Compliance and ethics programs should no longer be considered optional. They are an important aspect of legal risk management, and government standards on compliance programs have become increasingly specific. No matter how large or small the company, paying careful attention to corporate compliance and ethics is critical.
- No area is safe - prosecutors all over the world aggressively attack corporate crime, as countries now pursue subjects like antitrust and bribery that were never before under the spotlight. And fines keep getting larger.
- The Dodd-Frank Act has provided employees with an incentive to report concerns to the government - rather than their employers -which greatly enhances the need for robust compliance programs.
- New technology is emerging to help prosecutors discover violations.
- Best practices in compliance are raising the bar of government expectations - but also provide ways for every compliance officer to do more with less and for every compliance program to function more effectively.
In short, at no time has promoting and maintaining an ethical corporate culture been as essential for a company’s survival and success.
In
Corporate Compliance and Ethics Institute, a distinguished faculty, drawn from major corporations, academia, compliance and ethics organizations, law firms and the government will provide you with the tools you need to meet today’s compliance and ethics challenges. Whether you are constructing a new program or enhancing an existing one, our panels of experts will tell you how to ensure that your company’s program satisfies government standards and best practices expectations. You’ll learn about current developments in compliance and ethics, along with practical tips on compliance and ethics risk assessments, compliance and ethics training, auditing and monitoring, helpline and investigations procedures, technology tools, board and senior management oversight of your program and program structures that work. The highly interactive format will allow you to benchmark on a real-time basis and learn best practices from your peers.
Lecture Topics [Total time 10:33:45]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- The Essential Components of a Program, Ethics and Culture [01:11:57]
Douglas M. Lankler, Rebecca Walker
- Standards, Procedures, Training and Communications [01:00:36]
Jacqueline E. Brevard, Michael I. Kim
- Board Oversight and Program Structure: The Authority and Independence of a Program [00:59:35]
Steven Priest, Kimberly R. Strong
- The Government's Perspective on Compliance and Ethics Porgrams [01:00:53]
Rebecca Walker, Jeffrey M. Kaplan, Steven Priest, Lori Martinez
- Audit/Assessment: Ensuring the Effectiveness of a Program [01:03:57]
Jim Sheehan, Jeffrey M. Kaplan
- Helplines, Investigations and Responding to Misconduct/Legal Ethics [01:02:20]
Lori Martinez, Adam Siegel
- Hot Topics in Compliance and Ethics [01:00:16]
Paul E. McGreal
- Compliance and Ethics Risk Assessments: The Foundation of Effective Programs [01:03:36]
Jack Holleran, Lauren A. Ferrari
- Global Compliance Issues and Compliance for Third Parties [01:04:41]
Lisa Stewart Hughes, Allan Tananbaum
- Social Media [01:01:33]
Lewis Segall, Katharine H. Parker, Howard Sklar
- Closing Remarks and Wrap Up* [00:04:21]
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- Designing the Holistic Compliance Program
Theodore L. Banks
- The Evolution of the Law of Corporate Compliance in the United States: A Brief Overview (March 2013)
Rebecca Walker
- The 3 Power Values: How Commitment, Integrity, and Transparency Clear the Roadblocks to Performance
David Gebler
- The Start of the Slippery Slope: How Leaders Can Manage Culture to Create a Sustainable Ethics and Compliance Program (May 16, 2012)
David Gebler
- Compliance and Ethics Officer Positioning: A Benchmarking Survey (December 2009)
Rebecca Walker
- What is Effective Communication?
Theodore L. Banks
- Integrity Training & Communications in the 21st Century: Breaking Old Habits, Deploying Savvy Solutions
Andrea Bonime-Blanc, Gretchen A. Winter
- Communicating Values Across Cultures: Globalizing Your Code of Ethics
Jacqueline E. Brevard, Laurinda H. Martins
- Communications and Training
Jacqueline E. Brevard
- Striking a Balance in Privileged & Protected Legal Communications With the Board of Directors, Corporate Compliance and External Auditors
Debra S. Rade, Robert Z. Slaughter, Tracy Macleod
- Ethics and Compliance Responsibilities of the Board
Steven Priest
- Government Has Set Compliance Agenda for 2013–Have You? (November 27, 2012)
Rebecca Walker
- Revisions to the Federal Sentencing Guidelines for Organizations
Rebecca Walker
- Measuring Your Program
Theodore L. Banks
- The Importance of Program Assessment: An SCCE Benchmarking Survey (October 2010)
Rebecca Walker
- Internal Investigations (May 9, 2013)
Scott R. Lassar
- Conducting Internal Investigations 2013
Ira H. Raphaelson
- An Introduction to Corporate Compliance and Ethics Programs
Paul E. McGreal
- Culture of Compliance: A New Approach to Assessing Ethics & Compliance Programs (February 2013)
Ellen M. Hunt
- Behavioural Ethics: Don’t Rely Solely on Good Intentions (February 2013)
Jeffrey M. Kaplan
- Selected Articles from the Conflict of Interest Blog
Jeffrey M. Kaplan
- Selected Articles on Risk Assessment from Corporate Compliance Insights
Jeffrey M. Kaplan
- Launching a Whistleblower Hotline Across Europe (October 15, 2012)
Garin L. Bergman
- Good Due Diligence Practices (February 11, 2013)
Sharon Hatchett
- How Your Program Can Better Resonate Around the World—Lessons Learned from 2012 (February 11, 2013)
Sharon Hatchett
- FCPA and Similar Laws
Sharon Hatchett
- Distributor Compliance Program Sample Due Diligence Process
Kristine Rapp
- What Everyone is Watching: Social Media, Privacy and the Law
Sarah Marmor
Presentation Material
- The Essential Components of a Program, Ethics and Culture
- SGI Legal Team Presentation
Douglas M. Lankler, Rebecca Walker
- Standards, Procedures, Training and Communications
Jacqueline E. Brevard, Michael I. Kim
- Board Oversight and Program Structure: The Authority and Independence of a Program
Steven Priest, Kimberly R. Strong
- Board Oversight and Program Structure: The Authority and Independence of a Program
- The Government's Perspectives on C&E Programs
Rebecca Walker
- Audit/Assessment: Ensuring the Effectiveness of a Program
Jeffrey M. Kaplan
- Audit/Assesment: Ensuring the Effectiveness of a Program
Jim Sheehan
- Helplines, Investigations and Responding to Misconduct/Legal Ethics
Adam Siegel
- Helplines, Investigations and Responding to Misconduct/Legal Ethics
- Hot Topics in Compliance and Ethics
Paul E. McGreal
- Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
Jack Holleran, Lauren A. Ferrari
- Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
- Global Compliance Issues and Compliance for Third Parties
Lisa Stewart Hughes, Allan Tananbaum
- Global Compliance Issues and Compliance for Third Parties
Lisa Stewart Hughes, Allan Tananbaum
- Social Media
Katharine H. Parker
Chairperson(s)
Speaker(s)
Jack Holleran ~ Senior Vice President Compliance, Moody's Corporation
Douglas M. Lankler ~ Executive Vice President, Chief Compliance and Risk Officer, Pfizer Inc.
Lori Martinez ~ Vice President, Global Compliance and Ethics, McKesson
Paul E. McGreal ~ Dean and Professor of Law, University of Dayton School of Law
Lewis Segall ~ Senior Counsel, Global Ethics and Compliance, Google Inc.
Jim Sheehan ~ Chief Integrity Officer, New York City Human Resources Administration
Allan Tananbaum ~ VP- Compliance and Deputy General Counsel, Ingersoll Rand
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.