Never in the history of criminal or corporate law has the existence of an effective compliance and ethics program been more valuable to an organization. The enormity of recent criminal fines, the aggressive enforcement of criminal laws against organizations, the extent to which criminal authorities around the world are working together, the risks of civil liability, and the startling speed of communication and the attendant transparency of corporate conduct have together created an environment where the misconduct of employees is more harmful to organizations than ever before. Compliance and ethics programs have become a necessary tool to manage the substantial risks posed by employee misconduct and to assist organizations in grappling with violations when they occur.
Of course, economic conditions continue to create a host of challenges for compliance programs, but they have not diminished government expectations. Indeed, at no time has promoting and maintaining an ethical corporate culture been as challenging and as essential for a company’s survival and success as it is today. In the
Advanced Compliance and Ethics Workshop, a distinguished faculty, drawn from major corporations, ethics organizations, law firms, academia, and the government, will give you the tools you need to advance an effective compliance and ethics program. The leading experts in the field will discuss current developments, heightened standards, and practical tips on how to ensure that your company’s compliance and ethics program satisfies the rigorous new standards. Learn about the latest and greatest in the areas of risk assessment, program structure and management, compliance and ethics training and other communications, auditing and monitoring, helpline procedures and implementation, and how to keep senior management and the board informed about and supportive of the program.
Lecture Topics [Total time 10:37:55]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- The Elements and Characteristics of an Effective Compliance and Ethics Program* [00:14:10]
Rebecca Walker
- Recent Developments and What to Expect in 2013 and Beyond [00:58:40]
Paul E. McGreal
- Management and Oversight of Compliance Programs [01:03:50]
Bob D. Frisbee, Michael Mclaughlin
- Effective Training and Communications Strategies [01:01:20]
Nancy McCready Higgins, Kathy Rehmer
- SEC Enforcement Initiatives and Priorities[01:01:00]
Marc J Fagel
- Measuring the Health of Your Program: Ways to give your program a check up [01:01:55]
Lupe Garcia, Sheryl Vacca
- Third Party/Supply Chain/Due Diligence [01:01:00]
Wendy A. Hallgren, Therese Lee
- Global Programs and Concerns [01:02:55]
Maura Brady Sharp, Harvey Woodford
- Effective Compliance Risk Assessment: Getting the Most from Your Program [00:56:30]
David Deitchman, Matt Tuchow
- Enhancing Helpline and Reporting Procedures and Conducting Investigations [01:14:55]
Andrew J. Hinton, William H. Kimball
- Conflicts of Interest and Gifts and Entertainment: Risks and Compliance Measures [01:01:40]
Larry M. Parsons, Rebecca Walker
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- The Evolution of the Law of Corporate Compliance in the United States: A Brief Overview
Rebecca Walker
- An Overview of Corporate Compliance and Ethics Programs
Paul E. McGreal
- General Counsels and the Ethics, Compliance & Risk Management Role: Optimizing the Integration of Integrity
Andrea Bonime-Blanc
- How Tyco Manages Third-Party Risk
Matthew O. Tanzer
- Compliance and Ethics Officer Positioning: A Benchmarking Survey
Rebecca Walker
- Selected Articles from the Conflict of Interest Blog on Training and Communications
Jeffrey M. Kaplan
- Speech by SEC Staff: The Role of Compliance and Ethics in Risk Management
Rebecca Walker, Carlo V. di Florio
- The Sentencing Guidelines: Field Notes on a 20-Year Experiment
Jeffrey M. Kaplan
- Compliance & Ethics Program Assessments: CCI Interview with Jeff Kaplan
