2020 Compliance & Ethics Institute (CEI)

  1. Individual Accountability for Corporate Wrongdoing

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Joel-lyn McCormick  | September 16, 2020 

    • A discussion of what prosecutors review and consider when determining whether to charge a corporate entity. The presentation will discuss the federal principles of prosecution of business organizations and corporate management

    • Application of sentencing guidelines will focus on what features within a compliance program are most favorable to the corporation under the advisory sentencing guidelines

    • Building a prosecution-proof Compliance Program: This part of the presentation will provide an interactive exercise for participants to outline and develop a model compliance program

  2. Large-Scale Investigations in Multinational Companies

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Katarzyna Golonka, Jannica Houben  | September 16, 2020 

    • Discuss various aspects of internal investigations; from planning through assembling the investigative team and designing investigative steps to interviews, reporting and discipline

    • A comprehensive analysis of the investigation process, offering the perspectives of both a lawyer/compliance officer and an external forensic expert/fraud investigator

    • Practical examples and mini case studies, including for areas such as interviews, data capture and analysis and the investigative team

  3. Managing Investigations Before They Start: Organizing an Effective Investigation Process through Thoughtful Preparation

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Michael Ortwein, Marianne Ibrahim, Danield Wendt  | September 16, 2020 

    • Key investments to make when starting or revamping an investigation process for multinational companies

    • Improving investigation policies and procedures during quiet times, including guidelines for preparing reports, reviewing findings across functions, and deciding on remediation and discipline

    • Managing external counsel, forensic accountants, ediscovery vendors, and other providers across multiple jurisdictions before issues arise

  4. Managing an Effective Export Compliance Program in a Global Market, Because Nobody Looks Good in Day Glow Orange

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Lindsay Cloonan, Salvatore Ceraolo  | September 16, 2020 

    • We will examine the licensing and compliance requirements for exporting under the EAR and ITAR, beginning with proper product classification

    • We will examine various internal compliance controls to mitigate risk once Export Authorizations have been approved by the US Government

    • We will examine some compliance monitoring processes to mitigate risk that can be performed on an annual basis

  5. 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?

  6. 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

  7. 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?

  8. 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

  9. 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

  10. 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?

  11. 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

  12. 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

  13. 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

  14. 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'

  15. 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

  16. 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 

  17. 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

  18. 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

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

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

  20. 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

  21. 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

  22. 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

  23. Leap-Frogging in Latin America: How New Compliance Programs for Latin America can Leapfrog Traditional Approaches to Compliance

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Natasha Trifun, Parth Chanda, Patricia Colombo  | September 15, 2020 

    • Learn from experts with on-the-ground experience building compliance programs in Latin America about how recent enforcement and legal changes in the region provide an opportunity to implement best-in-class compliance programs

    • Learn how leading companies in the region are harmonizing controls and processes across markets in the region and localizing compliance to make it more effective

  24. Public Agency Ethics and Compliance Programs: Challenges and Solutions for Government Professionals

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Angelique Dorsey, Jabu Sengova, Jan Yamane  | September 15, 2020 

    • How do you address operational process issues revealed through ethics violations?

    • What do you do if an ethics issue hits the media?

    • How do you give information to legislators on proposed changes to ethics laws?

  25. Sexual Harassment and Abuse: From Awakening to Organizational Response - Experience from within the United Nations System

    2020 Compliance & Ethics Institute (CEI)  | Presenter(s): Katrina Campbell, Cedric Bourgeoiss  | September 15, 2020 

    • The global awakening lead to strengthening the organizational responses, from more robust policies and prevention to investigation of incidents

    • This session will explore through real life examples how organizations can live up to the expectations of stake holders in the post-#MeToo era

    • UNESCO, as part of the United Nations system and the development community is particularly exposed to sexual harassment and abuses in its operations, and therefore developed policies and practices that the #MeToo movement tested and eventually strengthened