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You are here : About  >  Agenda/Sessions  >  Monday


100s | 200s300s | 400s




(8:30 – 9:30 am)

The Life of an Ethics and Compliance Professional

  • The evolution of our profession
  • Pieces of hard fought wisdom; Today’s challenges
  • Getting through to the Board for support

Marjorie W. Doyle, Marjorie Doyle & Associates, LLC

(9:30 – 10:30 am)

Why They Do It: Inside the Mind of the White-Collar Criminal 

Eugene Soltes, Jakurski Family Associate Professor of Business Administration at Harvard Business School and Author of Why They Do it: Inside the Mind of the White-Collar Criminal

Concurrent Breakout Sessions

11:00 am – 12:00 pm


Risk back to top

101: Global Antitrust Compliance - Assessing Antitrust Risks and Creating an Effective Antitrust Compliance Program

  • Overview of global legislation, enforcement activity and trends in the evolving antitrust compliance environment.
  • Learn how to conduct a comprehensive, global risk assessment to uncover antitrust risk in your organization.
  • Learn how to effectively promote antitrust compliance in your organization and create an effective antitrust compliance program to mitigate global risk.

Tim Bridgeford, Executive Director - Antitrust Compliance, JP Morgan

Douglas Tween, Partner, Linklaters LLP


 Ethics back to top

102: Five Months to a Fantastic Code of Conduct

  • Creating a Code of Conduct doesn’t have to take two years to write and implement. Learn how Freddie Mac completely reimagined its Code, encouraged stakeholder engagement, and re-launched its Code program.
  • Practical guidance to get the job done-- selling the idea to senior management; revamping the values; making it user-friendly.
  • When you hear other companies’ stories of trials and tribulations, you can be the one who smiles and says “We did in months what other companies took years to accomplish!”

Michael R. Levin, Senior Director of Compliance: Ethics & Business Practices, Freddie Mac

 Case Studies back to top

103: Snitches Get Stitches and Wind Up in Ditches: A Tale of Two Whistleblowers

  • Learn the biggest fears whistleblowers have, and explore the case study of Mark Whitacre from ADM.
  • Evaluate the story of Michael Woodford and Olympus’ $1.7 Billion fraud.
  • Review how whistleblowers can misinterpret situations, how companies can deal with that, and analyze how to reduce the “trust vacuum” between employers and  employees.

Paul E. Fiorelli, Professor of Legal Studies and Co-Director, Cintas Institute for Business Ethics, Xavier University

  Multinational/ International back to top

104: Trade Controls: Key Compliance Challenges

  • Experienced in-house and outside counsel will address important and difficult challenges for trade compliance programs, including both substantive and implementation issues.
  • Part I will address substantive challenges, including: identifying persons related to restricted parties, managing technology controls, and relationships with third party suppliers and customers.
  • Part II will address practical considerations for implementing a truly effective compliance program, such as: developing clear policies and procedures, cross-cultural issues, program scalability, and training vs. communication.

Peter L. Flanagan, Partner, Covington & Burling LLP 

John Pisa-Relli, Managing Director, Trade Compliance, Accenturey

 Compliance Lawyer back to top

(CANCELED)105: E-Verify and Form I-9 Compliance Under a Reasonable Yet Enforcing Government

  • E-Verify Listens and I-9 Central.
  • 9+ Years Experience and Stories of Common Fradulent Documentation and Scenarios at a Staffing  Agency.
  • Increasing ICE Presence & I-9 Audits: Don’t Wait Unprepared! Self Checks, Internal Audits, and Daily Best Practices.


 IT Compliance back to top

106: How IT Departments Can Be Powerful Allies in Promoting Compliance

  • Explore the availability of data that the Information Technology (IT) department collects daily to develop quantitative assessments on the appropriate use of IT assets within the organization and their positive or negative impact on overall compliance.
  • Develop processes that allow IT to perform its duties and obligations in a manner that promotes the accountability of those within the organization that are tasked with promoting IT security within their respective departments.
  • Identify ways to help IT develop its own effective processes to promote compliance with organizational policies and procedures which are in alignment with standard practices that exist within most well run IT departments.

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

 General Compliance and Hot Topics back to top

107: ABC, AML and Export Control - the broadening and convergence of compliance requirements

  • The Panama Papers leaks and others have demonstrated the need for more information on shell corporations and more robust and earlier due diligence when onboarding new third parties.
  • Regulators are now looking to non-financial institutions to determine the extent of the anti-money laundering procedures and protocols as part of their enforcement actions involving fraud and corruption.
  • More robust AML and export controls compliance, frequently supported by technology, provides greater and more robust information to the FCPA compliance specialist to enable them to make a more well-rounded decision regarding use of third parties.

