2020 

    • We assume everyone has the same definition of ethics as we do... until there's a problem. Every business issue we face has an ethical dilemma at its core. Do you know how to recognize the ethical dilemma?

    • Employers of new graduates are complaining their new hires are not Job Ready in one critical area: ethics. So where do we learn how to solve ethical dilemmas? Who taught you, and how do you know if you've made the right decision?

    • It's important to provide a framework for ethical problem solving. This program offers a 5-step framework and a gamified approach to teaching not only decision-making but critical thinking, leadership and team-building skills.

  3. Blending with the Federal Workforce: What Ethics & Compliance Officers Need to Know When Providing Services to the Federal Government

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Danica Irvine, Gerard Amann  | September 16, 2020 

    • This session will address unique compliance challenges inherent in a blended contractor/Government employee workforce, including conflicts of interest, gifts, social interactions, post-employment restrictions, and protection of data

    • This is a continuously evolving landscape and we will identify current and developing issues while discussing best practices for risk management

    • This is a "must attend" session for companies who provide services to the U.S. Government

  4. Europe, Balkans and the Americas: Dealing with Compliance in Our New Reality - Why Should You Care?

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Susan DuBecker, Maria Lancri, Yulia Eliseeva  | September 16, 2020 

    • Using the law as an excuse; emergency laws, Brexit, Europe and the Balkans. Do they exist, what are they and, how do we work together?

    • Using the economy as an excuse; Now we have new laws, Force Majeure and our new reality. What is the cause and effect with our Compliance Programs, Anti-Trust, Privacy and Corruption. How do we steer and guide our people?

    • Relationships between you, me and others and the necessity of ethical relationships in the aftermath of Covid 19; New bonds, new opportunities, new behaviors, new ways of thinking in our new world

  5. Responsible Use of Emerging Technology

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Srividhya Thiagarajan, Alethea O'Donnell  | September 15, 2020 

    • Customer expectations have shifted with companies growing use of data and technology. Our presentation focuses on how to help business partners with the implementation of emerging technology and digital solutions in an ethical way

    • How to encourage business partners to ensure digital and data strategies work for all consumers. Special consideration given to maintaining a humanistic perspective so that humans and machines collaborate to benefit customers

    • How to develop a Digital and Data Compliance Program, including development of Data Ethics Principles and a Digital Upskilling Curriculum

  6. Engaging your Board Relevance in 2021

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Paige Shannon, Adelle Elia  | September 15, 2020 

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

    • How do ethics and compliance programs connect to the hot topics for Board members in 2021?

    • Focus Areas: The Board's role in crisis management; stronger demand for oversight of company culture; and the increasing importance of Environmental, Social and Governance (ESG) in M&A and other contexts

  7. Anti-Bribery Risk Assessments: Measuring Business Bribery Risk, Updating Procedures and Making Program Modifications

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Alexandra Wrage, daniel Seltzer  | September 15, 2020 

    • How to scope a global risk assessment and identify your most significant risk areas

    • Developing an effective workplan for conducting risk assessments, mapping risks and updating procedures to detect new vulnerabilities

    • Executing on plan to mitigate issues identified via risk assessment and updating procedures

  8. Avoid a Compliance Hangover: Maintain Momentum in Your Compliance Program after the Regulators have Left (2020 Compliance & Ethics Institute)

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Gregory Bates, Richard Davies, Harvard Smith  | September 15, 2020 

    • 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 organizations realities, such as compliance fatigue at a sensitive time, while maintaining an effective program and demonstrating the programs 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

  9. Building Best-in-Class Compliance Programs in Small Organizations

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Tracy Tracy  | September 15, 2020 

    • Small organizations can be viewed as big sources of risk, especially if you are a vendor to large organizations. Let's make sure you have the right pieces in place to ensure you are a credible partner for your clients

    • This session will share helpful strategies for managing big compliance obligations with small teams

    • You CAN manage the audits you have to respond to, as well as the audits you should be performing. Let's talk about ways to tell your highly effective compliance program story through your audit processes

  10. June 2020 DOJ Guidance and Cross-Functional Cooperation

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Shon Ramey  | September 15, 2020 

    • Ramey will lead a discussion of compliance officers’ new need for greater visibility into other departments reporting mechanisms, especially legal and audit

    • Start with the end in mind. Have the right cross-functional team evaluate whether a proposed action and initiative is a good idea first. Then confirm that it is both legal and ethical

    • The new and changing skillset needed to work in this cross-functional, collaborative way

  11. Challenges of Implementing a Risk-Based Third-Party Due Diligence Program

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Lila Acharya, Sonal Shah, Head of ABC Compliance Operations  | September 15, 2020 

    • Do you know who your third parties are and what they do for you? Many companies struggle with this as they seek to formalize their third-party due diligence procedures. We will discuss strategies for tackling this challenge

    • Technology and Third-Party Due Diligence - friend or foe? The market is now flooded with automated due diligence platforms and screening tools for conducting third party due diligence. How do you determine what is best for your company?

