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You are here : About  >  Agenda/Sessions  >  Sunday

SUNDAY | Pre-Conference



Pre-Conference Morning Breakout Sessions

9:00 am – 12:00 pm (includes 15 minute break)


PW: Professional Skills Development Pre-Conference Workshop (Click Here for more details)

 Risk back to top

P1: Ethics & Compliance Risk Management 101: Program Essentials and Effective Practice

  • Gain a deeper understanding of the basic roles, resources and fundamentals necessary to facilitate and manage an effective ethics and compliance risk management program.
  • Explore the challenges, planning considerations and strategic solutions for implementing and leading effective ethics and compliance risk assessment processes.
  • Consider outcomes derived from basic risk assessment findings and explore opportunities to use this valuable information to prioritize and build strategic plans for effective management and mitigation.

Caroline McMichen, Chief Ethics & Compliance Officer, Molson Coors Brewing Company

 Ethics back to top

P2: Marked as Read: The Story of the Ineffective Code of Conduct

  • Your organization’s code of conduct is the foundational document that expresses your commitment to values, ethics and compliance, so how can you make it as effective as possible?
  • Learn how to make reading the code of conduct more than a check box for your employees.
  • Get unique insight into how to ensure your code reinforces your company values, instructs behavior and is intuitive and compelling enough to actually be meaningful to those who read it.

Ed Petry, Vice President, Advisory Services, NAVEX Global 

Elizabeth Lewis, Content Director, NAVEX Global

  Case Studies back to top

P3: The Good Reasons Why People Do the Wrong Things

  • It isn't always greed, or the "Rogues" that lead to misconduct. Sometimes, people are impelled to break the rules by their own values for what they think are ethical reasons.
  • Hear about the kind of motivations for misconduct that have been blindspots for typical compliance messaging. We'll share examples based on research and experience.
  • Learn successful strategies to help employees follow their hearts and still follow the rules. You may just be saving the careers of your most dedicated compliance allies!

Jason B. Meyer, President, LeadGood, LLC

Amy E. McDougal, President, CLEAResources, LLC


  Multinational/ International back to top

P4: Foreign Agents, Partners & Intermediaries: You Can’t Live with Them, but You Can’t Live Without Them

  • This Expert Panel consisting of Chief Compliance Officers at global companies and a former DOJ prosecutor will address best practices for managing global third-party risk
  • Through the use of hypotheticals, the panel will discuss recurring issues faced by compliance officers in managing third party risk, such as, where the third party is “the only show in town,” mitigating measures, and how much diligence is enough
  • The Panel will also discuss lessons learned from recent enforcement actions involving third parties, what the new international anti-corruption standard (ISO 370001) means for third parties, and automated processes for managing third-party risk

James M. Lord, Shareholder, Inman Flynn 

Harvey W. Woodford, VP, Chief Ethics & Compliance Officer, Avnet, Inc. 

Andy Hinton, VP, Global Ethics & Compliance, Google

Xavier Oustalniol, Partner, StoneTurn Group

  Compliance Lawyer back to top

P5: Global Investigations in an International World: managing investigations in the face of a proliferation of new anti-bribery laws and cooperation among governments

  • The effects of political developments, elections, and new laws on corporate considerations
  • Voluntary disclosure considerations, including doublejeopardy and persistent tensions between the U.S. government's expectations of cooperation and foreign legal restrictions
  • Whistleblower considerations, including varying legal standards across jurisdictions and the increasingly trans-national character of the SEC whistleblower program.

Ann Sultan, Attorney, Miller and Chevalier 

Todd Braunstein, Head of Legal Investigations, Willis Towers Watsonl

  IT Compliance back to top

P6: Navigating IT Compliance: How can Business and Legal Teams Collaborate to Achieve Joint Objectives?

  • Discuss the appropriate and emerging role(s) of the business and the legal team in IT compliance.
  • Learn about the compliance implications of today's technology including like Blockchain, social media, the Internet of things, 3d printing, online profiles by Google, and pervasive distribution by Amazon.
  • Talk about how to communicate the implications of new technology to all appropriate groups in the organization including through the use of a business value filter to prioritize IT compliance efforts.

