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.
This is a webcast of the live San Francisco session.
Why you should attend
Legal drivers for corporate compliance and ethics programs have continued to grow in complexity and importance in recent years. The costs of non-compliance have never been greater. Indeed, five of the ten largest corporate criminal fines in U.S. history were imposed or agreed to last year alone. And harsh penalties - both against business organizations and individuals - are increasingly becoming the norm outside the U.S. Moreover, the whistleblower provisions of the Dodd-Frank Act have underscored in a broad way the general importance of compliance programs to effective mitigation.
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 increasingly rigorous standards. Learn about the latest and most effective approaches to key compliance and ethics program areas such as risk assessment, program structure and management, training and other communications, auditing and monitoring, helpline procedures and implementation, and how to keep senior management and the board informed about and contributing to the program.
What you will learn
- How to satisfy the Sentencing Guidelines’ definition of an effective compliance and ethics program - a test used by the Justice Department in determining whether to indict companies under investigation for federal offense
- How companies are responding to the whistleblower provisions of the Dodd-Frank Act
- The most important international developments concerning anti-corruption and competition law compliance, including interpretations of the U.K. Bribery Act
- The most significant recent developments in U.S. compliance and ethics-related law, including Delaware case law on the Board’s duties of oversight
- How to conduct and design compliance risk assessments to obtain the information that your program should have in order to be effective
- Training and communications approaches that meet your organization’s needs but don’t break your budget
- How to conduct effective compliance auditing, monitoring and self-assessment
- How to master the “hard edges” of compliance - investigations and discipline
Who should attend
This Workshop is designed specifically for experienced compliance officers, attorneys and staff responsible for compliance program administration.
PLI Group Discounts
Groups of 4-14 from the same organization, all registering at the same time, for a PLI program scheduled for presentation at the same site, are entitled to receive a group discount. For further discount information, please contact firstname.lastname@example.org or call (800) 260-4PLI.
PLI Can Arrange Group Viewing to Your Firm
Contact the Groupcasts Department via email at email@example.com for more details.
All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program at any time.
All times are P.S.T.
Day One: 9:00 a.m. - 5:00 p.m. (P.S.T.)
Morning Session: 9:00 a.m. - 12:30 p.m. (P.S.T.)
9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
9:15 Recent Developments and What to Expect in 2014 and Beyond
- UK Bribery Act, FCPA enforcement and other anti-corruption compliance developments
- Significant whistleblower cases
- Learning from recent case law
- The latest guidance from deferred prosecution agreements and other settlements
- Other regulatory standards and guidance
Paul E. McGreal
10:15 Management and Oversight of Compliance Programs
A. Program structure
- The importance of compliance officer positioning
- Leveraging relationships with HR, Internal Audit, Security and other compliance-related functions
- Creating the right level of independence and authority for your program
B. Interactions with the Board
- What information does the Board need to know? How often should they get it?
- How to help your Board help you in creating and maintaining a robust program
- The relationship between the compliance manager or director and the board
Lupe Garcia, Sheldon Quan
11:15 Networking Break
11:30 Effective Training and Communications Strategies
- What training and communications approaches are most effective?
- Approaches for training managers and supervisors
- Measuring the impact of training
James M. René, Herbert E. Wilgis III
12:30 Luncheon Presentation – Compliance and Ethics Programs
Afternoon Session: 1:45 p.m. - 5:00 p.m. (P.S.T.)
1:45 Measuring the Health of Your Program: Ways to give your program a check up
- What cultural factors are important to compliance
- Measuring and moving your company’s compliance culture
- Best practices in compliance auditing
- Working with Internal Audit
C. Program Assessment
- How to test if your program is working
- Using metrics to advance your program
Amii L. Barnard-Bahn, Larry Parsons
2:45 Third Party/Supply Chain/Due Diligence
- Identifying the risks that third parties create to your organization
- Good practices in due diligence
- Auditing third parties
- Training and communicating with third party employees
Joseph M. Azam, Laurie Kathleen Durousseau (invited), Scott Willoughby
3:45 Networking Break
4:00 Global Programs and Concerns
- Privacy issues outside the United States
- Helplines and investigations around the globe
- How to avoid having your program be too “US-centric”
- Dealing with different ethical standards
Odell Guyton, Gina Saviola
Day Two: 9:00 a.m. - 5:00 p.m. (P.S.T.)
