On-Demand   On-Demand Web Programs

Corporate Compliance and Ethics Institute 2016

Released on: Jun. 8, 2016
Running Time: 10:00:37

Running Time Segment Title Faculty Format
[00:57:27] Board Oversight and Program Structure: Program Authority and Independence Grace F Renbarger ~ Vice President, Chief Ethics & Compliance Officer, Bazaarvoice, Inc.
Lamond W Kearse ~ Chief Compliance Officer, Metropolitan Transportation Authority
On-Demand MP3 MP4
[01:02:54] Compliance and Ethics Risk Assessments: The Foundation of Effective Programs Rady Johnson ~ Compliance Office, Pfizer
Robert F Roach ~ Vice President and Chief Compliance Officer, New York University
On-Demand MP3 MP4
[00:59:39] Codes, Training and Communications Saira Jesrai ~ Senior Compliance Officer, Marsh & McLennan Companies
Maria C Hermida ~ Chief Ethics Officer, Managing Director, Citigroup
Michael R Levin ~ Senior Director, Ethics & Business Practices, Compliance Division, Freddie Mac
On-Demand MP3 MP4
[00:58:05] Monitor, Audit, and Assess: Explore the Three Lines of Defense Jeffrey M Kaplan ~ Kaplan & Walker LLP
Garin L Bergman ~ Guidant Technology
On-Demand MP3 MP4
[01:01:58] Social Media and Cybersecurity Challenges and Compliance Steven D Hurd ~ Proskauer Rose LLP
Nora Kurzova ~ Chief Privacy Officer, Data Privacy & Records Management, Tyco International Management Company, LLC
On-Demand MP3 MP4
[01:01:29] Hot Topics in Compliance and Ethics Paul E McGreal ~ Dean-Designate and Professor of Law , Creighton University School of Law
On-Demand MP3 MP4
[01:01:46] Helplines, Investigations and Responding to Misconduct Carrie Penman ~ Chief Compliance Officer and Senior Vice President of Advisory Services, Navex Global
Howard Sklar ~ Head of Special Investigations and LATAM Investigations, JPMorgan Chase & Co.
Jill U Edmondson ~ Manager, Corporate Compliance & Ethics, The Home Depot
On-Demand MP3 MP4
[01:00:12] Global Compliance Issues and Compliance for Third Parties Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Debbie Hart-Klein ~ Chief Compliance Officer, RELX Group
On-Demand MP3 MP4
[01:06:20] Ethics for Compliance Lawyers and Compliance Officers Larry Parsons ~ Vice President and Chief Legal Officer, McLane Company, Inc.
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
On-Demand MP3 MP4

Compliance and ethics programs are critically important to the success and growth of any organization. Such programs allow organizations to identify and mitigate legal risks before they become serious problems.  The effective compliance and ethics program also allows an organization, of any size, to establish itself as doing business with integrity, which will not only avoid legal problems, but enable it to command the respect of employees, customers, suppliers, and government enforcers.  With an increasingly tough enforcement environment, and greater demands for transparency and accountability from a variety of stakeholders, an effective compliance program is no longer just “nice-to-have.” It’s essential.  A distinguished faculty, drawn from major corporations, academia, law firms and the government will provide you with the tools you need to create or enhance a program that works to increase employee awareness and mitigate legal risk.  The program is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.  Whether you are constructing a new program or refining an existing one, our panels of experts will help ensure that your company’s program satisfies government standards and best practices expectations.

You will learn:

  • Recent developments in compliance and ethics, including guidance from the Department of Justice and real-world tools from leading organizations
  • Designing and conducting effective compliance risk assessments, and using that to enhance your program
  • Structuring your program for appropriate independence and authority
  • The evolving role of the Board — avoiding complacency where governance and compliance meet
  • Assessing your program and performing effective compliance audits
  • Investigating and managing allegations of wrongdoing
  • Best practices in compliance communications and training and tools to help your program connect to employees of all ages
  • Mitigating the risks created by suppliers, agents and other third parties
  • Global compliance expectations and best practices, including the UK Bribery Act and the OECD guidance on anti-bribery compliance programs

The Institute will benefit anyone involved in any aspect of corporate compliance and ethics, including general counsel and other in-house counsel, compliance and ethics officers, compliance and ethics managers and other members of the compliance and ethics departments of organizations, internal audit and human resources personnel, risk managers, and outside counsel and consultants involved in advising on compliance and ethics subjects or programs.