Thomas R. Fox, Compliance Evangelist 

Vanessa Rossi, FCPA Compliance Counsel, Baker Hughes, a GE Company

 General Compliance and Hot Topics back to top

108: Leveraging innovation and technology to enhance your compliance program and manage third party risk

  • How companies can allocate compliance resources to more effectively identify, manage and mitigate bribery and other compliance related risks.
  • Improving your anti-bribery risk assessment procedures: how to measure business bribery risk and develop an internal risk matrix.
  • Reducing third party screening costs, overcoming due diligence obstacles and managing relationships.

Pia Vining, Senior Director, Due Diligence, TRACE International 

Gregory Bates, Counsel, Miller and Chevalier 

 General Compliance and Hot Topics back to top

109: If the Wall Street Journal Calls, Will You Be Ready?

  • In this interactive media training session, we will discuss common media interview pitfalls and ways to avoid them as well as some key tips on how to handle typical media inquiries - from a PR professional and editor with decades of experience.
  • As the media continues to take a closer look at regulations, compliance and the compliance function within any organization (regardless of the size or industry), it’s increasingly important that the Compliance team be ready for their next call from media.
  • As compliance professionals face a number of challenges when it comes to ensuring the right message around compliance is portrayed to the broader public, the media can be a very valuable resource.
Grace E. Keith, Managing Director, Caliber Corporate Advisers

Ben DiPietro, Editor-Reporter, Wall Street Journal

Kitty Holt, Ethics & Compliance Officer, Plan International USA

 Advanced Discussion Groups back to top

AD1: Big Picture E&C Program Challenges: A Day in the Life of the Successful Compliance Officer

  • Survey and explore some major challenges and frustrations that E&C leaders can face in day-to-day practice.
  • Navigate through a real-world scenario that illustrates systemic challenges and its impact to ethics and compliance program effectiveness.
  • Collaborate and discuss practical strategies and solutions for addressing big picture challenges and leading successful change in the organization.

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.

Jason L. Lunday, Vice President of Product Development & Advisory Services, Syntrio, Inc. 

 Advanced Discussion Groups back to top

AD2: Retaliation: Real or Imagined, How Are You Addressing It in Your Organization?

  • This Advanced Discussion Group will focus on the challenges compliance professionals face preserving a “Speak-Up” culture in light of potential retaliation from others within their organizations
  • We’ll discuss current events such as the challenges faced by organizations struggling to mend their cultures after being exposed for rampant misconduct.
  • We’ll identify and discuss best practices employed by session participants.

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.

Albert G. Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)

 Advanced Discussion Groups back to top

AD3: Internal Investigations in the Yates Memorandum

  • The Yates Memorandum has increased government focus on criminal prosecutions of individuals.
  • Corporate internal investigation programs have to incorporate improvements needed to meet the standards set out in the Yates Memorandum.
  • This Advanced Discussion Group will focus on common challenges companies face in improving their internal investigation programs.

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.

Kurt Stitcher, Interim Chief Compliance Officer, Tenneco Inc.

Networking Lunch

12:00 - 1:00 PM


Networking Break

1:00 - 1:30 PM

Concurrent Breakout Sessions

1:30 - 2:30 PM

 Risk back to top

201: Privacy from Zero to Sixty - Developing a Global Privacy Program

  • This session will discuss how to develop a global privacy program, with a practical focus.
  • It will include two perspectives from Privacy Officers: first, how to start a program from the beginning, where none exists; and, second, how to enhance an existing program and take it to the next level.
  • There will be a risk-based focus on addressing requirements related to notice, collection and use of information, cross-border data transfer agreements, supervision of third party providers, and security measures. It also will discuss lessons learned.

Charlotte D. Young, Chief Ethics and Compliance Officer, The Nature Conservancy 

Michelle Beistle, Counsel and Chief Compliance Officer, Unisys Corporation 

Marian Waldmann Agarwal, Of Counsel, Morrison & Foerster LLP

 Ethics back to top

202: Transformational Narratives: Where Ethics and Corporate Compliance Meet

  • How to teach ethics. Ethics compliance training is well established, but not always effective. We identify critical tools that compliance professionals can use to reinforce their organization's ethics programs.
  • How ethics facilitates compliance. When employees are taught ethics effectively, they become motivated and empowered to “do the right thing.” We explain how “doing the right thing” relates to modern compliance programs.
  • How to achieve compliance. When employees are motivated and empowered, they create a culture of compliance. We provide steps to guide along a culture of compliance within an organization.

