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You are here : About  >  Agenda/Sessions  >  Tuesday


500s | 600s | 700s | 800s




(8:30 – 9:30 am)



(9:30 – 10:30 am)


Networking Break

10:30 - 11:00 AM

Concurrent Breakout Sessions

11:00 AM – 12:00 PM

 Risk back to top

501: From FCPA Prosecutors to Company Protectors: Top 10 Lessons Learned from the Front Lines of FCPA Enforcement

  • Overview of 2017 Developments defining the risks, challenges, and enforcement trends in global hot spots around the world from Asia to Africa and the Americas.
  • Analysis of new DOJ and SEC policies and past enforcement actions to improve your anti-corruption policies and procedures, internal audit program and investigative responses.
  • Discussion of how to manage increasing anti-corruption risks with the same (or fewer) compliance resources.

Nathaniel Edmonds, Partner, Paul Hastings LLP 

Maria Gonzalez Calvet, Executive Counsel, GE Energy Mgmt. & GE Latin America

 Ethics back to top

502: How to Reduce Rationalization Risk in the Fraud Triangle through Effective Ethical Decision Making Training

  • Have you tried to train employees on ethical decision-making but find yourself repeating generic phrases like “walk the walk,” “tone at the top,” and “inner moral compass?” If you are ready for a fresh approach, this session is for you!
  • This session will describe a practical set of questions your employees can ask themselves to help lead them to the ethical choice when they are unsure what to do or if the policies land them in a gray area.
  • The decision-making model uses the great philosophers of the past to give employees a new, practical, and concrete way to determine what the right choice is by discussing what ethics can and cannot be based upon.
Fermeen Fazal, Senior Counsel/Director of Compliance, Universal Pegasus International

 Case Studies back to top

503: Creating a Mobile First Code of Conduct

  • Publically-held companies, issuers under the SarbanesOxley Act, are required to establish and communicate codes of conduct. Other privately-held companies, non-issuers, are also creating codes of conduct as part of their control environment.
  • Whether written or communicated informally, a code of conduct defines behavior expectations for both management and other employees.
  • Uber and Designory created a mobile first code of conduct that allows our employees to access the code on their smartphones. Smartphone access allows them to quickly find answers to common questions and access policies and trainings while in the field.

Krishna Juvvadi, Director, Uber Technologies, Inc. 

Michael Lane, Designory

 Multinational/ International back to top

504: Culture & Compliance: Strategies for Africa

  • Common challenges to implementing international compliance standards/frameworks in African subsidiaries and operations.
  • Solutions - It's all in the psychology, the communication and the approach.
  • Rules vs Principles : Stories to learn from.

Letitia Adu-Ampoma, Director, Peverett Maxwell

 Compliance Lawyer back to top

505: How to Determine if an Incident is a Data Breach to Meet Compliance Obligations

  • Understand the complexities of the data breach legal and regulatory landscape and how you fit into it.
  • Learn how to assess and diagnose if your privacy or security incident is a reportable breach that requires notification.
  • Learn best practices to protect your customers' sensitive data, your reputation, how to minimize risks, and fulfill compliance obligations with state and federal laws, and your business partners.

Alex Wall, Sr Counsel & Global Privacy Officer, RADAR

 IT Compliance back to top

506: Everyone should have an IT compliance officer or suffer the consequences: Why the IT compliance function matters and how it can boost company-wide compliance efforts

  • Reasons why IT compliance can make or break compliance program within the company.
  • How to make IT compliance enhance overall compliance.
  • Discuss problems and remedies in implementing a robust IT compliance program.

Ralph Villanueva, Senior IT Compliance Analyst, Las Vegas Sands Corporation

 General Compliance and Hot Topics back to top

507: Building a Compliance Champion Network

  • This session will discuss the value of a Compliance Champion Network for building a culture of responsibility.
  • A Compliance Champion Network can be key in helping to drive Tone at the Middle.
  • We will review the history of a highly successful Compliance Champion Network that has been in existence for 11 years.

