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You are here : About  >  Agenda/Sessions  >  Sunday

SUNDAY | Pre-Conference



Morning Breakout Sessions

8:30 am – 11:30 am (includes 15 minute break)

 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.

Greg Triguba, Principal, Compliance Integrity Solutions

Carla Weiler, Compliance Risk Manager, Starbucks

 Ethics back to top

P2: AT&T’s Compliance Training Evolution/Revolution

  • You think your existing training is great, but you need to toss it out! We looked at format and content and turned ours around. We also made it mobile-friendly, and relevant for employees around the world. We didn’t do it all overnight.
  • In-house is great – it doesn’t have to be fancy! You can do a lot with embedded videos. We teamed with our training design partners to use simple technology to make memorable training and incorporated interactive features for both online and in-person.
  • Change the perception of training. Make the move from “rules-based, cover-all-the-possibilities” to “here are some tools you can use to make good decisions for you and your teams.” Provide resources to support good decisions

Susan Bounds, Director-Compliance, AT&T

Jayne Cano, Lead Compliance Analyst, AT&T

Lee Miller, Associate Director-Training Design, AT&T

  Case Studies back to top

P3: A Tale of Two Companies—Experiencing the Best of Times and the Worst of Times through the Eyes of Two Organizations that Considered Themselves Ethical

  • Hear how two compliance programs survived and devloped during and after settlements with the U.S. Department of Justice, World Bank Group and similar regulatory/enforcement agencies.
  • Understand the lessons learned through the real-life experiences of two seasoned compliance officers— lessons that can be implemented in any compliance program, regardless of the existence of external scrutiny.
  • Take away three “key mindset” ideas to help your program build the framework necessary to effectively demonstrate solid operations and leadership commitment, if ever asked to do so by regulators, investigators or others.

Beth Colling, Vice President and Chief Compliance Officer, CDM Smith, Inc.

Rebeka Spires, Compliance and Ethics Officer, Louis Berger


  Multinational/ International back to top

P4: Anti-Corruption Workshop: FCPA and other Anti-Corruption Enforcement Hot Topics and Compliance Best Practices

  • Using a hypothetical fact pattern the panelists will engage the audience in a discussion regarding the legal, compliance, governance, and strategic issues involved when a company and business partner encounter corruption issues on a government bid.
  • Attendees will also learn about the latest anti-corruption regulatory and enforcement developments in the U.S. and abroad.
  • Panelists will discuss best practices for ensuring anticorruption compliance and will encourage discussion from attendees regarding methods they use to mitigate corruption risk and address compliance breaches within their organizations.

Iris Bennett, Member, Smith Pachter McWhorter PLC

Natalie Lockwood, Counsel, General Motors Company

Thuy Tran, Regional Compliance Officer—USA, SNC- Lavalin

Shannon O. Young, US Senior Compliance, WSP USA Inc.

  Compliance Lawyer back to top

P5: Audits Conducted Under Attorney Client Privilege: How to Manage the “ACP” Framework During an Audit Engagement

  • Determining the need to perform an audit under ACP: factors, scenarios and legal defense strategies.
  • Basic ACP Guidance and framework that includes RFP/ contract terms, communication protocols and pitfalls to avoid.
  • Case Study: How to conduct an HR compliance audit (Pay Equity).

Monica Reinmiller, Corporate Counsel, Legal Affairs & Compliance, T-Mobile

Katherine McDaniel, Senior Corporate Counsel, Litigation, T-Mobile

Chelsea Dwyer Petersen, Partner, Perkins Cole

  General Compliance and Hot Topics back to top

P6: Launching Ladies into Senior Leadership

  • Are you ready to launch into the highest levels of leadership? Joining the C-suite? Being on the Board? Then this seminar is for you.
  • Learn how to win champions and mentors; use verbal language and body language to up your confidence and likeability quotients; and move up the ladder using accountability and top negotiating skills.
  • Master lessons taken from female entrepreneurship. Learn why your network is your net worth (and how to grow it strategically) and how to raise the roof on your profile.

