SCCE Conference Slides and Recordings

  1. Building and Leading an Effective Ethics & Compliance Program

    2020 Columbus Regional Compliance & Ethics Conference  | Presenter(s): Debra Sabatini Hennelly  | November 06, 2020 

    • How the compliance function can be a strategic partner in helping the organization manage risks (and opportunities)

    • Elements of an effective ethics & compliance program and best practices to embed it in culture and operations

    • Influencing leaders and driving behavioral change

  2. Culture of Compliance: Implementing Investigation Recommendations

    2020 Columbus Regional Compliance & Ethics Conference  | Presenter(s): Jessica Tobias, Donta Ingram  | November 06, 2020 

    • Implementing investigation recommendations to affect organization culture

    • Developing a framework for new practices that reflect organizational values

    • Testing and monitoring newly established controls

  3. Current Pressures in Whistleblower Retaliation, and the Effect on Compliance Program Effectiveness

    2020 Columbus Regional Compliance & Ethics Conference  | Presenter(s): Lisa Fine, Matt Kelly  | November 06, 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 must escalate them to leadership, the board or externally

  4. Making Ethics and Compliance Popular: Becoming a Valuable Go-to Resource

    2020 Columbus Regional Compliance & Ethics Conference  | Presenter(s): Josh Clemens  | November 06, 2020 

    • Pitfalls to avoid and tips for successfully facilitating difficult conversations between operational departments to support coordinated risk reduction, transparency, and agreement on process

    • Demonstration of how active management of data for compliance and ethics can give all levels of management improved visibility and strengthen strategic risk management

    • Case studies pulling it all together of collaborative efforts with operational departments to improve compliance and create a win-win of reduced total compliance effort

  5. Managing Ethics and Compliance Risk Related to Mergers and Acquisitions

    2020 Columbus Regional Compliance & Ethics Conference  | Presenter(s): Kasey T. Ingram, Dan Harper  | November 06, 2020 

    • How to recognize and prepare for the ethics and compliance risks and considerations that arise during the due diligence process for mergers, acquisitions, and related transactions

    • How to mitigate transaction-related ethics and compliance risks and considerations through strategic planning and tactical due diligence

    • How to integrate ethics and compliance after the deal to identify and mitigate any post-closing ethics & compliance risks and address cultural concerns

  6. The Trouble with Moral Relativism (2020 Columbus Regional Compliance & Ethics Conference)

    2020 Columbus Regional Compliance & Ethics Conference  | Presenter(s): Jason B. Meyer  | November 06, 2020 

    • In an environment of self-confirming information bubbles, finger-pointing and hyper-partisanship, is there a risk of erosion of the bedrock upon which we work - shared core values?

    • While research says some younger people are more likely to greet moral issues with an attitude of “Who am I to judge?”, others may indulge in the “cancel culture.” What does this mean for compliance?

    • How does the language of ethics and compliance training, communications, and leadership need to adjust to tribalism and decreased engagement with any ethical polestar?

  7. Implementing Privacy Compliance in a Dynamic Legal & Regulatory Environment (Complimentary Member Exclusive)

    2020 SCCE Web Conference  | Presenter(s): Robert Bond  | November 06, 2020 

    • The development of data protection laws

    • Current laws and regulation

    • Key risk areas

    • Ensuring data provenance

    • Developing and implementing policies

  8. Complying with Fundraising Legal Requirements: An Overview

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Kristalyn Loson, Daniel Sotelino  | November 05, 2020 

    • Understand charitable registration responsibilities in different scenarios including when is the charity required to register, what does registration entail, and what types of fundraising relationships need to be reported to state regulators

    • Know the legal considerations when working with for-profit entities to promote the mission of the charity

    • Learn strategies of how to keep track of regulatory responsibilities in multi-state (or even multi-national) fundraising initiatives as well as key steps if a charity is found to be out of compliance

  9. Fraud Risks are EVERYWHERE

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Kenneth Dieffenbach  | November 05, 2020 

    • The three primary fraud risks for every nonprofit regardless of funding sources

    • Emerging fraud and compliance topics in federal grant funding

    • What nonprofits can do to mitigate the risks

  10. Understanding the Basics of Compliance and Ethics Programs

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Gerry Zack  | November 05, 2020 