Jeffrey M. Kaplan
- Sample Code of Business Conduct Audit Questionnaire
Lupe Garcia
- Anti-Corruption Due Diligence: How to Win Business Buy-In and Influence Stakeholders
Therese Lee
- Managing Third Party Risks
Elizabeth R. Weiss
- Third-Party Codes of Conduct: A Benchmarking Survey
Rebecca Walker
- Weatherford: A Culture of Both Ethics and Compliance
Adrian Mebane
- Commentary on the OECD Good Practice Guidance on Internal Controls, Ethics and Compliance
Joseph E. Murphy, Donna Boehme
- Compliance Program Standards and Guides Around the World: Start with the Sentencing Guidelines, But Understand Additional Standards in Each Jurisdiction Where You Do Business
Joseph E. Murphy
- Selected Articles from the FCPA Blog
Jeffrey M. Kaplan
- Selected Articles on Risk Assessment from Corporate Compliance Insights
Jeffrey M. Kaplan
- The Importance of Program Assessment: An SCCE Benchmarking Survey
Rebecca Walker
- Ten Tips for Handling a Multi-Jurisdictional Investigation
Adam Siegel
- How Much Guidance Does Your Organization Provide Its Compliance and Ethics Investigators? A Benchmarking Survey
Rebecca Walker
- Developing an Effective Process for Managing Gifts and Entertainment
Larry M. Parsons
- Selected Articles from the Conflict of Interest Blog
Jeffrey M. Kaplan
- Effectively Handling Conflicts of Interest
Rebecca Walker
- Effective Training & Compliance Strategies (PowerPoint Slides)
Kathy Rehmer
- Management and Oversight of Compliance--"Partnering for Success" (PowerPoint Slides)
Bob D. Frisbee
- Board Interaction (PowerPoint Slides)
Michael Mclaughlin
- Anti-Corruption Due Diligence Process (PowerPoint Slides)
Joshua Jones
- Global Programs and Concerns (PowerPoint Slides)
Adrian Mebane
- Conflicts of Interest and Gifts and Entertainment: Risks and Compliance Measures (PowerPoint Slides)
Douglas A. Doty, Frank Geovannello
- Gifts and Entertainment: Risks and Compliance Measures (PowerPoint Slides)
Larry M. Parsons
- Index to Advanced Compliance and Ethics Workshop 2012
Presentation Material
- The Elements and Characteristics of an Effective Compliance and Ethics Program
Rebecca Walker
- Recent Developments and What to Expect in 2013 and Beyond
Paul E. McGreal
- Management and Oversight of Compliance Programs
Bob D. Frisbee, Michael Mclaughlin
- Management and Oversight of Compliance Programs
Michael Mclaughlin
- Effective Training and Communications Strategies
Kathy Rehmer
- Effective Training and Communications Strategies
Rebecca Walker
- Measuring the Health of Your Program: Ways to give your program a check up
Lupe Garcia
- Measuring the Health of Your Program: Ways to give your program a check up
Sheryl Vacca
- Measuring the Health of Your Program: Ways to give your program a check up
Sheryl Vacca
- Measuring the Health of Your Program: Ways to give your program a check up
Sheryl Vacca
- Third Party/Supply Chain/Due Diligence
Wendy A. Hallgren, Therese Lee
- Third Party/Supply Chain/Due Diligence
Rebecca Walker
- Global Programs and Concerns
Maura Brady Sharp, Harvey Woodford
- Effective Compliance Risk Assessment: Getting the Most from Your Program
David Deitchman, Matt Tuchow
- Effective Compliance Risk Assessment: Getting the Most from Your Program
Rebecca Walker
- Conflicts of Interest and Gifts and Entertainment: Risks and Compliance Measures
Larry M. Parsons, Rebecca Walker
- Conflicts of Interest and Gifts and Entertainment: Risks and Compliance Measures
Rebecca Walker
Chairperson(s)
Speaker(s)
David Deitchman ~ Vice President and Associate General Counsel, Corporate Compliance, Hewlett-Packard Company
Marc J Fagel ~ Regional Director, San Francisco Regional Office, US Securities and Exchange Commission
Lupe Garcia ~ Associate General Counsel, Compliance, Gap Inc.
Andrew J. Hinton ~ Associate General Counsel and Chief Compliance Officer, Google Inc.
Therese Lee ~ Global Ethics & Compliance Counsel, Google Inc.