Douglas Kelly, Lead Legal Editor, EverFi 


 Case Studies back to top

203: Case Study: The Story of AppNexus: How C-Level Commitment Creates an Ethical Culture

  • Case study for ethics & compliance training from global technology leader AppNexus, including leadership's commitment to build a culture that views ethical decision - making as a competitive advantage and allows for mistakes as learning tools.
  • Illustrate the role that creating an ethical culture plays in creating a high performing organization, then sharing best practices informed by real successes and challenges for implementing this approach in attendees' own organization.
  • Demonstrate ROI of innovative workforce training methods versus 'check the box' trainings and detailed use cases, including immersive ongoing dialogue, Emtrain's Workplace Color Spectrum, and social engagement tool.

Janine Yancey, President & CEO, Emtrain

 Multinational/ International back to top

204: Due process: build confidence in your compliance investigation process and convey a positive tone at the top

  • Meet the challenge of maintaining consistent policies throughout an organization spanning multiple jurisdictions despite the different legal frameworks relating to admissibility of evidence, data privacy and labor law.
  • Implementing the due process involves a review and also the development of behavioral skills that will show in the interactions with witnesses and subjects.
  • Beyond the legal aspects, the due process will convey positive values and reduce resentment or mistrust. Event better, it might lead investigations to become a catalyst for social dialogue and for a culture of integrity.

Cedric Bourgeois, Principal Investigator, UNESCO

 Compliance Lawyer back to top

205: Background Screening Compliance Essentials

  • Attendees will learn about the recent wave of class action cases alleging FCRA violations in the background screening process. The session will cover the specific sections of the FCRA where employers are at risk, and learn tips and best practices.
  • Participants will learn how to update their policies and procedures to be in compliance with the 2012 EEOC Guidance and avoid being the next enforcement target. The session will cover recent litigation and offer practical solutions and templates.
  • This session will identify cities and states with ban the box laws and jurisdictions with new restrictions on criminal background checks. Learn how to update your applications, policies and procedures to comply with ban the box and other state laws.

Angela Preston, Senior VP and Counsel, Corporate Ethics and Compliance, Sterling Talent Solutions

 IT Compliance back to top

206: The Compliance Officer and the Digital Era

  • My company has a new digital strategy. What should I do now? Avoiding common privacy pitfalls when carrying out privacy impact assessments for new digital products and processes.
  • Regulating without regulations. Managing the risks from emerging trends in big data analytics, virtual commerce, smart environments and robotics.
  • IT 3.0 brings business opportunities and compliance challenges in equal measure. Learn how to redesign your organization’s privacy program for new digital business initiatives.

Samantha Simms, Global Data Protection and Privacy Officer, Carlson Wagonlit Travel 

Johan E. Thorell, Director EMEA Compliance, Carlson Wagonlit Travel

 General Compliance and Hot Topics back to top

207: From Oversight to Impact: 3 Critical Ways Your Board Can Make a Difference in Compliance

  • Too often, boards settle for passive oversight of compliance programs, missing out on opportunities for more active, and effective, roles that only the board can perform.
  • Learn how your board can make a powerful impact on compliance results through active involvement in three key areas: supporting the CCO, promoting C-Suite compliance and ethical leadership, and instilling a positive organizational culture.
  • Understand the unique synergies and connections between these initiatives – how efforts in each area contribute to success in the others.

Erica Salmon Byrne, EVP, Ethisphere Institute

 General Compliance and Hot Topics back to top

208: Compliance is Ruff: A Dog’s Approach

  • Techniques used in the service dog training industry to gain compliance and correct unwanted behaviors.
  • Methods used in the service dog training industry to work through challenging or difficult situations.
  • How to apply these techniques and methods to enhance the effectiveness of a compliance program.