Karl Schneider, Assoc Mgr Sales Compliance, AGDC

 General Compliance and Hot Topics back to top

508: 10 Easy Hacks to Give Your Ethics & Compliance Program a Boost

  • Improving your E&C program can be easier and less costly than you think.
  • It takes a little perspective and time (start with an hour a week) away from the weeds to do things that can make a big difference.
  • Learn 10 easy hacks from this presentation that will give your program a big boost.

Caveni Wong, Founder and Principal, Principle Compliance

 Advanced Discussion Groups back to top


Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.


 Advanced Discussion Groups back to top


Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

Networking Lunch

12:00 - 1:30 PM

Concurrent Breakout Sessions

1:30 – 2:30 PM

 Risk back to top

601: Identifying and Controlling Compliance Risk When Providing Services to the U.S. Government

  • When contractor employees are working side-byside with government employees, they face unique compliance and ethics issues that can trip up even the most well-intentioned employees. Normally innocuous working relationships can trigger violations.
  • Acceptance of gifts, protection of proprietary and nonpublic data, travel arrangements, office solicitations of employees and the revolving door of present risks that must be addressed before the issues arise.
  • This presentation provides guidance from experienced contractor and government ethics officials on how to identify and address the unique compliance risks when contractor and government employees work as a team.

Steve Epstein, Chief Counsel, Ethics & Compliance, Boeing Company

 Ethics back to top

602: Transformational Leadership: Raising the Ethical Bar

  • Understanding the role of leadership in an effective compliance program;
  • Making leaders advocate on behalf of Compliance;
  • How to create an ethical organizational climate through the leadership

Patricia Colombo, Legal, Compliance and RA Director, FUJIFILM do Brasil

 Case Studies back to top

603: Bids Gone Bad: Lessons Learned from Planning a Procurement Fraud Training

  • This case study details the implementation of a training to help participants identify and prevent wrong-doing in the contracting process at the City of Philadelphia.
  • Issues such as contractor over-billing, bribes and kickbacks, and conflicts of interest are explored in this interactive training program.
  • We will also share lessons learned from planning this training and provide some tips on how to tailor our training to meet your organization's needs.

Krystle M. Baker, Investigator, City of Philadelphia Office of Inspector General 

Stephanie F. Tipton, Deputy Chief Integrity Officer, City of Philadelphia

 Multinational/ International back to top

604: Data Privacy and Ethics

  • Was privacy a guiding principle when the internet was created?
  • What roles do ethics and transparency play in the digita economy?
  • Why ethics, privacy by design and accountability are fundamental to data privacy compliance.

Robert J. Bond, Head of Data Protection and Cyber Security Law, Charles Russell Speechlys LLP 

Ann Cavoukian, Ph.D., Ryerson University 

Vint Cerf, Google

 Compliance Lawyer back to top

605: Antitrust Panel

Joseph E. Murphy, CCEP, CCEP-I, Senior Advisor, Compliance Strategists

 IT Compliance back to top

606: Monitoring Compliance in the Age of Artificial Intelligence: Lessons from the Caremark Case

John DeLong, CCEP, Berkman Klein Center for Internet & Society, Harvard University

 General Compliance and Hot Topics back to top

607: How to prove your program works

  • We’re all familiar with best practices and benchmarking, but those can only tell you what you’re doing relative to your peers; not whether your program actually works.
  • And you need to be able to show your business leaders that your program works if you want continued funding, headcount, and influence.
  • In this session, we’ll walk through how to measure (in dollars) if your program is changing employee behavior without having to use surveys, quizzes, or external consultants.

Ricardo P. Pellafone, Founder, Broadcat 

John Partridge, Partner, Gibson, Dunn & Crutcher LLP

 General Compliance and Hot Topics back to top

608: The Relationship Roadmap: How CECOs Can Turn Turf Battles Into High-Performing Working Relationships

  • Creating a “Relationship Roadmap” that assigns roles, facilitates better working relationships and closes dangerous gaps.
  • A review of sample key interfaces between Compliance and one of its most valued allies in the organization: Legal.
  • Why the Relationship Roadmap process can eliminate turf battles and create clarity in absolutely any area of compliance responsibility, including with the business line.

