Please note that "ethics" in the program title refers to the “Compliance and Ethics Program” used in the Federal Sentencing Guidelines for Organizations. It does not specifically refer to legal ethics. Please check the credit calculator to the right for credit information for your jurisdiction.
No matter how large or small your company (or client), paying careful attention to corporate compliance and ethics is no longer optional.
- No area is safe - prosecutors all over the world continue to pursue corporate crime, as countries now pursue subjects like antitrust and bribery that were never before under the spotlight; fines keep getting larger, and governments are working together like never before
- 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
- Governments around the world are creating compliance incentives and standards
- New technology is emerging to help prosecutors discover violations in many areas
- Best practices in compliance are raising the bar of government expectations - but also providing ways for every compliance officer to do more with less
- The upcoming political campaign will likely put corporate compliance on every politician’s agenda
In short, at no time has promoting and maintaining an ethical corporate culture been as challenging and as essential for a company’s survival, well-being, and success.
In the
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 refining an existing program, our panels of the leading compliance experts will discuss 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, program structure and management, compliance and ethics training, auditing and monitoring, helpline and investigations procedures, technology tools, and board and senior management oversight of your program. 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 10:30:19]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- Compliance and Ethics: The Elements and Characteristics of Effective Programs* [00:12:52]
Rebecca Walker
- Compliance and Ethics Risk Assessments: The Foundation of Effective Programs [01:00:19]
Debbie Hart-Klein, Dana L. Platt
- Standards, Procedures and Culture: Essential Components of Effective Programs [01:02:17]
R. Allen Johnson, Wayne Brody
- Effective Communications and Training [01:02:45]
Joel Katz, Larry Parsons
- The Government's Perspective on Compliance and Ethics Programs [00:56:53]
Loretta E. Lynch
- Board Oversight and Program Structure: The Authority and Independence of a Program [01:03:28]
Jeffrey M. Kaplan, Victoria V. Sweeney, Krista J. McAninley
- Audit/Assessment: Ensuring the Effectiveness of a Program [01:00:01]
Jack Holleran, Janice L. Innis-Thompson
- Hot Topics in Compliance and Ethics [00:58:38]
Paul E. McGreal, Carrie Penman
- Helplines, Investigations and Responding to Misconduct/Legal Ethics [01:02:47]
Peter G. Neiman, Joshua Jones
- Third Parties/International [01:04:09]
Andrea Bonime-Blanc, Odell Guyton
- Social Media [01:06:10]
Orrie Dinstein
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
Rebecca Walker
- Keys to Successful Compliance Risk Assessments
Christine M. Castellano
- Compliance and Ethics Risk Assessments: A Holistic, Risk-Based Approach
Dana L. Platt
- Standards and Procedures: The First Element in an Effective Compliance and Ethics Program
Stacey C. Bolton
- The Key Segmentation for Understanding Unethical Behavior
Timothy T. Lupfer
- The How Report: Governance, Culture and Leadership as Drivers of Resiliency, Innovation & Sustainable Growth
David I. Greenberg
- Corporate Policies
R. Allen Johnson
- What Is Effective Communication?
Theodore L. Banks
- Modeling the Message: Communicating Compliance Through Values and Culture
V. Scott Killingsworth
- 2012 Edelman Trust Barometer Executive Summary
Theodore L. Banks
- Revisions to the Federal Sentencing Guidelines for Organizations
Rebecca Walker
- Compliance and Ethics Officer Positioning: A Benchmarking Survey
Rebecca Walker
- Advising the Board of Directors Regarding Oversight of Compliance Programs: MF Global & the Pitfalls of Form Over Function 2012 Considerations
Debra S. Rade
- Selected Articles from Corporate Compliance Insights
Jeffrey M. Kaplan
- Selected Articles from the FCPA Blog
Jeffrey M. Kaplan
- Selected Articles on Behavioral Ethics and Compliance from the Conflict of Interest Blog
Jeffrey M. Kaplan
- Monitoring for Retaliation: Essentials for Your Ethics and Compliance Program
Victoria V. Sweeney, Carrie Penman
- The Importance of Program Assessment: An SCCE Benchmarking Survey
Rebecca Walker, Rachel Beth Evans, Jason A. Lomax
- An Introduction to Corporate Compliance and Ethics Programs
Paul E. McGreal
- Hotline Data: Effective Analysis and Benchmarking Can Maximize the Benefits
Carrie Penman
- How Much Guidance Does Your Organization Provide Its Compliance and Ethics Investigators? A Benchmarking Survey
Rebecca Walker
- Investigative Interview Techniques
Margaret A. Daley
- Internal Investigations
Scott R. Lassar
- Private Eyes--They're Watching You
Ira H. Raphaelson
- Third-Party Codes of Conduct: A Benchmarking Survey
Rebecca Walker
- Rushing Into Russia--Proceed with Caution
Victoria Makarova
- Anti-Corruption Practices Survey 2011--Cloudy with a Chance of Prosecution?