Kristy Grant-Hart, Owner, Spark Compliance Consulting

Jenny O’Brien, Chief Compliance Officer, UnitedHealthcare

Kirsten Liston, Principal, Rethink Compliance


  General Compliance and Hot Topics back to top

P7: Building a Culture of Compliance Learning Excellence—4 MultiNationals Share Their Insight

  • Training leaders from 4 multi-nationals share their insights on delivering compliance training to over 40,000 employees in 70 global markets.
  • Part I will help you get your compliance training design right: shorten learning seat tie, use diagnostic assessments and create high impact learning media.
  • – Part II will show you how to foster the relationships that underpin a successful training program: federal regulators, c-suite leadership, legal counsel and international markets

Nicole Tarasoff, Program Manager, Global Compliance & Integrity, LinkedIn

Jennifer Gardella, Director, Global Learning, Biogen

Jack W. Arnold, Jr., Global Corporate Compliance, Xilinx Inc.

  General Compliance and Hot Topics back to top

P8: Preventing Harassment: Can Compliance Ever Succeed?

  • It’s been 20 years since the Supreme Court rulings in Faragher and Ellerth made corporate anti-harassment efforts routine, yet there are more headlines than ever about blatant acts of harassment, especially among corporate and cultural leaders.
  • Sharing research and our collective experience, this workshop will focus on training, policies and culturebuilding, to explore why we have failed in preventing harassment, where we have engaged, and how we can elevate behavior.
  • One critical focus: retaliation vs. a “speak-up” culture, including best practices for creating, maintaining, and getting management support for an Open Work Environment.

Jason B. Meyer, President, LeadGood, LLC

Amy E. McDougal, President, CLEAResources, LLC

Susan A. Parkes, General Counsel & Vice President, Alyeska Pipeline Service Company

  Investigations Workshop back to top

P9: Investigations Workshop

> Part I: Beginning the Investigation and Interviewing the Reporter

(8:30-9:30 am)

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

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

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

Michelle Yaroma, Former Special Agent, Federal Bureau of Investigations

> Part II: Planning the Investigation

(9:30-10:30 am)

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

Meric C. Bloch, Vice President, Global Investigations, Booking Holdings, Inc.

> Part III: Revealing and Evaluating Documents

(10:45 am–11:30 pm)

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


11:30 am – 1:00 pm (on your own)

Afternoon Breakout Sessions

1:00 – 4:00 pm (includes 15 minute break)


  Risk back to top

P10 Trade Compliance Risks: What You Don’t Know, Can Hurt You!

  • Explore the fundamentals of building an effective trade compliance program from the ground up.
  • Survey and discuss recent enforcement trends, hot topics, global risks and advanced practice.
  • Participate in a complex real-world scenario simulating global trade compliance risks and challenges; explore practical solutions and strategies to effectively manage and mitigate the risks.

Gwendolyn Hassan, Managing Counsel, Global Compliance & Ethics, CNH Industrial

 Ethics back to top

P11: Ethics 101 from Theory to Application: What Would Kant Think About Tarantino Flix?

  • Discuss basic ethical theory (utilitarianism v. deontology) by analyzing the “Trolley Problem”. Explore theories of Justice, Rights and Duties. Analyze Kohlberg’s Cognitive Moral Development Theory. Discuss stakeholder theory, and hiring for integrity
  • Compare legal duties with ethical duties by participating in an HBR case study entitled, “The Parable of the Sadhu”. Explore the pressure to conform to group norms (Stanford Prison Experiment), and how that can lead to whistleblowing.
  • Analyze applied ethics dealing with black v. white v. grey areas. Understand the importance of reputation, corporate culture, mission statements, codes of ethics and the Federal Sentencing Guidelines for Organizations.

