Seminar  Seminar

Corporate Compliance and Ethics Institute 2016


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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.

Why You Should Attend

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.

What 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

Who Should Attend

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.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program

• The essential elements of an effective program
• Program characteristics that are critical to effectiveness

Rebecca Walker



9:15 Board Oversight and Program Structure: Program Authority and Independence

• Chief Compliance and Ethics Officer Positioning
• Program Staffing
• Relationships with HR, Internal Audit and other Functions
• Oversight of Subsidiaries, JVs and other Affiliates
• Best Practices in Board Oversight
• Help Your Board Help You Create and Maintain a Robust Program

Lamond W. Kearse, Grace F. Renbarger



10:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs

• Practical Tools for Identifying and Assessing Legal and Compliance Risk
• Using the Risk Assessment to Enhance Your Program
• Reporting on Your Risk Assessment
• The Risks of Risk Assessment:  Avoiding Those Things That Can Go Wrong
(CFE Field of Study: Fraud)

Rady Johnson, Robert F. Roach



11:15 Networking Break

11:30 Codes, Training and Communications

A. Codes and Policies

  • Designing and Revising Codes of Conduct that work
  • Policy development, dissemination and ownership

B. Training and Communications

  • Best Practices in Training and Communications
  • Budget-Sensitive Training Techniques
  • Impacting Corporate Culture with C&E Communications

Maria C. Hermida, Saira Jesrai, Michael R. Levin



12:30 Networking Lunch

1:00 The Government’s Perspective on Effective C&E Programs
• What does the government view as an effective compliance program?
• What makes a program ineffective?
• What are the enforcement initiatives compliance offices should be aware of?

Pablo Quiñones

1:45 Monitor, Audit, and Assess: Explore the Three Lines of Defense

• Best Practices in Compliance Auditing
• Monitoring strategies
• Program Assessment: How Do You Know if Your Program Is Working?
• Using Data to Enhance Your Program: What Metrics Can Tell Us
• Compliance and Ethics Surveys
(CFE Field of Study: Fraud)

Garin L. Bergman, Jeffrey M. Kaplan



2:45 Social Media and Cybersecurity Challenges and Compliance

• Effective Social Media Policies and Training
• Impact of the NLRB’s Approach to Social Media Policies
• Challenges and Risks of Social Media Postings
• Privacy and Data Security Compliance Strategies
• Global Privacy Challenges
• Application of FTC Testimonial Guidance and Native Ad Guidance

Steven D. Hurd, Nora Kurzova



3:45 Networking Break

4:00 Hot Topics in Compliance and Ethics

• The Latest Guidance from Government Pronouncements and Deferred Prosecution Agreements
• Case Law Update
• Update on the Whistleblower Provisions of the Dodd-Frank Act
• Anti-Bribery, NLRB, and Other Regulatory Developments

Paul E. McGreal


5:00 Adjourn



Day Two: 9:00 a.m. - 12:15 p.m.

9:00 Helplines, Investigations and Responding to Misconduct

• Managing Helplines and Responding to Reports
• Combatting the Fear of Retaliation
• Best Practices for Conducting Internal Investigations
• Maintaining the Attorney-Client (and Other) Privileges
(CFE Field of Study: Fraud)

Jill U. Edmondson, Carrie Penman, Howard Sklar



10:00 Global Compliance Issues and Compliance for Third Parties

• Compliance Standards from Around the World
• How Your Program Can Better Resonate Globally
• Enhancing C&E Culture in Global Organizations
• Helplines and Privacy Outside of the United States
• Third-Party Compliance Risks – Assessing and Mitigating Them
• Due Diligence Best Practices
• Importing and Exporting and compliance
(CFE Field of Study: Fraud)

Debbie Hart-Klein, Adam Siegel



11:00 Networking Break

11:15 Ethics for Compliance Lawyers and Compliance Officers

• Risk Assessment, Program Assessment and Attorney-Client Privilege
• Lawyer Obligations Under Ethics Rules
• “Who Is the Client?” Issues
• Sarbanes-Oxley Section 307 Reporting Requirements
• Compliance and ethics professional standards

Benjamin Gruenstein, Larry Parsons

12:15 Closing Remarks and Wrap-Up

12:30 Adjourn



Chairperson(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Garin L. Bergman ~ Chief Compliance Officer, Idex Corp.
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 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.
Program Attorney(s)
Meghan K. Carney ~ Senior Program Attorney, Practising Law Institute

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and rate code PLII. You can also Book Online- Kimpton.

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. You can also book online.

Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

Why You Should Attend

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.

What 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

Who Should Attend

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.


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 membership@pli.edu or call (800) 260-4PLI.

PLI Can Arrange Group Viewing to Your Firm

Contact the Groupcasts Department via email at groupcasts@pli.edu for more details.