Victoria Makarova
- Building Ethics, Compliance Risks Into ERM
Andrea Bonime-Blanc
- Eight Essentials for a Global Code of Conduct
Andrea Bonime-Blanc
- A New ERA in Global Anti-Corruption: Governments Get Serious About Enforcement
Andrea Bonime-Blanc
- Building Sustainable Integrity Into Organizational Strategy and Operations
Andrea Bonime-Blanc
- Building an Enterprise Risk Management Program for a Small to Medium Size Company: Essential First Steps
Andrea Bonime-Blanc
- Social Media and the Law--False Advertising; SPAM; and Privacy and Data Security Issues
Alan L. Friel
- California and White House Privacy Announcements Usher in New Era for Consumer Data Privacy--Mobile and Targeting Are Reform Priorities
Alan L. Friel
- Oft-Ignored California Law Spawns New Batch of Class Actions--Companies Dealing with California Consumer Data Need to Audit Practices and Policies
Alan L. Friel
- Class Action Lawyers "Like" Facebook Decision, Which Impacts Social Media Advertising
Alan L. Friel
- Take Heed: Facebook and Google Buzz's Privacy Settlements with FTC Reinforce Need to Audit Privacy Practices and Revisit Statements and Policies
Alan L. Friel
- Social Media: Is It All Just Talk?
Sarah R. Marmor
- Corporate Policies
R. Allen Johnson
- Index to Corporate Compliance and Ethics Institute 2012
Presentation Material
- Compliance and Ethics: The Elements and Characteristics of Effective Programs
- Compliance Risk Management: One Company’s Experience
Debbie Hart-Klein
- A Holistic Approach to Compliance and Ethics Risk Assessments
Dana L. Platt
- From GRC to GCL: Generating Compliance as an Outcome of Culture
Wayne Brody
- Corporate Policies
R. Allen Johnson
- Standards, Procedures and Culture: Essential Components of Effective Programs
- Effective Compliance Communication and Training
Joel Katz, Larry Parsons
- Effective Communications and Training
- Board Oversight and Program Structure: The Authority and Independence of a Program
- How to Perform an Effective Audit - Measuring the Effectiveness of Your Compliance Program
- Hot Topics in Compliance and Ethics
Paul E. McGreal
- What is Your Helpline Really Telling You? Helpline Trending and Tracking Best Practices
Carrie Penman
- Helplines, Investigations and Responding to Misconduct/Legal Ethics
- International Issues
Andrea Bonime-Blanc
- Third Parties/International
- The Promise & Perils of Social Media
Orrie Dinstein
- Social Media
Chairperson(s)
Speaker(s)
Andrea Bonime-Blanc ~ Former Senior Vice President, Global Corporate Responsibility & Risk Management, Verint Systems Inc.
Orrie Dinstein ~ Chief Privacy Leader and Senior IT & IP Counsel, GE Capital Corporation
Jack Holleran ~ Senior Vice President Compliance, Moody's Corporation
Joel Katz ~ Vice President, Associate General Counsel & Chief Ethics Officer, CA, Inc.
Paul E. McGreal ~ Dean and Professor of Law, University of Dayton School of Law
Larry M. Parsons ~ Former Vice President and Chief Ethics and Compliance Officer, Freescale Semiconductor, Inc.
Carrie Penman ~ President, The Ethical Leadership Group, Global Compliance's Expert Advisors
Dana L. Platt ~ Executive Director, Head of Global Compliance IT Strategy and Systems, UBS AG
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 Carolina8, 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
The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.
*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.