Donna C. Boehme, Principal, Compliance Strategists LLC 

Judith L. Nocito, Senior Advisor, Compliance Strategists 

Stephen M. Naughton, VP-Chief Ethics & Compliance Officer, Kimberly-Clark Corporation

 Advanced Discussion Groups back to top


Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.


 Advanced Discussion Groups back to top


Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.


Networking Break

2:30 - 3:00 PM


Concurrent Breakout Sessions

3:00 – 4:00 PM


 Risk back to top

701: Don't Buy Trouble in M&A Transactions: Effectively Managing Ethics and Compliance Risk During the Deal

  • Provide an overview of the ethics & compliance challenges, considerations & risks that arise during the M&A transaction process.
  • Share practical tips & solutions for effectively conducting pre-acquisition compliance due diligence & mitigating associated risk.
  • Discuss strategies for effectively integrating ethics & compliance programs and related infrastructure once the deal closes.

Kasey T. Ingram, General Counsel & Chief Compliance Officer, ISK Americas Incorporated

 Ethics back to top

702: Ethics and Compliance Training from A to Z: How to Create Your Very Best Programs in 2017 Using both Proven Methods and the Latest Research

  • Review in detail all of the basic and advanced presentation elements required for both live and online ethics and compliance training.
  • Learn how to create and present both short briefings and longer training sessions and understand how audience engagement can be managed in all situations
  • New for 2017: Review the latest in training techniques including how to structure training using emotional content and audience participation for outstanding and memorable programs that audiences will love and remember.

Greg Walters, Trial Attorney, U.S. Department of Housing & Urban Development

 Case Studies back to top

703: Building a Community, Building a Career

  • Learn how the National Security Agency built a skill community and fosters the development of its compliance professionals.
  • Explore how the Agency identified core competencies, knowledge and skills, and a developmental path for compliance officers.
  • Identify creative ways to offer training and other developmental opportunities for compliance professionals (even on a shoestring budget)!

Julia Pallozzi-Ruhm, Deputy Director of Compliance, National Security Agency 

Kira A. Fuller, Compliance Skill Community Director, National Security Agency

 Multinational/ International back to top

704: Latin America's Davids and Goliaths: Small and large economy lessons learned on fighting corruption and operating in the region

  • Recent anti-corruption developments in Latin American economies of all sizes, including: Lava Jato in Brazil; new legislation in Chile, Colombia, Mexico and Peru; Guatemala's investigation of a former president; and El Salvador's new AML legislation.
  • What small and large Latin American countries might learn from each other in Latin America's fight against corruption.
  • Best practices in the area of anti-corruption compliance for multi-national companies operating in Latin America.

Saskia Zandieh, Attorney, Miller and Chevalier 

Alexina Guiomar Jackson, Ethics and Compliance Counsel, AES Corporation

 Compliance Lawyer back to top

705: Structuring a successful C&E Department within the Legal Department

  • Relationship between C&E and regulatory compliance.
  • Jurisdiction of the Department.
  • Relationship with General Counsel, CEO and Board.


 IT Compliance back to top

706: TBD


 General Compliance and Hot Topics back to top

707: Organizational Sentencing Guidelines: Past, Present, and Future

  • The U.S. Sentencing Commission and the Evolution of the Organizational Sentencing Guidelines.
  • Guidelines Influence and Current Sentencing Data on Organizations.
  • What might the future hold for the Organizational Sentencing Guidelines?

Kathleen Grilli, General Counsel, US Sentencing Commission 

Eric O. Morehead, Principal Consultant, Morehead Compliance Consulting

 General Compliance and Hot Topics back to top

708: Conducting an Internal Compliance Program Survey

  • Importance of conducting a comprehensive and effective compliance survey.
  • Implementing the survey within your organization and analyzing the results.
  • Using the findings from the survey to drive process and outcome improvements.

