2020 Compliance & Ethics Institute (CEI)

26. 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

27. 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

28. 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

29. 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

30. 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?

31. 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

32. 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?

33. 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

34. 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

35. 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?

36. 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

37. 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

38. 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

39. 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?

40. 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

41. 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

42. 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'

43. 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

44. 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 

45. 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

46. 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

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

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

48. 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

49. 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

50. How to Reinvigorate a Global Code of Conduct: The Sony Way

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Prietta Booker, Sarah Stainton  | September 15, 2020 

    • Sony needed an online Global Code of Conduct training course that explained the company values and outlined the ethical responsibilities of their employees, to replace their previous paper-based version

    • Follow their journey as they developed and embraced engaging online training that was applicable and appropriate to the entire SONY Group, which reflected the SONY brand; innovative, inspiring and dynamic

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