    • Learn the background to and benefits of implementing a comprehensive compliance and ethics program in a nonprofit organization

    • Understand what comprises each of the key elements of an effective compliance and ethics program

    • Apply elements of a program to specific compliance risks faced by nonprofit organizations

  11. General Session: Hot Topics in Privacy Law (2020 Nonprofit Sector Compliance Conference)

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Michelle Cohen  | November 05, 2020 

    • Review important federal and state laws and recent actions and developments relating to privacy and data breach laws

    • Review and update privacy policies and procedures

    • Lessons learned from a data breach case involving nonprofit organizations

    • Implement best practices in privacy

  12. General Session: Hot-Button Federal Tax Issues for Nonprofits

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Jeffrey Tenenbaum  | November 05, 2020 

    • What are the most common and recurring UBIT pitfalls for nonprofits - and what are the best strategies for minimizing UBIT while maximizing revenues?

    • What are best practices and trends in nonprofit executive compensation?

    • Nonprofit and for-profit affiliates and subsidiaries: Everything you need to know to protect the separate corporate and tax status of each member of the family

    • Private inurement and private benefit: What’s the difference between them, what are the leading pitfalls, and what are practical solutions for mitigating tax risk?

  13. Tricks and Triggers of Form 990 Compliance

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Rebekuh Eley  | November 05, 2020 

    • Identify the common errors in filling out the Form 990

    • Understand how the disclosures on the Form 990 integrate into the IRS Priority Guidance Plan and analytical approach to the IRS examination selection process

    • Provide the resources to assess the compliance with your own organization’s 990 and other tax laws

  14. Imagineering an Organization-Wide Conflict of Interest & Commitment Disclosure Process (2020 Nonprofit Sector Compliance Conference)

    2020 Nonprofit Sector Compliance Conference  | Presenter(s): Robert Gottesman, Kevin Robinson  | November 05, 2020 

    • Readiness: Understand the legal impetus, culture, and administrative will, leading to creation of our disclosure procedure, including considerations on drafting policy, crafting a questionnaire, and selecting delivery method

    • Roll-out: Prepare for the disclosure process including beta testing, messaging/marketing to employees, and developing resources. Hear lessons learned, surprising response rates, and how we dealt with the unexpected

    • Review: Learn how we devised an efficient and consistent approach to review thousands of responses. Having template management plans available and determining when they are needed. How and when to communicate with respondents and other campus partners

  15. Those Things You Need to Know about Money Laundering

    2020 SCCE Web Conference  | Presenter(s): Monica Ramirez  | November 05, 2020 

    • Learn the difference between money laundering and terrorist financing and the specific characteristics of each concept

    • See how money is laundered worldwide (financial and non-financial sectors) as well as become aware of why the money laundering risk is also a personal matter

    • Get to know key controls your company should have to minimize the risk of being used to launder money

  16. Attainable Analytics for Legal Compliance

    2020 Dallas Regional Compliance & Ethics Conference  | Presenter(s): Jay Johnson, Valentina Videva Dufresne, Trevor Barcelo  | October 23, 2020 

    • The panel will educate (and attempt to entertain!) around the use of attainable data analytics techniques within corporate compliance programs

    • The presentation will provide a lighthearted “back-to-school” review of simple statistical concepts, and will move from there to elementary predictive analytics tools like trend lines and linear regression, demonstrating the power of each in real time

    • The panel will conclude by applying these techniques to dummy data in a hypothetical use case within a corporate compliance program to showcase how even simple techniques can have a large impact

  17. Building an Effective Policy Management and Governance Program with Intention (2020 Clinical Practice Compliance Conference)

    2020 Dallas Regional Compliance & Ethics Conference  | Presenter(s): Jami Bailey  | October 23, 2020 

    • Scoping the policy opportunity, understanding the state of your policies

    • Gathering stakeholders and building the case for change

    • Evolving beyond policy as just a document -- making policy matter

  18. Driving an Effective Compliance Program During a Global Pandemic

    2020 Dallas Regional Compliance & Ethics Conference  | Presenter(s): Mary-Ann Anyikam  | October 23, 2020 

    • Hold on! You missed a site visit

    • Chicken or the Egg – What is limiting my compliance audits?