Cancellations

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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program

• The essential elements of an effective program
• Program characteristics that are critical to effectiveness

Rebecca Walker



9:15 Board Oversight and Program Structure: Program Authority and Independence

• Chief Compliance and Ethics Officer Positioning
• Program Staffing
• Relationships with HR, Internal Audit and other Functions
• Oversight of Subsidiaries, JVs and other Affiliates
• Best Practices in Board Oversight
• Help Your Board Help You Create and Maintain a Robust Program

Lamond W. Kearse, Grace F. Renbarger



10:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs

• Practical Tools for Identifying and Assessing Legal and Compliance Risk
• Using the Risk Assessment to Enhance Your Program
• Reporting on Your Risk Assessment
• The Risks of Risk Assessment:  Avoiding Those Things That Can Go Wrong
(CFE Field of Study: Fraud)

Rady Johnson, Robert F. Roach



11:15 Networking Break

11:30 Codes, Training and Communications

A. Codes and Policies

  • Designing and Revising Codes of Conduct that work
  • Policy development, dissemination and ownership

B. Training and Communications

  • Best Practices in Training and Communications
  • Budget-Sensitive Training Techniques
  • Impacting Corporate Culture with C&E Communications

Maria C. Hermida, Saira Jesrai, Michael R. Levin



12:30 Networking Lunch

1:00 The Government’s Perspective on Effective C&E Programs
• What does the government view as an effective compliance program?
• What makes a program ineffective?
• What are the enforcement initiatives compliance offices should be aware of?

Pablo Quiñones

1:45 Monitor, Audit, and Assess: Explore the Three Lines of Defense

• Best Practices in Compliance Auditing
• Monitoring strategies
• Program Assessment: How Do You Know if Your Program Is Working?
• Using Data to Enhance Your Program: What Metrics Can Tell Us
• Compliance and Ethics Surveys
(CFE Field of Study: Fraud)

Garin L. Bergman, Jeffrey M. Kaplan



2:45 Social Media and Cybersecurity Challenges and Compliance

• Effective Social Media Policies and Training
• Impact of the NLRB’s Approach to Social Media Policies
• Challenges and Risks of Social Media Postings
• Privacy and Data Security Compliance Strategies
• Global Privacy Challenges
• Application of FTC Testimonial Guidance and Native Ad Guidance

Steven D. Hurd, Nora Kurzova



3:45 Networking Break

4:00 Hot Topics in Compliance and Ethics

• The Latest Guidance from Government Pronouncements and Deferred Prosecution Agreements
• Case Law Update
• Update on the Whistleblower Provisions of the Dodd-Frank Act
• Anti-Bribery, NLRB, and Other Regulatory Developments

Paul E. McGreal


5:00 Adjourn



Day Two: 9:00 a.m. - 12:15 p.m.

9:00 Helplines, Investigations and Responding to Misconduct

• Managing Helplines and Responding to Reports
• Combatting the Fear of Retaliation
• Best Practices for Conducting Internal Investigations
• Maintaining the Attorney-Client (and Other) Privileges
(CFE Field of Study: Fraud)

Jill U. Edmondson, Carrie Penman, Howard Sklar



10:00 Global Compliance Issues and Compliance for Third Parties

• Compliance Standards from Around the World
• How Your Program Can Better Resonate Globally
• Enhancing C&E Culture in Global Organizations
• Helplines and Privacy Outside of the United States
• Third-Party Compliance Risks – Assessing and Mitigating Them
• Due Diligence Best Practices
• Importing and Exporting and compliance
(CFE Field of Study: Fraud)

Debbie Hart-Klein, Adam Siegel



11:00 Networking Break

11:15 Ethics for Compliance Lawyers and Compliance Officers

• Risk Assessment, Program Assessment and Attorney-Client Privilege
• Lawyer Obligations Under Ethics Rules
• “Who Is the Client?” Issues
• Sarbanes-Oxley Section 307 Reporting Requirements
• Compliance and ethics professional standards

Benjamin Gruenstein, Larry Parsons

12:15 Closing Remarks and Wrap-Up

12:30 Adjourn



Chairperson(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Garin L. Bergman ~ Chief Compliance Officer, Idex Corp.
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 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.
Program Attorney(s)
Meghan K. Carney ~ Senior Program Attorney, Practising Law Institute
Related Items

On-Demand  On-Demand Programs

Corporate Compliance and Ethics Institute 2015 Jun. 16, 2015

Handbook  Course Handbook Archive

Corporate Compliance and Ethics Institute 2016 Theodore L Banks, Scharf Banks Marmor LLC
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Corporate Compliance and Ethics Institute 2015 Theodore L Banks, Scharf Banks Marmor LLC
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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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