SCCE Conference Slides and Recordings

  1. Locking Out Those Third Party Cookies

    2021 SCCE Webinar  | October 04, 2021 

    • The current and future legal landscape for first and third party cookies

    • Regulatory investigations into unlawful tracking

    • The need for transparent cookie permissions to give genuine control to citizens

    • The options for automated controls over unwanted data collection

  2. I-9 Compliance with an Increasingly Remote Workforce

    2021 SCCE Webinar  | September 29, 2021 

    • Unique challenges for completing Forms I-9 for remote workers

    • Covid-19 I-9 flexibility and limitations

    • Implications forI-9 compliance violations and best practices for audits

  3. Effective Use of Privacy Impact Assessments

    2021 SCCE Webinar  | September 13, 2021 

    • What is a PIA and a DPIA?

    • Who should instigate assessments?

    • How and when to use assessments?

    • The relationship between assessments and privacy by design, and legal grounds for processing personal data.

  4. Compliance Policy Management

    2021 SCCE Webinar  | September 07, 2021 

    • How to position compliance policies as the integral part of your program they are meant to be

    • Policies within the context of the US Sentencing Guidelines and the DOJ's "Evaluation of Corporate Compliance Programs"

    • Engaging stakeholders from other corporate functions

    • Policy quality and the role of the "Policy on Policies"

    • Policy approval and ownership

    • The value of a corporate policy center

  5. They did what?! Conducting Effective Workplace Investigations

    2021 SCCE Webinar  | August 19, 2021 

    • Attendees will understand the policies and practices that must be in place before an investigation occurs

    • Participants will recognize the steps that need to be taken to conduct an investigation effectively

    • Attendees will learn the questions that should be asked to the person that is being investigated, the person that raised the complaint, and any witnesses

    • Participants will understand the steps that must be taken to conclude the investigation

    • Attendees will know the reasons that investigations over the same conduct may result in different levels of discipline

  6. Merely Bystanders: The Psychology of Courage and Inaction

    2021 Atlanta Regional Compliance & Ethics Conference  | August 13, 2021 

    • Understand the prevalence of people staying silent in the face of problematic behavior in their personal and professional lives

    • Describe the three factors that inhibit people from speaking up

    • Learn specific practical strategies for speaking up and taking action

  7. FCPA Enforcement Trends and Developments: 2021 (August 2021)

    2021 SCCE Webinar  | August 03, 2021 

    • Recent FCPA Enforcement Developments

    • Recent Major Cases and Key Takeaways

    • DOJ/SEC FCPA Investigations in the COVID-19 Era

    • What to Watch for Between Now and the End of the Year

  8. Update on China and Russia: Restrictions and Best Practices

    2021 SCCE Webinar  | Presenter(s): Thad McBride  | June 01, 2021 

    • Develop greater understanding of the main U.S. trade restrictions on China and Russia

    • Gain familiarity into key compliance issues under current restrictions, including related to exports, supply chains, and working with third parties

    • Learn best practices for conducting due diligence and spotting and addressing compliance issues

  9. Navigating Your Career in Compliance

    2021 Atlanta Regional Compliance & Ethics Conference  | August 13, 2021 

    • So, you're interested in a career in compliance. Where do you start? Our panelists will describe their three very different compliance journeys.

    • But, you're not a lawyer.  What can you do to overcome that objection?  Our panelists will discuss their experiences, as lawyers and non-lawyers, and their opinions on the topic.

    • Now you're in compliance.  How do you expand your skillset?  Our panelists will share their ideas and go-to resources.

  10. Chief Privacy Officer Roundtable

    2021 Atlanta Regional Compliance & Ethics Conference  | August 13, 2021 

  11. Internal Investigations: A Case Study

    2021 Atlanta Regional Compliance & Ethics Conference  | August 13, 2021 

    • Building Trust and Credibility in Investigations

    • Root Cause Analysis as a Source of Data

  12. Artificial Intelligence and Robotics: Ethical, Legal, and Social Implications

    2021 Chicago Regional Compliance & Ethics Conference  | Presenter(s): Ava Thomas Wright, Stephen Wu  | July 16, 2021 

    • Why artificial intelligence and robotics will change the world more than any technologies in the history of humankind

    • New and old laws that impose compliance obligations on AI and robotics vendors and purchasers

    • The crossover between law and ethics regarding AI and robotics

  13. COVID-19 and Compliance

    2021 Chicago Regional Compliance & Ethics Conference  | Presenter(s): Elizabeth Brown, Tracy O'Flaherty  | July 16, 2021 

    • How does working from home impact your compliance program?

    • What are the compliance considerations surrounding requirements for COVID-19 testing or vaccinations?

    • What new areas should be added to your compliance program as a result of the pandemic?

