2023 SCCE California & Phoenix Regional Compliance & Ethics Conference

1. DOJ Compliance Enforcement Updates

   2023 SCCE California & Phoenix Regional Compliance & Ethics Conference  | February 10, 2023 

   • A look back at 2022 and whether enforcement predictions were met

   • Key cases and how recent DOJ pronouncements have changed the corporate enforcement policy and compliance landscape

   • Emerging enforcement/compliance issues for the next year and beyond

2. The Intersection of Compliance and ESG

   2023 SCCE California & Phoenix Regional Compliance & Ethics Conference  | February 10, 2023 

   • A look at compliance's role in ESG across diverse organizations

   • A parallel look at assessing compliance risk and ESG materiality

   • What compliance can learn from ESG frameworks about measuring and reporting on our programs

3. The Not So New Normal: Ensuring a Culture of Integrity in a Hybrid Remote Workplace

   2023 SCCE California & Phoenix Regional Compliance & Ethics Conference  | February 10, 2023 

   • What additional resources or initiatives do we need to implement to ensure effective ethics and compliance signals (from peers and managers)?

   • How can the compliance function develop or maintain strong relationships with the business if they have few opportunities to meet in person?

   • If there is less opportunity for employees to observe their colleagues modeling ethical or unethical behavior, how can we incent or disincentivize this behavior as necessary?

   • Has the volume of allegations or out of policy transactions changed since hybrid work became a reality?

   • Have the types of allegations or concerns changed?

   • Have HR policies been aligned to current workforce strategy (remote, hybrid or on-site)?

   • Do employees believe the policies are fair and applied consistently across the workforce?

4. Employee Communications in the Modern Age: What Compliance Should Know

   2023 SCCE California & Phoenix Regional Compliance & Ethics Conference  | February 10, 2023 

   • How should companies address evolving DOJ standards for preserving and collecting business communications?

   • Are policies enough? What are best practices for drafting and enforcing device usage and collection policies?

   • What's next? How should companies prepare for increasingly complex modes of communication and challenges in monitoring and preserving employee communications?

5. Effective E&C Training...on a Shoestring Budget

   2023 SCCE California & Phoenix Regional Compliance & Ethics Conference  | February 10, 2023 

   • What to train

   • Who to train

   • How to train

   • Best Practices

6. Plugging In with Compliance: Opportunities to Develop and Connect with Compliance Peers in 2023

   2023 SCCE California & Phoenix Regional Compliance & Ethics Conference  | February 10, 2023 

   • Since the pandemic hit in March of 2020, Ethics and Compliance professionals have had less opportunities to network in-person

   • In this lively discussion, we will look at the creation of MentorCore, the CCC (Compliance Career Connection) and The Seven Elements Book Club

   • Our three panelists will describe some organic tools they developed to keep their customers, clients and colleagues connected through social media and creation of new networks