Theodore L. Banks, Partner-President, Scharf Banks Marmor LLC - Compliance & Competition Consultants, LLC

Gene Stavrou, Associate Director Business Integrity, Mondelez International

Heidi Rudolph, Managing Director, Morae Global


  General Compliance and Hot Topics back to top

P7: Communicate Ethics with Movie Clips, Viral Videos and News Feeds

  • This practical class will help participants tap into free outlets – movie clips, viral videos, memes and current events – to reinforce a company’s compliance goals and values.
  • Attendees will gain the ability to utilize the conversations already swirling around employees for creating memorable (and fun!) illustrations that weave a culture of compliance into their lives.
  • You will walk away with new compliance memes created in class and the skill to make more tips from movie clips, YouTube, etc. when you get back in the office.

Bryan Belknap, Creative Director, Resonate Pictures

  General Compliance and Hot Topics back to top

P8: Return on Investment (ROI): Documenting and Supporting the Value-Added for a Compliance Program

  • Explore methods and tools to document the valueadded for a compliance program.
  • Apply proven ROI methods from industry to various compliance platforms.
  • Develop a ROI program for your environment.

David S. Lane, Chief Compliance Officer, Providence St. Joseph Health 

Sheryl Vacca, Chief Risk Officer, Providence St. Joseph Health

  Investigations Workshop back to top

P9: Investigations Workshop

Part I: Beginning the Investigation and Interviewing the Reporter

(9:00-10:00 am)

  • Focus on investigation fundamentals and getting as much information as possible from the reporter.

Al Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

Latour (LT) Lafferty, Partner, Holland & Knight LLP

Part II: Planning the Investigation

(10:00-11:00 am)

  • Focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation.

Meric C. Bloch, Corporate Director, Investigations, Shriners Hospitals for Children

Part III: Revealing and Evaluating Documents

(11:15 am–12:00 pm)

  • Understanding the critical role of documents. Be able to identify and explain the purpose of documents.
Latour (LT) Lafferty, Partner, Holland & Knight LLP


12:00 am – 1:30 pm (on your own)

Pre-Conference Afternoon Breakout Sessions

1:30 – 4:30 pm (includes 15 minute break)


  Risk back to top

P10 Social Media: Risks and Redemption

  • Learn how and where to look for social media risks—and what you’re looking for.
  • Discover best practices for mitigating social media risk and what makes using social media “worth it.”
  • Mini-Workshop: Each attendee will develop a baseline social media policy you can take home, implement, and build upon.

Kortney Q. Nordrum, Investigations & Risk Consultant, Deluxe Corporation

 Ethics back to top

P11: Ethical Train Wrecks and other Avoidable Disasters: Practical Steps to Heading off Misconduct Before it Happens

  • This engaging, highly interactive workshop provides a fresh and practical perspective on the fundamental question, “Why do ‘good’ employees go ‘bad’?” Movie clips from “Changing Lanes” starring Ben Affleck are the focal point of a lively discuss.
  • Participants will explore the intersection of ethical and compliance-related decision-making and the manifold sources of stress encountered in various industries and enterprises. We’ll offer several practical tools that can be effective in any setting.
  • You’ll also better understand the relationship between stress & decision-making regarding ethical and compliance-related issues, and learn to identify (and assist) personnel at high risk for misconduct before their situations erupt into full-blown crisis.

Chris Osborn, ReelTime CLE

 Case Studies back to top

P12: Blow it All Up? How to Really Tackle a Ruinous Corporate Culture. Lessons from Wells Fargo and Beyond

  • What can an organization do if there is a clear disconnect between the tone in the C-Suite and the tone at the bottom of the organization? What are some practical steps organizations have taken to build the bridge to the middle and beyond?
  • Culture on a budget. When organizations have faced culture issues it’s sometimes hard to know where to start or where to put resources. What are practical (and inexpensive) solutions to address culture issues across an organization?
  • What does the data mean? Organizations gather more data as time goes on, but it can sometimes be hard to cut through the noise to find actionable solutions. What are some ways to use data and not feel confused, or used, by it?