Paul E. McGreal ~ Dean and Professor of Law, University of Dayton School of Law
Larry Parsons ~ Vice President, Ethics and Compliance, McLane Company, Inc.
Maura Brady Sharp ~ Director of International Legal Affairs and Senior Managing Counsel, JC Penney Purchasing Corporation
Matt Tuchow ~ Senior Vice President, Global Compliance & Ethics, and Assistant General Counsel, McKesson Corporation
Sheryl Vacca ~ Senior Vice President/Chief Compliance and Audit Services, University of California
PLI makes every effort to accredit its On-Demand Web Programs and Segments. Please check the CLE Calculator above for CLE information specific to your state.
On-Demand Web Programs and Segments are approved in:
Alabama1, Alaska, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois , Iowa2*, Kansas, Kentucky*, Louisiana, Maine*, Mississippi, Missouri3, Montana, Nebraska, Nevada, New Hampshire4, New Jersey, New Mexico5, New York6, North Carolina7, North Dakota, Ohio8, Oklahoma9, Oregon*, Pennsylvania10, Rhode Island11, South Carolina, Tennessee12, Texas, Utah, Vermont, Virginia13, Washington, West Virginia, Wisconsin14 and Wyoming*.
Iowa, Mississippi, Oklahoma, and Wisconsin DO NOT approve Audio Only On-Demand Web Programs.
Minnesota approves live webcasts ONLY
Please Note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.
*PLI will apply for credit upon request. Louisiana and New Hampshire: PLI will apply for credit upon request for audio-only on-demand web programs.
1Alabama: Approval of all web based programs is limited to a maximum of 6.0 credits.
2Iowa: The approval is for one year from recorded date. Does not approve of Audio-only On-Demand Webcasts.
3Missouri: On-demand web programs are restricted to six hours of self-study credit per year. Self-study may not be used to satisfy the ethics requirements. Self-study can not be used for carryover credit.
4New Hamphsire: The approval is for three years from recorded date.
5New Mexico: On-Demand web programs are restricted to 4.0 self-study credits per year.
6New York: Newly admitted attorneys may not take non-traditional course formats such as on-demand Web Programs or live Webcasts for CLE credit. Newly admitted attorneys not practicing law in the United States, however, may earn 12 transitional credits in non-traditional formats.
7North Carolina: A maximum of 4 credits per reporting period may be earned by participating in on-demand web programs.
8Ohio: To confirm that the web program has been approved, please refer to the list of Ohio’s Approved Self Study Activities at http://www.sconet.state.oh.us. Online programs are considered self-study. Ohio attorneys have a 6 credit self-study limit per compliance period. The Ohio CLE Board states that attorneys must have a 100% success rate in clicking on timestamps to receive ANY CLE credit for an online program.
9Oklahoma: Up to 6 credits may be earned each year through computer-based or technology-based legal education programs.
10Pennsylvania: PA attorneys may only receive a maximum of four (4) hours of distance learning credit per compliance period. All distance learning programs must be a minimum of 1 full hour.
11Rhode Island: Audio Only On-Demand Web Programs are not approved for credit. On-Demand Web Programs must have an audio and video component.
12Tennessee: The approval is for the calendar year in which the live program was presented.
13Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
14Wisconsin: Ethics credit is not allowed. The ethics portion of the program will be approved for general credit. There is a 10 credit limit for on-demand web programs during every 2-year reporting period. Does not approve of Audio-only On-Demand Webcasts.
Running time and CLE credit hours are not necessarily the same. Please be aware that many states do not permit credit for luncheon and keynote speakers.
If you have already received credit for attending some or the entire program, please be aware that state administrators do not permit you to accrue additional credit for repeat viewing even if an additional credit certificate is subsequently issued.
Note that some states limit the number of credit hours attorneys may claim for online CLE activities, and state rules vary with regard to whether online CLE activities qualify for participatory or self-study credits. For more information, call Customer Service (800) 260-4PLI (4754) or e-mail info@pli.edu.