21st Annual Compliance & Ethics Institute

1. How Are We Doing? Strategies for Compliance Program Evaluation

   21st Annual Compliance & Ethics Institute  | October 16, 2022 

   • What are regulatory and stakeholder expectations for compliance program evaluations?

   • What are some common tools and resources that an organization can use to conduct a program evaluation?

   • What does an effective, and realistic, program evaluation look like?

2. Compliance 101, CEI22

   21st Annual Compliance & Ethics Institute  | October 16, 2022 

   • Define the steps in developing an effective compliance program

   • Outline the regulations that are critical for review and application in developing a CP

   • Discuss how to implement the CP after the development stage

3. Past Is Prologue: Preparing for the Next Geopolitical Disruption From a Trade-Compliance Perspective

   21st Annual Compliance & Ethics Institute  | October 16, 2022 

   • Trade-compliance lessons learned from the conflicts in Iran, Russia, Afghanistan, Myanmar and more

   • Preparing for the next geopolitical event that triggers disruptions in trade and supply chains

   • Understanding the importance of working with stakeholders across the business to stay prepared

4. ESG Compliant Vendor Management Programs in Small to Mid-Size Companies

   21st Annual Compliance & Ethics Institute  | October 16, 2022 

   • ESG Mandatory Reporting regulations demand transparency into the supply chain

   • Small to mid-size companies need to establish formal vendor processes to capture ESG content

   • Transparency into the entire value chain demands a programmatic and scalable solution

5. Stop, Collaborate and Listen: Compliance Contributions to Resilience During Crisis

   21st Annual Compliance & Ethics Institute  | October 16, 2022 

   • Review best practices in Business Continuity Management planning, and incorporate BIA results

   • Develop your own escalation plans and learn when to notify stakeholders (internal and external)

   • Examine lessons learned from crises such as natural disasters, weather emergencies, pandemics, etc.

6. Bold Leadership in Compliance

   21st Annual Compliance & Ethics Institute  | October 16, 2022 

   • Leveraging the power of strong and diverse teams: tips and practices to retain/develop employees

   • Influencing actionable changes: strategies for sustainable outcomes thru operational excellence

   • Culture as a sustainable competitive advantage: the value proposition

7. "They're the Board, Not the Bored": Talking Compliance and Ethics to Directors

   21st Annual Compliance & Ethics Institute  | October 16, 2022 

   • Discover and share proven ways to engage corporate directors about their own duties and obligations

   • Employ strategies and language that make directors a more receptive audience

   • Understand the distinctions between educating the board and reporting to it, and the time for each

8. How Do You Promote Consistency When Compliance Is Embedded in the Business?

   21st Annual Compliance & Ethics Institute  | October 16, 2022 

   • How embedding compliance in the business can meet DOJ standards for effective compliance programs

   • How technological tools can help ensure the right teams are handling the right projects

   • How training and other tools can keep a dispersed team rowing in the right direction

9. What Third-Party Evaluation Looks Like in Real Life and How To Pragmatically Implement It

   21st Annual Compliance & Ethics Institute  | October 16, 2022 

   • Determine which stakeholders to involve in the design and implementation of a third-party evaluation process

   • Provide practical solutions for implementing an efficient third-party process

   • Monitor the application of the risk mitigating controls and the effectiveness of the process

10. The Board, Culture, and the Chief Ethics & Compliance Officer

    21st Annual Compliance & Ethics Institute  | October 16, 2022 

    • The board's role in ethical culture

    • What the board expects from the Chief Ethics and Compliance Officer

    • How to measure ethical culture

11. Leveraging Best Practices in Ethics & Compliance and Diversity, Equity & Inclusion To Implement an Effective and Robust ESG Strategy

    21st Annual Compliance & Ethics Institute  | October 16, 2022 

    • Collaborating across functions to develop a holistic approach to ESG risks and opportunities

    • Committing to a continual improvement process to address the range of stakeholder perspectives

    • Avoiding risks of incongruence between external commitments and internal operations and culture

12. Understanding and Adapting Your Compliance to Global Data Protection and Privacy Laws

    21st Annual Compliance & Ethics Institute  | October 16, 2022 

    • Understand the development and growth of data protection and privacy laws around the world