Lecture Topics [Total time 10:00:37]

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* [00:13:53]
    Rebecca Walker
  • Board Oversight and Program Structure: Program Authority and Independence [00:57:27]
    Lamond W. Kearse, Grace F. Renbarger
  • Compliance and Ethics Risk Assessments: The Foundation of Effective Programs [01:02:54]
    Rady Johnson, Robert F. Roach
  • Codes, Training and Communications [00:59:39]
    Maria C. Hermida, Saira Jesrai, Michael R. Levin
  • The Government’s Perspective on Effective C&E Programs [00:36:54]
    Pablo Quiñones
  • Monitor, Audit, and Assess: Explore the Three Lines of Defense [00:58:05]
    Garin L. Bergman, Jeffrey M. Kaplan
  • Social Media and Cybersecurity Challenges and Compliance [01:01:57]
    Nora Kurzova, Steven D. Hurd
  • Hot Topics in Compliance and Ethics [01:01:29]
    Paul E. McGreal
  • Helplines, Investigations and Responding to Misconduct [01:01:46]
    Jill U. Edmondson, Carrie Penman, Howard Sklar
  • Global Compliance Issues and Compliance for Third Parties [01:00:12]
    Debbie Hart-Klein, Adam Siegel
  • Ethics for Compliance Lawyers and Compliance Officers [01:06:20]
    Benjamin Gruenstein, Larry Parsons

The purchase price of this Web Program includes the following articles from the Course Handbook available online:


  • COMPLETE COURSE HANDBOOK
  • The Evolution of the Law of Corporate Compliance in the United States: A Brief Overview (February 2016)
    Rebecca Walker
  • Broad Oversight and Compliance Program Structure: Considerations and Challenges When Building a New Compliance Program
    Jody A. Gleason
  • Board Oversight and Program Structure: Program Authority and Independence
    Lamond Kearse, Grace F. Renbarger
  • “C” Is for Crucible: Behavioral Ethics, Culture, and the Board’s Role in C-Suite Compliance
    Scott Killingsworth
  • The Reputation Risk Handbook: Surviving and Thriving in the Age of Hyper-Transparency—Chapter 2: Dissecting ‘Reputation Risk’
    Gretchen A. Winter, Andrea Bonime-Blanc, Ellen M. Hunt, Rick Kulevich
  • Demystifying the Development of a Corporate Policy Center
    Gene Stavrou
  • Behavioral Ethics and Just-in-Time Compliance Communications
    Jeffrey M. Kaplan
  • Moral Intuitionism and Ethics Training
    Jeffrey M. Kaplan
  • Department of Justice Press Release: New Compliance Counsel Expert Retained by the DOJ Fraud Section (November 3, 2015)
    Theodore L. Banks
  • DOJ’s Andrew Weissmann and Hui Chen Talk Corporate Compliance in Exclusive Interview
    Laura Jacobus, Theodore L. Banks
  • Department of Justice: Compliance is a Culture, Not Just a Policy (September 9, 2014)
    Brent Snyder, Theodore L. Banks
  • Sally Quillian Yates Memo on Individual Accountability for Corporate Wrongdoing (September 9, 2015)
    Rebecca Walker
  • Antitrust Compliance Audit Plan
    Joseph E. Murphy
  • Internal Audit and Your Compliance and Ethics Program
    Joseph E. Murphy
  • Auditing, Monitoring, Assessing and Other Ways of Checking Your Compliance and Ethics Program
    Jeffrey M. Kaplan
  • Social Media and the Law—False Advertising, SPAM and Privacy and Data Security Issues
    Alan L. Friel
  • Employment and Social Media Law: What Employers Can and Cannot Do to Manage Employee “Speech” on the Internet
    Sarah R. Marmor
  • Social Media and Cybersecurity Challenges and Compliance (February 8, 2016)
    Evandro C. Gigante
  • An Introduction to Corporate Compliance and Ethics Programs
    Paul E. McGreal
  • Internal Investigations (January 6, 2016)
    Scott R. Lassar
  • The Road Not Taken—Some Observations on Ethical Dilemmas in Internal Investigations
    Ira H. Raphaelson
  • SEC’s First Whistleblower Award to Company Outsider: Game Changer?
    Randy Stephens, Carrie Penman
  • The Challenge of Global Antitrust Compliance
    Roxane C. Busey
  • Legal Ethics and Compliance (February 21, 2016)
    Theodore L. Banks
  • Internal Investigations: The First 48 Hours
    Pascal Hachem, Benjamin Gruenstein

