2021 Scottsdale Regional Compliance & Ethics Conference

  1. Ethics and Compliance in an Age of Disruptions

    2021 Scottsdale Regional Compliance & Ethics Conference  | September 17, 2021 

    This session will present a historical overview of the evolution of the compliance and ethics profession. The discussion will explore key events that have been, and continue, shaping the compliance and ethics profession, including:{br/}

    • Where have we been?

    • Where are we now?

    • Where are we going?

  2. It Is More than Just Compliance: How to Promote Diversity, Equity, and Inclusion

    2021 Scottsdale Regional Compliance & Ethics Conference  | September 17, 2021 

    • Institutionalizing Diversity, Equity, and Inclusion: Understanding the Business Case for Diversity

    • The Intersection between DEI and Compliance

    • Transparency and Accountability with DEI Initiatives{br/}

  3. Partner Risk Monitoring: Piecing Together Disparate Data Points to Reduce Your Third-Party Risk

    2021 Scottsdale Regional Compliance & Ethics Conference  | September 17, 2021 

    • Why you should look closely at partner data (and how a bad partner can hurt your company)

    • How a partner risk score can make business determinations easier

    • Real life example: Creating an end-to-end view of partner risk

  4. Compliance as a Corporate Value: Transforming Culture through a new Code of Conduct and Policy Governance

    2021 Scottsdale Regional Compliance & Ethics Conference  | September 17, 2021 

    • How does a code of conduct help achieve your company's mission?

    • How are employees living by your code?

    • Learn how bringing the principles of relevance, engagement, and neuroscience to life through a code can transform how employees see compliance

    • Designing-and governing-policies for simplicity by putting the employee at the center of the experience

  5. Compliance After an Acquisition

    2021 Scottsdale Regional Compliance & Ethics Conference  | September 17, 2021 

    • Risks after an acquisition are significant and include the risk of an ongoing fraud scheme that evades detection, as well as a risk for self-dealing, compliance culture mismatches, and controls mismatches.

    • Avoiding those risks requires its own risk-based approach. Domestic acquisitions that operate domestically have a lower level of risk, generally speaking. Foreign acquisitions or domestic acquisitions that operate abroad carry more significant risk.

    • Dealing with that risk requires mitigation that falls along a continuum. It could be that controls remediation and training are okay for small domestic acquisitions. Riskier acquisitions often require significant controls testing and remediation.

  6. Retaliation: The Insider Threat That Can Shatter an Organization and Its Culture

    2021 Scottsdale Regional Compliance & Ethics Conference  | September 17, 2021 

    • Explore the nature of retaliation and why it continues to be an insider threat for organizations

    • Discuss case studies of how some CEOs became Chief Retaliation Officers

    • Learn how the right culture can best retaliation with leading practices