Kimberly A. Lansford, Chief Compliance Officer, Shriners Hospitals for Children 

Carol Lansford, Executive Director, Valor Service Dogs 

Gabe II, Service Dog, Warrior Canine Connection

 Risk back to top

209: 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

Danica Irvine, Senior Attorney, Department of Defense Office of General Counsel

 Advanced Discussion Groups back to top

AD4: The ABCs of Conflicts of Interest: Awareness, Bias and Corruption

  • Awareness: Disclosure is often the organization’s solution to conflicts of interest. How effective is disclosure as a remedy? Transparency is good; accuracy and objectivity are better.
  • Bias: Do you underestimate the severity of bias caused by conflicts? Can we properly navigate conflicts with objectivity? Consider the opposite – what are you inclined to believe?
  • Corruption cannot exist without a conflict of interest. Often the corrupt act and/or inherent conflict go undetected for years. Understanding the relationship between conflicts and corruption can lead to new ways to deter and detect misconduct.

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.

Cynthia S. Morrison, Director of Compliance, Post Holdings, Inc.

 Advanced Discussion Groups back to top

AD5: Dealing With Short-Term Orientation Management

  • What are common arguments used to resist investment in compliance programs?
  • What examples are available to demonstrate the value of compliance to short-term investors?
  • What can be used to make compliance part of the business plans of private equity/venture capital companies?

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.

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

 Advanced Discussion Groups back to top

AD6: Instant Benchmarking for Your Important Issues

  • Participants will drive this session. They will identify important issues they would like to see addressed by their peers.
  • Steve Priest will select about a dozen of these issues and use anonymous voting technology as well as roundtable conversation to provide instant insight and benchmarking.
  • Participants will leave the session with practical, actionable steps to take back to their organizations.

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.

Steven Priest, President, Integrity Insight International

Networking Break

2:30 - 3:00 PM

Concurrent Breakout Sessions

3:00 – 4:00 PM

 Risk back to top

301: The Risks in Assessing Risk

  • We'll look at behavioral research that shows how bad humans can be at assessing risk.
  • Interactive segments will test the audience's ability to assess risk and probability.
  • Finally, this session will suggest how to avoid falling into the common traps.

Adam Turteltaub, Vice President, Strategic Initiatives and International Programs, SCCE/HCCA

 Ethics back to top

302: TBD


 Case Studies back to top

303: 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, Associate General Counsel, Peace Corps


 Multinational/ International back to top

304: The Never Ending Story: Money Laundering

  • Definition of key concepts in order not to misunderstand money laundering and the difference with terrorist financing.
  • New for 2017: presentation of different cases of money laundering worldwide for financial and non-financial sectors to gain a deeper understanding of how the criminal does it.
  • An update of basic controls any company should have to protect itself from money laundering in accordance with key international regulations.

Monica Ramírez Chimal, Managing Director/Partner, Asserto RSC

 Compliance Lawyer back to top

305: Recent Developments in Compliance and Ethics Law

  • Review recent developments in U.S. and other law related to compliance and ethics, including case law, deferred prosecution agreements and C&E-related government pronouncements.
  • Explore the legal treatment of privilege in the C&E context, whistleblower cases, cases regarding director and officer compliance oversight responsibilities, and other C&E-related case law developments.
  • Consider strategies and advantages of using C&E legal developments in risk assessment, training and in other ways to enhance your program.

Rebecca Walker, Partner, Kaplan & Walker LLP 

Joseph E. Murphy, Senior Advisor, Compliance Strategists

 IT Compliance back to top

306: Data Discovery and Classification - A Digital Swiss Army Knife for Privacy and Security Compliance

  • Data Discovery and Classification (DDC) is the identification of the sensitivity of a given electronic communication, document, or file, and tagging it accordingly.
  • When integrated with policies, procedures, and controls, it offers a disproportionate ability to meet privacy, security, and information governance compliance requirements (GDPR, HIPAA, PCI-DSS, DFARS).
  • In this presentation, we’ll examine how DDC works in principle and review case studies of DDC success in practice

Scott M. Giordano, Director, Data Protection and Managed Privacy Services, Robert Half Legal Consulting

  General Compliance and Hot Topics back to top

307: Can’t Miss Insights from the 2017 Hotline Benchmark Report

  • Learn how to compare internal hotline data year over year to help answer crucial questions about your compliance program effectiveness.
  • Identify how your program’s performance matches up to industry norms.
  • Hear the most impactful findings from the NAVEX Global 2017 Ethics & Compliance Hotline Benchmark Report, and how they can be applied to your organization’s E&C program.