Eric O. Morehead, Principal Consultant, Morehead Compliance Consulting

Steve C. Morang, Senior Manager - Leader Fraud, Frank, Rimerman + Co. LLP

 Multinational/ International back to top

P13: Responding to a globalized law enforcement in transnational bribery: A U.S., German and Indian perspective

  • With the help of a case study panning the United States, Germany and India - the speakers will set the stage for risks and challenges that companies are likely to face when responding to a bribery allegation.
  • Focus on the globalized law enforcement environment and the need for a harmonious investigation / defense strategy.
  • Each speaker will shed light on the distinctive elements of each country’s legal system and the best practices that should be deployed, including - ensuring privilege, data privacy, cooperation with law enforcement, disclosure decision making, etc.

David W. Simon, Partner, Foley & Lardner

Sherbir Panag, Partner, Law Offices of Panag & Babu

David Rieks, LL.M. (Columbia/UvA), ROXIN LLP


Compliance Lawyer back to top

P14: New Mandate, New Mindset: Making a Successful Transition Into a Compliance & Ethics Career (What Lawyers, In-House Counsel & Others in Transition Need To Know)

  • Understanding the Compliance Mandate: Leaving your old role behind, embracing your new one, identifying what new skills/expertise are needed, and how to get them.
  • Defining the Compliance Role (and supporting roles): Why Compliance is not a Legal function or a subset of any other function, but a new, distinct, and value-added professional expertise.
  • Creating your networks, jump-starting your knowledge base; other strategies for success, including real stories from the front lines & interactive scenarios.

Donna C. Boehme, Principal, Compliance Strategists LLC 

Patrick J. Gnazzo, Principal, Better Business Practices

  IT Compliance back to top

P15: IT for non-IT Compliance Professionals

  • Develop and broaden a practical knowledge base of IT concepts and principles and how they apply in supporting the organization’s compliance program.
  • Learn some of the key challenges that IT professionals face in maintaining an effective IT network within the organization and how Compliance and IT can collaborate effectively to deal with these challenges.
  • Identify auditing and monitoring opportunities where IT and Compliance can partner in obtaining useful data to help assess key processes that maintain the security of the IT system.

Frank Ruelas, Facility Compliance Professional, St. Joseph’s Hospital and Medical Center/Dignity Health

 General Compliance and Hot Topics back to top

P16: Compliance 101

  • An in-depth look into the seven elements of an effective compliance program.
  • Understanding the factors to consider when developing and implementing a compliance program.
  • Project and program management techniques, systems and tools that can help leverage your compliance resources.

Debbie Troklus, Managing Director, Aegis Compliance and Ethics Center

Sheryl Vacca, Chief Risk Officer, Providence St. Joseph Health


 General Compliance and Hot Topics back to top

P17: Training Strategy: Less Can Actually Be More

  • Discuss today’s dynamic compliance training environment with expert educators and fellow practitioners -- new complexities, options, expectations and challenges – and learn how training has become less about procurement and more like being a media programming executive. 
  • Explore the best strategies for educating in this new environment, to effectively engage your audiences and elevate behavior.
  • See and share new tactics for educating in this environment, including non-traditional but simple and inexpensive approaches to animation, whiteboards, video, social media, and values-based messaging.

Christian E. Whicker, Director, Corporate Compliance, Duke Energy

Jason B. Meyer, President, LeadGood, LLC

Ronnie Feldman, President, L&E Creative Communications


 Investigations Workshop back to top

P18: Investigations Workshop (continued from P9)

Part IV: Taking Effective Interviews

(1:30 - 2:30 PM)

  • Know the difference between an interview and an interrogation.
  • Documenting your interview.

Meric C. Bloch, Corporate Director, Investigations, Shriners Hospitals for Children

Part V: Preparing the Investigation Report

(2:45 - 3:45 PM)

  • Stick to the facts and benefits of a good report.

Al Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

Part VI: Q&A Panel

(3:45 - 4:30 PM)

Meric C. Bloch, Corporate Director, Investigations, Shriners Hospitals for Children

Al Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

Latour (LT) Lafferty, Partner, Holland & Knight LLP