2020 Virtual Scottsdale Regional Compliance & Ethics Conference

1. Compliance Work Plan and the Board: a Compliance Committee Toolkit

   2020 Virtual Scottsdale Regional Compliance & Ethics Conference  | Presenter(s): Gerry Roy, Lisa Gressel  | April 10, 2020 

   • Examples of compliance work plan & dashboards

   • Lessons learned on reporting to boards of directors

   • Appropriate and Inappropriate questions boards should be asking

2. An FBI Perspective on the Current Cyber Landscape, Threats and Trends

   2020 Virtual Scottsdale Regional Compliance & Ethics Conference  | Presenter(s): Martin Hellmer  | April 10, 2020 

   • Description of the federal government’s roles and capabilities to combat cyber threats

   • In-depth discussion of the cybercriminals and common vulnerabilities they exploit

   • A look at prevalent cyber trends and ways in which people can protect themselves

3. Anti-Corruption or Anti-Bribery

   2020 Virtual Scottsdale Regional Compliance & Ethics Conference  | Presenter(s): Brian Walsh  | April 10, 2020 

   • FCPA basics

   • Recent trends & enforcement actions

   • Observations & lessons learned

4. Ethics Reporting and Incident Management, Marketing, Benchmarking, and Best Practices

   2020 Virtual Scottsdale Regional Compliance & Ethics Conference  | Presenter(s): Juliette Gust  | April 10, 2020 

   • Intake methods: Do you have the 800 number no one calls?

   • Intake Marketing: Hotlines or Helplines? Whistleblower or Reporter? Words matter.

   • Report sources, issues, and substantiation rates: How does your program compare?

   • Incident tracking: If it’s not documented, did it happen?

   • Reporting: Embracing the age of analytics.

5. Connecting Corporate Culture with the Bottom Line

   2020 Virtual Scottsdale Regional Compliance & Ethics Conference  | Presenter(s): Andrew Downin  | April 10, 2020 

   • How to position culture as a competitive advantage

   • Leveraging a positive culture in a competitive labor market

   • Tips and tricks for how to successfully implement cultural change

   • Designing goals and objectives that help achieve financial success while supporting a long-term positive culture

6. Risk Assessments, Governance Risk and Compliance Program Buildout

   2020 Virtual Scottsdale Regional Compliance & Ethics Conference  | Presenter(s): James Rose, Stephen James  | April 10, 2020 

   • Why do we pursue excellence in Governance, Risk and Compliance?

   • Compliance Risk Assessment for Your Organization

   • Evaluating Your Compliance Program

   • Governance, Risk and Compliance (GRC) Program Management