Morning Session: 9:00 a.m. - 12:15 p.m. (P.S.T.)
9:00 Effective Compliance Risk Assessment: Getting the Most from Your Program
- Efficient and practical risk assessment practices
- Who should be involved
- Tying the results to program improvements
- Reporting on your risk assessment
Nancy A. Heafey, Michael Ward
10:00 Enhancing Helpline and Reporting Procedures and Conducting Investigations
- Drafting helpline and investigation protocols
- Communicating with employees about helplines and investigations
- Responding to Dodd-Frank’s whistleblower provisions
- Best practices in handling investigations, including maintaining independence
- Legal and ethical concerns
David C. Farrell, Frank Lopez, James M. Lord
11:00 Networking Break
11:15 Conflicts of Interest and Gifts and Entertainment: Risks and Compliance Measures
- Drafting workable policies
- Approval procedures
- Questionnaires and certifications
- Balancing competing interests
Douglas A. Doty, Rebecca Walker
12:15 Closing Remarks and Wrap Up
12:30 Institute Adjourns
David C. Farrell
~ Vice President, Chief Compliance and Ethics Officer, Yahoo! Inc.
~ Associate General Counsel, Compliance, Gap Inc.
~ Director of Compliance and Senior Corporate Attorney, Microsoft Corporation
Nancy A. Heafey
~ Former Deputy General Counsel and Chief Compliance Officer of Con-way Inc., Director of Institutional Compliance, Stanford University
~ Vice President of Coprorate Compliance Investigations, WellCare Health Plans
Paul E. McGreal
~ Dean and Professor of Law, University of Dayton School of Law
~ Vice President, Ethics and Compliance, McLane Company, Inc.
James M René
~ Chief Legal Officer and Chief Ethics and Compliance Officer, Genesys
~ Senior Counsel/Corporate Compliance Counsel, Occidental Petroleum Corporation
~ Deputy General Counsel & Vice President, Compliance Systems and Investigations, Cisco
Herbert E. Wilgis III
~ Compliance Program Attorney, Compliance Systems and Ivestigations, Microsoft Corp
PLI makes every effort to accredit its Live Webcasts. Please check the CLE Calculator above for CLE information specific to your state.
PLI's Live Webcasts
are approved for MCLE credit (unless otherwise noted in the product description
) in the following states/territories: Alabama, Alaska, Arkansas, California, Colorado, Delaware, Florida, Georgia, Hawaii, Idaho*, Illinois, Indiana1
, Iowa*, Kansas*, Kentucky*, Louisiana, Maine*, Minnesota, Mississippi, Missouri, Montana, Nebraska, North Carolina, North Dakota, New Hampshire*, New Jersey, New Mexico, Nevada, New York2
, Oklahoma, Oregon*, Pennsylvania4
, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia5
, Virgin Islands, Washington, West Virginia, Wisconsin, and Wyoming*.*PLI will apply for credit upon request.
Arizona: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.
Arkansas and Oklahoma: Audio-only live webcasts are not approved for credit.
1Indiana: Considered a distance education course. There is a 6 credit limit per year.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.
2New York: Newly admitted attorneys may not take non-transitional course formats such as on-demand audio or video 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.
3Ohio: To confirm that the live webcast 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 biennial 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.
4 Pennsylvania: A live webcast may be viewed individually or in a group setting. Credit may be granted to an attorney who views a live webcast individually. There is a 4.0 credit limit per year for this type of viewing. A live webcast viewed in a group setting receives live participatory credit if the program is open to the public and advertised at least 30 days prior to the program. Live webcasts viewed in a group setting that do not advertise at least 30 days prior the program will be considered "in-house", and therefore denied credit.
5Virginia: All distance learning courses are to be done in an educational setting, free from distractions.
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, refer to your state CLE website or call Customer Service at (800) 260-4PLI (4754) or email: firstname.lastname@example.org.
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.