2020 Compliance & Ethics Institute (CEI)

  1. Effective E&C Risk Management Practice: Program Essentials and Core Practice Considerations

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Greg Triguba, Virginia MacSuibhne  | September 16, 2020 

    • Gain a deeper understanding of the basic roles, resources, and fundamentals necessary to facilitate and manage an effective ethics and compliance risk management program

    • Explore the challenges planning considerations and strategic solutions for implementing and leading effective ethics and compliance risk assessment processes

    • Consider outcomes derived from basic risk assessment findings and explore opportunities to use this valuable information to prioritize and build strategic plans for effective management and mitigation

  2. Effective Partnership Strategies with Your Board of Directors

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): John Fons, Michael Volkov  | September 16, 2020 

    • Chief Compliance Officers must develop an effective working relationship with its Board of Directors to ensure that the company's compliance program has adequate authority, resources and independence

    • Recent court decisions -- Marchand v. Barnhill and Clovis Oncology, Inc. Derivative Litigation -- have increased risks for individual Board member liability; as a result, CCOs must train board members on proper oversight and monitoring functions

    • Given this new environment, this session will identify positive strategies to increase board engagement, ensure effective reporting, and increase overall board support of the compliance function

  3. Expanding into the Federal Marketplace: Compliance Issues to Consider When Doing Business with the Government

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Robert Wagman, Matthew Nielsen  | September 16, 2020 

    • Through this session, attendees will gain a deeper understanding of the compliance requirements for doing business with the government, including the mandatory disclosure obligations in the Federal Acquisition Regulation (FAR)

    • We will discuss the unique risks that primarily commercial companies face -- and the best ways those risks can be addressed -- when doing business with the government while expanding into the federal marketplace

    • The session will also cover recent developments, best practices and practical steps for structuring and maintaining an effective compliance program that complies with the FAR

  4. Polishing Your Investigation Skills, Part I

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Albert Gagne  | September 16, 2020 

    • Discuss common investigation scenarios you are likely to encounter and how to respond correctly

    • Sharpen some important investigation skills that are key to your success as an investigator

    • Learn how to avoid some pitfalls that can jeopardize your success

    • Focus your investigations on business insights, as well as misconduct, to contribute to the success of your organization

  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. Antitrust Compliance: What Does the Government Really Want?

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

    • What are some of the surprising requirements/hidden traps in the Antitrust Division Compliance Guide, and how will government enforcers/compliance monitors respond to programs that purport to follow that Guide and the Federal Sentencing Guidelines

    • While checking all the boxes of the government guidelines, what techniques are most likely to actually work in your corporate setting

    • What are some of the requirements in the two dozen other countries that have published antitrust or general compliance guidelines?

  14. The Dreaded "F" Word - "Fraud" - What Can You Do About This Risk? - Assessment and Mitigation

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

    • Preparing for Fraud - Have you done a Fraud Risk Assessment? What are your Internal Controls and Monitoring Mechanisms? Do you run Data Analytics?

    • Mitigation of Assessed Risk - Preventive and Detective Controls. Collaboration between Operations, Legal, Compliance, Ethics, Internal Audit, Privacy and Enterprise Risk Management (ERM)

    • Three recent Case Studies - Enforcement Actions

  15. Your Acquisition Has Closed - Now What? New Frontiers in Post-Close Compliance Diligence and Integration

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Gary DiBianco, Irina Dragulev, Parth Chanda  | September 15, 2020 

    • What are regulator expectations globally on post-close diligence and integration and how do you coordinate and prioritize diligence and integration work across multiple risk domains in line with those expectations?

    • How can you leverage data analytics to accelerate post-closing compliance diligence to uncover and remediate problem areas as soon as possible?

    • How do you leverage scalable technologies to incorporate effective internal controls into the acquired entity as quickly and cost-effectively as possible?

  16. Third-Party Due Diligence: How Much Diligence is Enough?

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Sarah Powell, Douglas Huberts, Tony Charles  | September 15, 2020 

    • While many companies have become serious about adopting a compliance program, enforcement agencies have repeatedly stated that the efficacy of an ABAC program is linked with ongoing efforts to continually monitor risk. So, what elements must be in place?

    • The scope of due diligence to perform for an ongoing, existing third-party relationship; when and how to re-evaluate your risk ranking approach and associated costs of a robust program

    • Understanding the local business environment, customs and practices; how to incorporate effective front-end vetting and screening protocols based on the type of relationship and interests represented by the third party

  17. Internal Accounting Controls and Internal Compliance Controls: What Public Companies Need to Know for Anti-Corruption, Sanctions, and Anti-Money Laundering Compliance Programs

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

    • Background on the FCPA's accounting provisions, including the requirement for public companies to maintain internal accounting controls

    • A review of the internal accounting control failures noted in recent DOJ and SEC Resolutions, including FCPA issues, but also sanctions, commercial bribery, and money laundering

    • Practical guidance for Compliance and Legal professionals at public companies for working across functions within companies to establish functioning internal controls that implement Compliance programs and minimize risk of SEC enforcement

  18. What Will Your Employees Say? The Importance of Cultural Assessments

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

    • Why a Cultural Assessment? One of the first things government agencies do after targeting an organization is survey its employees. You need to know what your employees will tell the government before it happens.

    • How are they used? Government agents and lawyers will interview your employees to get an idea of your culture. Does senior management really practice what it preaches? Do they have integrity? Do they behave ethically?

    • How can you use your assessment to take corrective action? Is it too late? Are your employees going to help or hurt you?

  19. International or Cross-Border Investigation Strategies

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

    • Provide hints and tips to protect yourself and your company prior to engaging in international investigations

    • Provide items to consider during an investigation while onsite in a foreign country

    • Discuss legal challenges of investigations outside your home country

  20. 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

  21. 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

  22. 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?

  23. 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

  24. 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

  25. 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'