Ahmed Salim, Regional Compliance Officer, Presence Health

 Advanced Discussion Groups back to top

Networking Break

4:00 - 4:15 PM

Concurrent Breakout Sessions

4:15 – 5:15 PM

 Risk back to top

801: Cyber Security: One of the Most Critical Risk Mitigation Efforts for your Organization that Can Bridge the Gap between Compliance and Ethics

  • CCEOs are guardians of an organization's inherent responsibility to protect employee, customer and shareholder interests. Reduce your organization's reputational risk as well as its brand by embracing proactive cyber security measures.
  • Cyber security goes hand in hand with compliance and ethics. Both require smooth integration with business objectives, training and the fortitude to ensure the organization remains true to its respected reputation and brand.
  • Increase the compliance and ethics arrows in your quiver. Champion cyber security measures and add teeth to your compliance efforts while denying the potential electronic “means and methods” to committing unethical behavior.

Charles Shugg, Partner/Chief Operating Officer, Sylint Group, Inc.

 Ethics back to top

802: Inside the Mind of the Whistleblower: Understanding What Motivates Employees to Report Ethical Concerns

  • Identify what key factors motivate - and deter - potential ethics reporting program Callers, and how to use that information to enhance your firm's culture of ethics.
  • Learn methods for identifying the presence of one or more of those factors within your organization, and how to mitigate the impact of those deterrents.
  • Explore how to effectively communicate your findings to the Board of Directors and senior management, and to use that information to generate support for necessary changes within your firm.
Karen M. Aavik, SVP/Director of Corporate and Wholesale Practices, KeyBank, N.A

 Case Studies back to top

803: Small budget, small progress?

  • The steps one non-profit took in carrying out a compliance program on a tight budget.
  • The importance of prioritizing new activities across the seven elements of an effective program while building on previous work.
  • The importance of internal and external benchmarking; relationship building; and other keys in making progress.

Kitty Holt, Ethics & Compliance Officer, Plan International USA

 Multinational/ International back to top

804: Eradicating Human Trafficking - Compliance Challenges

  • From Anti-Human Trafficking regulations in the U.S. to the U.K. Modern Slavery Act: Learn about global efforts to combat trafficking in all of its presentations and how you can position your compliance program for maximum compliance.
  • In a global economy that includes unscrupulous manpower companies, debt bondage, document servitude and wage and housing violations, hear how compliance officers can address internal and supply chain risks.
  • Learn best practices for effective identification of trafficking practices, effective compliance strategies and risk mitigation, and learn about current international and domestic enforcement efforts through case studies.

Amy E. McDougal, President, CLEAResources, LLC 

Ryan C. Berry, Shareholder/Attorney, Greenberg Traurig LLP

 Compliance Lawyer back to top

805: Preserving the AttorneyClient Privilege and Attorney Work Product Protection in Internal and Government Investigations

  • Internal investigations & how to protect privileged communications and attorney work product during an internal investigation: legal, ethical, and practical considerations.
  • Government investigations & what to do when the government comes knocking: additional factors to consider regarding the privilege and work product protection in the midst of a government investigation.
  • Cooperating with the government while protecting the privilege and attorney work product and the use and treatment of privileged information and work product in a government investigation.

Eric J. Gorman, Partner, Skadden Arps

 IT Compliance back to top

806: TBD


 General Compliance and Hot Topics back to top

807: Government Focus on Whistleblower Retaliation

  • Recently, the U.S. Securities and Exchange Commission has sought to prioritize investigations and enforcement actions relating to whistleblower retaliation
  • This panel will review these recent enforcement actions and discuss what kinds of conduct may be viewed as sufficiently calling to internal corporate reporting as to warrant a government investigation and response.
  • The panel will address how compliance professionals can balance the need to address, investigate and remediate internal reports of misconduct, while being careful not to run afoul of the government’s increasing involvement in this area.

Winston Chan, Partner, Gibson, Dunn & Crutcher LLP 

Tim McCormack, Partner, Constantine Cannon LLP 

Molly Knobler, Associate, Constantine Cannon LLP

 General Compliance and Hot Topics back to top

808: The Next Generation of Compliance Program Effectiveness: Moving From Bolt On to Built In

  • Discover how compliance activities can become natural parts of business operations while reducing business drag and increasing program impact.
  • Learn how to coordinate compliance activities with related assurance activities to avoid overlap and unnecessary burden on employees.
  • Assess how employees rate the ease of working with Compliance, as they lose tolerance for projects perceived as outside of their core workload.

Brian K. Lee, Practice Leader, CEB