    • What constitutes a "risk-based" approach to Third Party Due Diligence? The DOJ, SFO, and AFA all advise taking one, but devising a strategy can be challenging. We will discuss best practices in developing procedures appropriate for your company

  12. Change Management: Transforming a Long-Established Compliance Program

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Christopher Annand, Neha Gupta, Michael Duran  | September 15, 2020 

    • Revisit your compliance risks to refine your training curriculum

    • Enlist change champions to deliver messaging and promote engagement across the firm

    • Deploy a plan to rebrand and relaunch your program to achieve maximum impact (and enjoyment!) with employees

  13. Compliance in the Crosshairs: What the Courts are Saying about Effective Compliance Practices in Compliance Officer Liability Cases

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): David Applebaum, Arielle Tobin, Michael Henry  | September 15, 2020 

    • Presentation from litigation and enforcement attorneys, and a senior in-house compliance counsel, on judicial decisions holding corporate compliance officers liable

    • When and why do courts hold compliance officers liable -- and what steps to take to reduce risk and avoid liability

    • Other lessons from recent court and agency decisions on how to make your compliance program more effective

  14. Leverage Legal Developments to Assess and Advance Your Program

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Rebecca Walker, Joseph Murphy  | September 15, 2020 

    • Review recent developments in the law related to compliance and ethics, including case law, enforcement agreements and government pronouncements

    • Examine the impact of recent legal developments on compliance and ethics program design and implementation

    • Consider strategies for using compliance and ethics-related legal developments to assess and enhance your program

  15. Current Developments in Compliance Program Ethics Considerations for Compliance Officers and Attorneys

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Theodore Banks  | September 15, 2020 

    • What are the ethical considerations that face anyone involved in compliance activities, whether or not they are attorneys?

    • What are some of the recent developments over the last year, including situations where compliance officers have become personally liable for failures in the compliance programs they were directing?

    • How do developments in other areas, as technology, pose ethical obligations that might surprise a compliance officer?

  16. Current Pressures in Whistleblower Retaliation and the Effect on Compliance Program Effectiveness

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Matt Kelly, Lisa Fine  | September 15, 2020 

    • Review of recent whistleblower cases, both in corporate and government proceedings and how they may impact reporting and implications of these cases on day-to-day reporters

    • Hear about best practices for encouraging reporting of wrongdoing and for protecting reporters from retaliation from a practitioner with experience in two different industries, and bring your experiences, questions and pressure points to the discussion

    • We will also discuss situations where compliance officers have raised concerns and have to escalate them to leadership, the board to externally

  17. Cybersecurity and Incident Response in the Energy and Utilities Sector: How Your Peer Companies are or Should Be Preparing

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Melanie Phillips, Joseph Santiesteban  | September 15, 2020 

    • Overview of the unique and evolving threat landscape

    • Discussion of regulatory and enforcement developments

    • Practical compliance and risk mitigation strategies

  18. State of the Union: Compliance Risk in Africa and the Middle East

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Stephan Lutz, Letitia Adu-Ampoma  | September 15, 2020 

    • Learn how the long-standing regional foci on the single dimension of bribery risk can jeopardise your compliance program through 'tunnel vision'. There are multiple evolving and linked compliance risks in Sanctions, Data, Digital, Supply Chain, Human Rights, Ethical Labour & 3rd Parties

    • Recognise how the force of transparency and more effective investigations by regulatory authorities is exposing the compliance risk posed by professional firms traditionally considered 'reputable'

    • Grasp the nuances of the relationship between compliance risk and Corporate Social Responsibility, bribery as a human rights violation and the concept of 'victim status'

  19. Doing a Lot with a Little: How to Get the Most Out of a Small Ethics Program

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Kevin Robertson  | September 15, 2020 

    • Much of the best practices we learn about for E&C programs seem designed for established, mature programs with significant resources

    • What about companies where the program is just a person or two, or the program is just getting started? If you don't have the time, money, or people power to do it all, how do you decide what really matters?

    • The session will focus on smaller or newer programs that are trying to go from good to great. Key discussion will be about how these programs can determine which elements are essential given limited resources

  20. Ethics & Compliance Training is the Worst! Two Creative Agencies Share Some Different Ideas and Options

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Ricardo Pellafone, Ronald Feldman  | September 15, 2020 

  21. The Challenges of Data Protection and Privacy - GDPR, Brazil DP Law, Japan DP Law

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Scott Giordano  | September 15, 2020 

    • Since enforcement of the EU GDPR began in May of 2018, authorities have levied nearly 350 fines against organizations with poor data protection practices, making the law a global benchmark for data protection

    • Other countries, notably Brazil and Japan, have issued their own data protection laws that contain many of the same provisions as that of the GDPR

    • This presentation will compare and contrast those laws and offer ideas for developing a data protection program that meets the requirements of all three

  22. General Session: Fostering a Culture of Compliance

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Tiffany Archer, Susan Roberts, Adelle Elia, Jaccki Cheslow  | September 15, 2020 

    • What do we mean by a culture of compliance

    • What are the techniques that are truly effective for building the right culture

    • How to keep a culture on track when there are forces seeking to derail it

  23. General Session: Why We Act - Turning Bystanders into Moral Rebels

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Catherine Sanderson  | September 15, 2020 

  24. Transform Your Policies: A (Relatively) Pain-Free Guide

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Andrea Falcione, Desiree Ramirez  | September 15, 2020 

    • Building on momentum from its digital Code of Culture initiative, University of North Texas Health Science Center (UNTHSC) embarked upon a policy transformation journey to fundamentally change its approach to policy management

    • Learn about UNTHSCs mandate to decrease the number of its policies from 425 to a more manageable 90 (or so!)

    • Hear how UNTHSC evaluated its existing policy inventory and policy management process and then crafted and executed on a massive policy transformation plan

  25. How to Conduct a Compliance Program Self-Assessment

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Danielle Herrick  | September 15, 2020 

    • What is a compliance program self-assessment, why is it important and how can it be used?

    • How to develop and conduct a compliance program self-assessment

    • How to measure your program's progress over time