    • Consequences of Non-Compliance – But, wait! There is a pandemic!

  19. The Pandemic Pivot (It's Faster than the Texas Two-Step)

    2020 Dallas Regional Compliance & Ethics Conference  | Presenter(s): Terry H. Stringer, Betty Ungerman, Mary-Ann Anyikam, Joya Williams  | October 23, 2020 

    • Issue Reporting: Are we seeing spikes/dips in Helpline reports? Open Door?

    • Investigations: How are geodispersed/global companies addressing investigations? (particularly if companies have travel bans in place)

    • How have conversations around diversity/racial equality changed? What actions are companies taking?

  20. Using Modern Marketing Tactics to Super-Charge Your Compliance Program

    2020 Dallas Regional Compliance & Ethics Conference  | Presenter(s): Sarah Hadden, Mary Shirley  | October 23, 2020 

    • Compliance and marketing departments aren’t always allies -- but they should be. Discover how one compliance team overcame the challenge by creating its own “micro marketing department” within the compliance function

    • Identify (and develop) the skills you’ll need to create your own marketing team and learn how to “think like a marketer” by applying classic marketing campaign tactics to your compliance program

    • Unpack the modern marketer’s toolbox to see how automation and analytics can transform your program with easy solutions to streamline communication, measure results and increase engagement.

  21. The New California Privacy Rights Act (CPRA): Major Impacts for Businesses

    2020 Dallas Regional Compliance & Ethics Conference  | Presenter(s): Daniel J. Felz  | October 23, 2020 

    • What we have learned since California’s Consumer Privacy Act (CCPA) went live on Jan. 1, 2020

    • The key ways CPRA will update the CCPA and impact businesses

    • Ways businesses have complied with CCPA and how businesses may approach CPRA

  22. Managing Ethics in a Time of Crisis: How to Pivot Your Ethics Program to not Only Address the Current Crisis but Also Support the Culture and Influence Change Within the Organization

    2020 Washington, DC Regional Compliance & Ethics Conference  | Presenter(s): Courtney Wallize, Sandra Evers-Manly  | October 09, 2020 

    • Strategies and ideas on how ethics organizations can adjust their programs to address new realities and risks during times of change, like #metoo, COVID-19 and Social Justice

    • Helping employees and leaders deal with change and be resilient in times of crisis

    • Moving from surviving to thriving – taking the opportunity to influence change within the organization

  23. Managing Third-Party Compliance Risks after COVID-19

    2020 Washington, DC Regional Compliance & Ethics Conference  | Presenter(s): Daniel M. Hartnett  | October 09, 2020 

    • COVID-19 has accelerated the emerging trend of companies rethinking and possibly reengineering global supply chain networks

    • This will increase pressure upon compliance teams to minimize their firm’s exposure to third-party regulatory and reputational risk, often in a “do more with less” environment

    • Ensuring due diligence best practices are in place can help compliance teams support their firm’s global supply chain recovery efforts

  24. The Challenges of Maintaining a Consistent Ethics Program Across Multiple Cultures and Remote Locations

    2020 Washington, DC Regional Compliance & Ethics Conference  | Presenter(s): Steven Pegg, Jennifer Whitmore  | October 09, 2020 

    • Cultural Alignment—Experiences and examples of how to deploy an ethics program that appreciates the culture not only at different geographic locations but also from different heritage businesses, even domestically

    • Managing Remote Locations—Situations that led to the development of a remote and small site international playbook and experiences of using it to achieve a consistent approach to managing the program and gathering feedback consistently

    • Using Ethics Representatives—Use of part-time ethics representatives can greatly extend the reach and range of the ethics program and result in a local deployment of the common ethics program in tune with the local culture

  25. Behavioral Ethics and Compliance

    2020 Washington, DC Regional Compliance & Ethics Conference  | Presenter(s): Jeff Kaplan, Jim Knapp  | October 09, 2020 

    • Practical lessons for using behavioral ethics in developing effective compliance programs

    • Behavioral ethics approaches to risk and program assessment

    • Using behavioral ethics in compliance, training, communications, and investigations