Carrie Penman, Chief Compliance Officer and Senior Vice President, Advisory Services, NAVEX Global 

Eddy O’Mara, Operations Manager, Advisory Services, NAVEX Global

 General Compliance and Hot Topics back to top

308: Linguistic Cues to Deception

  • This brand new session will present recent research on linguistic cues to deception. You will watch videos and examine transcripts to look for scientifically validated signs of deception and truthfulness.
  • Learn the significance of potential cues to deception, such as the amount of detail, presence of verifiable details, presence of spatial, temporal, and process oriented details, use of equivocations, use of pronouns, and use of passive voice.
  • Learn about Statement Validity Assessment, which looks for signs of truthfulness, such as a witness who tells the story in a chronologically disorganized manner, reproduces conversations, and describes her subjective mental state.

Michael W. Johnson, CEO, Clear Law Institute

 General Compliance and Hot Topics back to top

309: Turn of a Century: How does a company with over 100 years of history in the gas, electric and steam industry implement a corporate compliance program while the industry undergoes unprecedented changes?

  • Define our brand: How to leverage an existing Ethics and Compliance program, while distinguishing the operational, regulatory compliance group and creating its own identity.
  • Failure is an option: Create a compliance culture that fosters the ability for employees to identify and escalate issues and fix processes to become more compliant.
  • Communication plan: Use simple messages and designated points of contact from stakeholder groups to roll out program information to business units; push out messages with a strong tone at the top while building support with management and line employees.
Tayo Kurzman, Section Manager, Consolidated Edison of New York, Inc.

Kevin Jamieson, Dir BEC- Compliance Mgmt, Con Edison Company of NY

 Advanced Discussion Groups back to top

AD7: Challenges of working with Intermediaries in Emerging Markets

  • How to react when you learn that a relevant intermediary is allegedly involved in a corruption scandal?
  • Who should be involved to assess the situation?
  • What kind of information you need to gather?

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.

Shin Jae Kim, Multi-National/International Track Program Co-Chair; Partner, TozziniFreire Advogados

Renata Muzzi Gomes de Almeida, Partner, TozziniFreire Advogados


 Advanced Discussion Groups back to top

AD8: Suppliers and Other Third Party Engagement

  • Explore the compliance risks that companies face in dealing with suppliers, partners, agents, business intermediaries and other third parties.
  • Identify and share cost-effective best practices in the contracting, management, and oversight of third parties.
  • Learn new strategies for implementing sound business practices that help to demonstrate due diligence and mitigate compliance risk.

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.

Eric R. Feldman, Senior Vice President and Managing Director, Corporate Ethics and Compliance Programs, Affiliated Monitors, Inc.

 Advanced Discussion Groups back to top

AD9: Playing Well in the Sandbox: Developing and Sustaining Effective Relationships with Your Business Partners

  • Explore effective ways to become – and remain – engaged with your business partners.
  • Identify proven methods for delivering key compliance messages in an effective and constructive manner.
  • Learn critical “do’s” and “don’ts” for ensuring productive partnerships throughout your compliance career.

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.

Karen M. Aavik, SVP/Director of Corporate and Wholesale Practices, KeyBank, N.A

Networking Break

4:00 - 4:30 PM

Concurrent Breakout Sessions

4:30 – 5:30 PM


 Risk back to top

401: Conflicts of Interest: Exploring Best Practices

  • Overview of conflicts of interest risk and its impact on organizations.
  • Explore the conflicts of interest compliance controls of leading organizations, including conflicts policies, training, and oversight.
  • Review conflicts of interest questionnaires, approval methodologies and audits

Rebecca Walker, Partner, Kaplan & Walker LLP

 Ethics back to top

402: Fostering an Ethical Culture through Leadership: Challenges, Risks, and Rewards

  • Session attendees will benefit from a series of real-world case study videos which amplify barriers to ethical behavior and leadership.
  • Attendees will explore why good people sometimes do evil and assess ways to change moral reasoning by re-examining organizational ethics and values and using them as guiding stars.
  • Attendees will identify leadership challenges when ethical dilemmas surface and how to become resilient to unexpected, often tumultuous change.

Rick L. Crosser, Professor of Accounting, Metropolitan State University of Denver

 Case Studies back to top

403: Fostering a Compliance Culture at Travelers

  • Learn how Travelers works across international business units to create a cohesive culture of compliance by focusing on communication and organizational culture
  • Travelers' Chief Ethics and Compliance officer for Canada will discuss and explain the approach to and implementation of "ethical culture" training in Canada, which supplemented the Travelers Code of Business Conduct and Ethics.
  • Senior Counsel Stacy Walsh will describe the process for developing a detailed communication plan to increase awareness of the Code, and some of the challenges and successes with execution of the plan.

