2019 Compliance & Ethics Institute (CEI)

  1. Counseling Compliance in Small to Medium Sized Organizations

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jason Meyer  | September 18, 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.

  2. 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 18, 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

  3. 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 18, 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.

  4. 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 18, 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

  5. 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 18, 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

  6. 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 18, 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

  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 18, 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 18, 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 18, 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 18, 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 18, 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 18, 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 18, 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. 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 18, 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

  15. Automating Privacy Operations at Scale in Azure

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): David J. Marcos  | September 17, 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.

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

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Cedric Bourgeois  | September 17, 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

  17. Compliance & Cannabis in the Workplace: Navigating the Changing Landscape of Legalization

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Amy E. McDougal  | September 17, 2019 

    • Discuss how to manage legal cannabis use in the workplace; how it may impact your business.

    • Consider how to proactively plan for cannabis in your business; updating policies, delivering relevant training and adjusting monitoring protocols.

    • Learn about ways to prepare your corporate compliance and ethics program for legalized recreational and medical marijuana use in order to lead management’s adaptation to the changing legal landscape.

  18. Creating a Culture of Compliance

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Andrew G. Bucknam  | September 17, 2019 

  19. Communicating Compliance Creatively: A Panel Discussion

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jay Rosen, Marc Havener, Ronald Feldman, Ricardo P. Pellafone  | September 17, 2019 

    • Join moderator, compliance podcaster and former screenwriter Jay Rosen as he crawls into the minds of three creative agencies that are reinventing how to communicate compliance, and why it matters.

    • Promote the power and value of a creative approach to leadership by equipping yourself with insights into the behavioral science behind how creative approaches affect culture, change behavior, and influence employee’s decisions.

    • Learn about the creative process behind making compliance messages that stick, why it’s the same strategy advertisers use, and how to understand and streamline the collaborative process so that you satisfy your stakeholders.

  20. ISO 37001: The Global Future of Compliance or a Turn Down the Wrong Trail?

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Walter E. Johnson, Joseph E. Murphy  | September 17, 2019 

    • What is ISO 37001 and what are its implications for compliance globally?

    • In what ways does it impact compliance professionals and our organizations?

    • Can the standard be improved to achieve betters results in fighting corruption?

  21. Making Connections Count: Tips to Gain Value Through Networking

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Samantha Kelen  | September 17, 2019 

    • Don’t be caught alone. Networking with other professionals ensures you’ll have the support you need to fulfill the challenges of an ethics and compliance role.

    • Don’t be afraid. It’s not nearly as complicated, challenging, or scary as it seems. We’ll discuss concrete steps you can take to improve your network.

    • Don’t delay. Networking can lead to countless opportunities if you put in the effort, so come prepared to exchange business cards and get connected.

  22. Making the Most of Your E&C Network

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jessica A. Tjornehoj, Eric Brotten  | September 17, 2019 

    • Professionals from all generations will learn about and share ideas around best practices for networking, being a connector, paying it forward, and thought leadership as an ethics & compliance professional

    • Learn to leverage in-person events (like this conference!), affinity and professional associations, mentoring, networking, publishing, and social media to expand & share your expertise in E&C

    • Increase your reach as an E&C professional and influencer and participate in the #SCCEcei thread for hands-on practice of your new/improved networking skills! Let’s get #SCCEcei trending together!

  23. It's Not Where You've Been; It's Where You Are Going: Improving Compliance and the Employee Experience by Tackling Policy Proliferation

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Cynthia Creech, Laura Ellis  | September 17, 2019 

    • How Cisco set to reduce complexity and frustration and improve compliance with an aspirational goal of reducing the number of companywide policies from 330+ to 33 and, along the way, align compliance posture with risk tolerance.

    • How did we do this? Why did we do this? And how did the collaboration between Policy Governance and Compliance & Ethics set off a chain reaction within Cisco to make compliance easier across the company?

    • In this session, we will walk through our often complex and frustrating process to optimize and consolidate, clear up inconsistencies and overlap and stop the madness of policy proliferation to improve both compliance and the employee experience.

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

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Ralph Villanueva  | September 17, 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

  25. Leverage Legal Developments to Advance Your Program

    2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Rebecca Walker, Jeffrey M. Kaplan  | September 17, 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.