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

Bradley R. Agle, Professor, Brigham Young University

 Case Studies back to top

P12: Facebook and Equifax: Meeting Increased Customer Expectations, Not Just Regulatory Requirements

  • Discuss the recent changes to the regulatory environment and other advancements fueled by social media and new technology, focusing on how these shifts increase transparency and empower the consumer to demand more.
  • Explore the Facebook and Equifax scandals (or others occurring around the time of the conference) with an eye towards what these seemingly diverse cases have in common, and what companies can do to avoid scandals and failures in risk management.
  • – Outline the tactical steps every company should take to avoid costly litigation and regulatory fines, as well as the even graver long-term consequences of reputational disaster, without spending more on technology solutions.

Steven Minsky, CEO, LogicManager, Inc.

 Multinational/ International back to top

P13: Enforcement Goes International-What Does it Mean for Your Compliance Program?

  • Brazil now leads the list of countries where companies are under FCPA investigation. Yet that is often only the tip of the overall number of countries where companies may be under investigation. What does in the increase in international cooperation i
  • From the US corporate compliance perspective, how can a company protect itself from an industry or country sweep? Why do you need to understand not only who your third parties and business partners are but your customers as well?
  • From the Brazilian perspective, what should companies be doing proactively in response to this or any other country sweep? How is this different from the American perspective? Is doing compliance in Brazil or any other country in South America different?

Thomas R. Fox, Compliance Evangelist, Advanced Compliance Solutions

Matt Ellis, Partner, Miller

Carlos Ayres, Partner, Maeda, Ayres e Sarubbi Advogados


Compliance Lawyer back to top

P14: Federal Contractor—2018 Compliance Update

  • Update from last year’s successful session
  • Learn about the latest developments in U.S. Federal Contract compliance.
  • Understand how to address changes: Service Contract Act; Sick Pay regulations; Controlled but Unclassified Information (and others).

Adelle Elia, Chief Integrity Officer, Louis Berger

Paige Shannon, Vice President, Risk and Compliance, Kforce Inc.

  IT Compliance back to top

P15: Technology & Compliance: Understanding the Risks and Maximizing the Benefits

  • Technological developments providing new tools that can (should) be incorporated into your compliance program to increase effectiveness. AI, IOT, blockchain and other developments that can be part of your compliance program.
  • Updating your risk assessment in conjunction with your IT department to address new threats. Training emplopyees to use technology appropriately and identify (and avoid) social engineering. Using developments publicized in the media.
  • Addressing legislative and regulatory changes that impact on IT use and risks. Making sure you have a seat at the table as technology plans are made (e.g., possible regulation of bitcoin).

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

Gene Stavrou, Compliance Consultant, Ingredion

Heidi Rudolph, Managing Director, Morae Global

 General Compliance and Hot Topics back to top

P16: New Beginnings: Starting your Compliance Program and What Needs to be Included

  • Discussion on the basic elements of a compliance program.
  • Overview of the challenges and opportunities in developing a compliance program.
  • Identifying ways to get “buy in” for the compliance efforts.

Sheryl Vacca, SVP/Chief Risk Officer, Providence St Joseph Health

Debbie Troklus, Sr. Managing Director, Ankura Consulting Group


 General Compliance and Hot Topics back to top

P17: The Great Internal Audit & Compliance Mystery

  • Guests will observe and identify, or even become party to, the ultimate compliance mystery/conspiracy
  • Attendees (“The cast” of characters) will assist in identifying acts of noncompliance and network with the cast and other guests to determine what wrongdoing occurred, why and define an appropriate response to the wrongdoing.
  • Attendees will utilize strategies to help define compliance program weaknesses and what safeguards may have prevented an identified behavior

Kelly C. Loya, Managing Director, Pinnacle Enterprise Risk Consulting Services, LLC

Kristen R. Taylor, Managing Director, Pinnacle Healthcare Consulting

 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, Vice President, Global Investigations, Booking Holdings, Inc.

Part V: Preparing the Investigation Report

(2:45 - 3:45 PM)

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

Albert G. 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

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

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


Opening Tailgate Reception in Exhibit Hall

4:00 pm – 6:00 pm