  14. What to Know Before You Crypto: Unique Compliance Risks Posed by Crypto Products and Services

    2021 Chicago Regional Compliance & Ethics Conference  | Presenter(s): Justin Steffen  | July 16, 2021 

    • Crypto presents a number of unique issues, including issues pertaining to insurance, governance, tax liability, and regulatory risk

    • Different regulatory regimes (OCC, FDIC, SEC, CFTC, FinCEN, etc.) apply to crypto products, making compliance a minefield

    • Harnessing your crypto knowledge and utilizing traditional risk mitigation (e.g., insurance, indemnities, R/W) and non-traditional risk mitigation techniques (such as custody and storage solutions), can help compliance officers “crypto with caution”

  15. Environmental, Social, and Governance

    2021 Chicago Regional Compliance & Ethics Conference  | Presenter(s): Maryann Waryjas, Ellen Hunt  | July 16, 2021 

    • From the board, to rating agencies, to your customers, who are the stakeholders and how to manage their different expectations

    • Getting a seat at the ESG table for Ethics and Compliance

    • How to leverage ESG to improve your Ethics and Compliance Program

  16. How E&C Professionals Can Shape a Culture of Honesty

    2021 Chicago Regional Compliance & Ethics Conference  | Presenter(s): Ron Carucci  | July 16, 2021 

    • The four factors that determine if people will tell the truth, behave fairly, and serve a greater good

    • Based on a 15-year longitudinal study of 3,200 leaders, explore key findings around how honesty (defined as truth, justice, and purpose; and saying the right thing, doing the right thing, as well as saying and doing the right thing for the right reason) impacts employee experience and company performance

    • Recommended actions for those in E&C roles for influencing their organization’s honesty behavior

  17. What Does Being an "Ethical Company" Mean Today?

    2021 Chicago Regional Compliance & Ethics Conference  | Presenter(s): Ted Banks  | July 16, 2021 

    • What are some of the indicia of a toxic corporate culture?

    • What is the role of education in “fixing” a corporate culture problem?

    • What can a compliance officer do to remediate corporate culture problems?

  18. Sitting Across from Someone Reporting a Potential Issue

    Encouraging, Managing, and Integrating Employee Reporting  | Presenter(s): Laurel Burke, J. Veronica Xu  | July 14, 2021 

    • How to encourage the reporter to share more information without scaring him/her off

    • Ensuring confidentiality of face-to-face reports

    • Keeping the door open for follow-up conversations

  19. Effective Communications for Encouraging Reporting Across All Mediums

    Encouraging, Managing, and Integrating Employee Reporting  | Presenter(s): Grace Wu de Plaza, Michaela Ahlberg, Susan Roberts  | July 14, 2021 

    • What are the right messages that encourage people to come forward

    • The importance of building trust to encourage calls and reduce anonymous reporting

    • When it’s time to adjust your communication, are you doing too much or too little?

  20. Handling Reports That Aren't Really Compliance Related

    Encouraging, Managing, and Integrating Employee Reporting  | Presenter(s): Gwen Hassan, David Heller, Mark Revel  | July 14, 2021 

    • Developing an effective triage method, including delegating some reports to other departments

    • Helping HR, internal audit, and others understand the importance of handling these reports

    • Ensuring that they are followed up on and the reporter is followed up with

  21. Helplines and Other Contact Methods

    Encouraging, Managing, and Integrating Employee Reporting  | Presenter(s): Karen Clapsaddle, Blair Marks  | July 14, 2021 

    • Effective use of multiple contact vehicles

    • Internal vs Third Party Helplines: Pros and Cons

    • What to report to the board

    • How to build trust to reduce anonymous reporting

  22. Integrating Reporting Data with Other Compliance-Related Data

    Encouraging, Managing, and Integrating Employee Reporting  | Presenter(s): Joshua Toas, Brooke Nelson, Joe Turner  | July 14, 2021 

    • Ensuring integration with the case management solution, training, conflict of interest, and other data collected

    • Ensuring the security of the system

    • Using the data to inform everything from the risk assessment to onboarding employees

  23. Lessons Learned from the SEC's Whistleblower Program

    Encouraging, Managing, and Integrating Employee Reporting  | Presenter(s): Jane Norberg  | July 14, 2021 

    • What the data shows and what it means

    • Why whistleblowers come to the SEC instead of (or in addition to) reporting internally

    • What compliance teams can learn from whistleblower settlements

  24. Using Technology to Improve the Effectiveness of Your Compliance Program

    2021 Technology and Compliance Conference  | Presenter(s): Adam Turteltaub, Cheryl Curbeam, Katie Ignatowski  | June 24, 2021 

    • Planning and managing a project to utilize technology for a compliance program

    • Two specific case studies in how technology can be used to make a program more effective

    • Pros and cons of internal development vs. using third-party assistance

    • Efficiencies gained from using technology

  25. Building Your Ethics and Compliance Analytics Program

    2021 Technology and Compliance Conference  | Presenter(s): Andrew McBride  | June 24, 2021 

    • Developing an analytics plan: Defining who wants what and when

    • Understanding your analytics resourcing options: In-house, outsource, or both?

    • Managing risks, obstacles, and pitfalls when implementing your analytics program