Presentation Material


  • Program Introduction Power Point
    Rebecca Walker
  • Board Oversight and Program Structure: Program Authority and Independence_Power Point
    Lamond W. Kearse, Grace F. Renbarger
  • Compliance and Ethics Risk AssessmentProgram Handout
    Robert F. Roach
  • Monitor, Audit, and Assess: Explore the Three Lines of Defense_Power Point 1
    Jeffrey M. Kaplan
  • Monitor, Audit, and Assess: Explore the Three Lines of Defense_Power Point 2
    Garin L. Bergman
  • Social Media and Cybersecurity Challenges and Compliance_Power Point
    Steven D. Hurd, Nora Kurzova
  • Hot Topics in Compliance and Ethics_Power Point
    Paul E. McGreal
  • Helplines, Investigations and Responding to Misconduct_Power Point
    Carrie Penman
  • Helplines, Investigations and Responding to Misconduct_Power Point 2
    Jill U. Edmondson
  • Global Compliance Issues and Compliance for Third Parties_Power Point
    Debbie Hart-Klein, Adam Siegel
  • Ethics for Compliance Lawyers and Compliance Officers_Power Point
    Benjamin Gruenstein, Larry Parsons
Chairperson(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Garin L. Bergman ~ Guidant Technology
Jill U. Edmondson ~ Manager, Corporate Compliance & Ethics, The Home Depot
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Debbie Hart-Klein ~ Chief Compliance Officer, RELX Group
Maria C. Hermida ~ Chief Ethics Officer, Managing Director, Citigroup
Steven D. Hurd ~ Proskauer Rose LLP
Saira Jesrai ~ Senior Compliance Officer, Marsh & McLennan Companies
Rady Johnson ~ Compliance Office, Pfizer
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Lamond W. Kearse ~ Chief Compliance Officer, Metropolitan Transportation Authority
Nora Kurzova ~ Chief Privacy Officer, Data Privacy & Records Management, Tyco International Management Company, LLC
Michael R. Levin ~ Senior Director, Ethics & Business Practices, Compliance Division, Freddie Mac
Paul E. McGreal ~ Dean-Designate and Professor of Law , Creighton University School of Law
Larry Parsons ~ Vice President and Chief Legal Officer, McLane Company, Inc.
Carrie Penman ~ Chief Compliance Officer and Senior Vice President of Advisory Services, Navex Global
Pablo Quiñones ~ Chief - Strategy, Policy and Training Unit, Criminal Division, Fraud Section, U.S. Department of Justice
Grace F. Renbarger ~ Vice President, Chief Ethics & Compliance Officer, Bazaarvoice, Inc.
Robert F. Roach ~ Vice President and Chief Compliance Officer, New York University
Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Howard Sklar ~ Head of Special Investigations and LATAM Investigations, JPMorgan Chase & Co.
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


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Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

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New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

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Rhode Island:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 3 on-demand credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

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Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

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Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  PLI’s on-demand web programs qualify as “A/V” credit. Attorneys are limited to 22.5 credits of A/V programs per reporting period.

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Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 10 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

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United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.


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IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

IIEI Recertification:  PLI’s on-demand web programs may qualify for the Continuing Education Units (CEUs) necessary to fulfill the Certified U.S. Export Compliance Officer® (CUSECO) continuing education requirements.

 

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“I enjoyed the program. The quality of presenters and presentations was excellent. I felt that the real life examples and the discussions of what different compliance programs look like was very helpful.”
– 2015 Attendee

"I am continually impressed with not only the content of PLI courses but how effectively they are organized and administrated. I love that they start and end throughout the day when they are scheduled to. Very refreshing."

– 2015 Attendee

“Excellent course. Highly recommended for those looking to stay on top of the latest developments in the compliance field.”

– 2015 Attendee


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