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 New York session.Why you should attend
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.
At 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 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.
What you will learn
- Designing and conducting compliance risk assessments to obtain the most valuable information
- Structuring your program so that it possesses appropriate independence and clout
- The evolving role of the Board - more active oversight and greater expectations
- Mitigating the compliance risks created by social media while complying with the NLRB’s latest decisions, and using social media to advance your program
- Assessing your program for effectiveness and performing effective compliance audits
- Investigating and managing allegations of wrongdoing
- Best practices in compliance communications and training
- Tools to help your program connect to employees of all ages - including those who spend their lives on social media sites
- Do more with less - adding value to your program despite budgetary constraints
- 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.
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.
All times are E.D.T.
Day One: 9:00 A.M. - 5:00 P.M. (E.D.T.)
Morning Session: 9:00a.m. - 12:30 p.m. (E.D.T.)
9:00 The Essential Components of a Program, Ethics and Culture (.5 Legal Ethics CLE Credit)
- Explore the Elements and Characteristics of Effective Programs
- Primary Legal Standards and Guidance on Effective Programs
- What Makes an Effective Culture of Compliance
- How Culture Impacts Compliance
- Ethics Obligations of Compliance Lawyers and Other Professionals
Douglas M. Lankler, Rebecca Walker
10:15 Standards, Procedures, Training and Communications
- Developing and Communicating Policies That Are Meaningful to Your Employees
- Best Practices in Codes of Business Conduct
- Best Practices in Training and Communications
- How To Tell if Your Compliance Training is Working
- Budget-Sensitive Training Techniques
- Corporate Culture and Communications
Jacqueline E. Brevard, Michael I. Kim
11:15 Networking Break
11:30 Board Oversight and Program Structure: The Authority and Independence of a Program
- Chief Compliance Officer Positioning
- The Compliance and Ethics Network: Compliance Liaisons and Leveraging Other Functions
- Program Staffing
- Best Practices in Board Oversight
Steven Priest, Kimberly Strong
12:30 Luncheon Presentation - The Government’s Perspective on Compliance and Ethics Programs
Loretta E. Lynch (invited)
Afternoon Session: 1:45 p.m. - 5:00 p.m. (E.D.T.)
1:45 Audit/Assessment: Ensuring the Effectiveness of a Program
- Best Practices in Compliance Auditing
- Program Assessment: How Do You Know if Your Program is Working?
- Using Data to Enhance Your Program: What Metrics Matter Most to Compliance?
- Compliance and Ethics Surveys: Internal and External
Lauren A. Ferrari, Jim Sheehan
2:45 Networking Break
3:00 Helplines, Investigations and Responding to Misconduct/Legal Ethics (.5 Legal Ethics CLE Credit)
- Managing Helplines and Dealing with Whistleblowers
- How to Combat the Fear of Retaliation
- Best Practices and Guidelines for Handling Internal Investigations
- Maintaining the Attorney-Client (and Other) Privileges
- Legal and Compliance Professional Ethics Concerns
Lori Martinez, Adam Siegel
4:00 Hot Topics in Compliance and Ethics
- The Latest Guidance from Deferred Prosecution Agreements
- Case Law Update
- Update on the Whistleblower Provisions of the Dodd-Frank Act
- The UK Bribery Act, OECD Standards, and Other International Standards and Guidance
Paul E. McGreal
5:00 Adjourn
Day Two: 9:00 A.M. - 12:00 P.M. (E.D.T.)
9:00 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
- Conducting Effective Compliance Risk Assessments
- Practical Tools to Help You Understand and Assess Legal and Compliance Risk
- Reporting on Your Risk Assessment
- Avoiding Those Things That Can Go Wrong
Jack Holleran, Jeffrey M. Kaplan
10:00 Global Compliance Issues and Compliance for Third Parties
- How Your Program Can Better Resonate Around the World
- It’s Not Just the U.S. Anymore – Compliance Standards from Around the World
- Helplines and Privacy Outside of the United States
- Third Party Compliance Risks – Assessing and Mitigating Them
- Good Due Diligence Practices
Lisa Stewart Hughes, Allan Tanenbaum
11:00 Networking Break
11:15 Social Media
- Effective Social Media Policies and Training
- Impact of Recent NLRB Decisions on Social Media Policies
- Blogs, Facebook, Twitter - Identifying and Managing the Risks
- Using Social Media to Promote Compliance and Ethics
Kathleen K. Edmond, Lewis Segall
12:15 Closing Remarks and Wrap Up
12:30 Adjourn
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
Program Attorney(s)
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, Indiana
1, Iowa*, Kansas*, Kentucky*, Louisiana, Maine*, Minnesota, Mississippi, Missouri, Montana, Nebraska, North Carolina, North Dakota, New Hampshire*, New Jersey, New Mexico, Nevada, New York
2, Ohio
3, Oklahoma, Oregon*, Pennsylvania
4, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia
5, 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.
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.
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.
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: info@pli.edu.
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.