Stacy Walsh, Senior Counsel, Legal, The Travelers Companies, Inc. 

Jennifer Drost, Chief Ethics & Compliance Officer, Travelers Canada

Tim Glasby, Compliance Director (Solicitor) & MLRO, Europe, Travelers

 Multinational/ International back to top

404: Conducting Effective Third Party Due Diligence In China

  • A review of existing third party information available to risk professionals, demonstrating how it can be utilized to support due diligence processes.
  • Common frustrations and misconceptions relating to conducting due diligence in China.
  • Review of legal, regulatory and economic challenges pertaining to conducting third party due diligence in China.

Allan Matheson, Managing Director, Blue Umbrella


 Compliance Lawyer back to top

405: Preserving the Attorney-Client 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

Lawrence Oliver, Chief Counsel, Investigations, The Boeing Company

 IT Compliance back to top

406: Lessons Learned in Compliance Automation at NSA – Leveraging technology to aid the compliance profession

  • Managing rules and requirements – Gain a deeper understanding of how to integrate compliance processes based on common knowledge of the legal and policy rules rather than ad hoc procedures based on limited interpretation. This enables organizations to link operational activities to the rules under which they apply.
  • Operating under multiple rule sets – Explore the challenges associated with the complexity and volume of rules in organizations and learn how technology can offer the best option for addressing this increase in scale and complexity.
  • Automation activities – In this area, we will cover automation of rules for business functions, internal controls and monitoring, and compliance activities. Discover the lessons learned from NSA’s perspective, to include challenges and dependencies.

Jason Marburg, Compliance Officer, National Security Agency 

Melissa Lipple, Compliance Officer, National Security Agency

 General Compliance and Hot Topics back to top

407: Program & Ethical Tone Assessment Tradecraft of Independent Corporate Monitors

  • Scope and role(s) of Independent Corporate Monitors.
  • Techniques used by Monitors to assess Corporate Compliance & Ethics Programs.
  • Techniques used by Monitors to assess Ethical Tone.

John Hanson, Executive Director, Artifice Forensic Financial Services

 General Compliance and Hot Topics back to top

408: Is It Time for an Incentive Mine Sweep?

  • Even the strongest accountability and compliance programs won’t always overcome the problems of perverse incentives. Moreover, most bad incentive systems remain invisible to management until it’s too late.
  • Formal incentive programs often have design features that create unintended consequences. Look at Wells-Fargo, & VW, among others, for examples of how even well intentioned goals can go awry and channel behaviors in unintended directions.
  • Hear from a leader in compliance and governance systems, and respected professor, along with someone who spent his entire career in a heavily incentivized environment, for how can look for, and mitigate, incentive land-mines in your organization.

Richard T. Bistrong, CEO, Front-Line Anti-Bribery LLC 

Marc Hodak, Partner, Farient Advisors, LLC

 Advanced Discussion Groups back to top

AD10: Tools for Enhancing Employee Participation in Training

  • Getting employees to pay attention to your training.
  • Helping them enjoy the training.
  • Track results of your training.

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.

Art Weiss, Chief Compliance and Ethics Officer, TAMKO Building Products, Inc.

 Advanced Discussion Groups back to top

AD11: From Bangkok to Bogota and Boston to Brussels, Global ABC and FCPA Benchmarks, Best Practices and Bootcamps – One Size Does Not Fit All

  • How do companies choose to communicate their antibribery values to their global workforce?
  • If your compliance program is starting at 0, how to resist the urge to go straight to 60 mph. How to ease yourself out onto the anti-bribery and anti-corruption road.
  • What are specific FCPA/Global Compliance risks that keep you challenged?

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.

Jay Rosen, VP Business Development & Monitoring Specialist, Affiliated Monitors, Inc.

 Advanced Discussion Groups back to top

AD12: Hindsight – What Worked and What Didn’t Work in Our Aim to be Effective Ethics and Compliance Officers

  • What worked: Technical skills – most important being subject matter expertise, communication skills – most important being active listening, leadership skills – most important being integrity.
  • What didn’t work: Lack of respect, humility, patience, quality and timeliness.
  • Tools shared: Communication, reporting, management and leadership tools; including the Sutton Rectangle, Dimensions of Success Triangle, Continuum of Professional Growth, the Venn Diagram of Risk, etc…

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.

Sonal J. Shah, Chief Ethics and Compliance Officer, Stanford University