    • Recognize the similarities and variations from country to country

    • Learn how to assess privacy and security risks and how to maintain an effective compliance program

13. Building Trust with Third Parties: Promoting Your Compliance Brand and Standards Through Collective Action and External Commitments

    21st Annual Compliance & Ethics Institute  | October 16, 2022 

    • How to initiate collective action initiatives in compliance and get buy-in; build the case

    • Building compliance competencies with your third parties (beyond training)

    • Enhancing due diligence efforts through focused collaboration (beyond audit and screening)

14. Post Pandemic Workplace: Time for New Employer/Employee Dynamics

    21st Annual Compliance & Ethics Institute  | October 16, 2022 

    • A relational framework specific to the manager/employee relationship is a must in the Digital Age

    • Using personal-interpersonal skills to relate to employees creates toxic work cultures

    • A relational framework specific to the manager/employee relationship increases employee engagement

15. Investigation Based on Social Media Information and Associated Risks

    21st Annual Compliance & Ethics Institute  | October 16, 2022 

    • Social media platform-based noncompliance incidents and investigations; whistle blowing channels

    • Risks associated with investigation based on information available on social media

    • Standard protocols for conducting investigation based on information available in social media

16. How To Get your Compliance & Ethics Week Event Running From the Ground Up - CEI22

    21st Annual Compliance & Ethics Institute  | October 16, 2022 

    • Learn how to garner leadership support in advance and secure speakers to bring your event to life

    • Develop creative ways to engage and educate your employees through fun and interactive gamification

    • If necessary, learn how to adapt activities in a virtual format from promotion to execution

17. Big Picture E&C Program Challenges: A Day in the Life of the Successful Compliance Officer

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Explore some big picture challenges and frustrations that EC leaders can face in day-to-day practice

    • Navigate real-world scenarios with systemic challenges and explore the impact to EC effectiveness

    • Discuss practical strategies and solutions for major challenges and leading successful outcomes

18. Communication: It's Not Them, It's Us! Tips and Tricks To Be Understood and Taken Seriously

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Learn how to identify what motivates employees no matter the industry

    • Communicate in ways they understand, not "compliance-speak"

    • Become a trusted partner in the business that employees seek out

19. So What? How To Turn Analytics Into Guidance

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Learn from compliance practitioners who are already making program changes based on data

    • Build analytics into what you're already doing and put benchmarks in place to guide future changes

    • Avoid common pitfalls, like data overload and meaningless numbers

20. Choose Your Own Adventure: Leading a Distributed Team of Compliance Managers

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • How to deploy and integrate risk mitigation tools across many remote locations

    • Interactive scenarios on remotely monitoring compliance activities

    • Bad results aren't the end of the adventure... use them to evolve your compliance program

21. How To Win Friends and Influence People in Legal and HR

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Understanding the Venn diagram of ethics and compliance with Legal and HR

    • How to drive clarity in roles and responsibilities without alienating your functional partners

    • Leveraging areas of overlap with Legal and HR to enhance your impact

22. Monday Morning Quarterbacking - Former SEC Lawyers Speak on Government Expectations of Investigations

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • You and the SEC: strategies on how to conduct, report, and supervise your investigations to maximize credibility with the SEC

    • Tips for avoiding innocent mistakes in the handling of whistleblower complaints that could inadvertently land the company in hot water

    • Understand the outer limits of the SEC staff's authority in making demands as to how an investigation is conducted

23. Does Compliance Have a Role in ESG?

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Define environmental, social, and governance (ESG)

    • Discuss what roles compliance may play in ESG

    • Identify keys to collaboration across business areas

24. You're on Mute! Overcoming Communication Fatigue

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • It's not just "training fatigue" anymore; it's communication fatigue

    • Stand out in a sea of online messaging and communications to your employees and leaders

    • Using plain terms and business language to fit into conversations, not campaigns

25. ESG and the Future of Compliance

    21st Annual Compliance & Ethics Institute  | October 17, 2022 

    • Define how the ESG will affect the role of the chief compliance officer and the future of compliance

    • Using ESG strategy to attract voters and support for the compliance industry

    • ESG and compliance as a means to prioritize human rights through the "S" in ESG