Why you should attend
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.
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 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.
What you will learn
- Do more with less - adding value to your program despite budgetary constraints
- Minimizing the compliance risks created by social media and using social media tools to promote your program
- 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 - avoiding the complacency traps where governance and compliance meet
- Assessing your program for effectiveness and performing effective compliance audits
- Investigating and managing allegations of wrongdoing in your organization
- Best practices in compliance communications and training, including tools to help your program connect to employees of all ages
- Global compliance expectations and best practices, including the UK Bribery Act and the OECD guidance on anti-bribery compliance programs
- Hypothetical and interactive panels based on real-world scenarios, including the experiences of whistleblowers
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.
DAY ONE: 9:00 A.M. - 5:00 P.M.
Morning Session: 9:00 a.m. - 12:30 p.m.
9:00 Compliance and Ethics: The Elements and Characteristics of Effective Programs
- The Important Components of Compliance and Ethics Programs
- Primary Legal Standards and Guidance on Effective Programs
9:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
- Different Approaches to Conducting Compliance Risk Assessments
- Practical Tools to Help You Understand and Assess Legal and Compliance Risk
- Reporting on Your Risk Assessment
- What Can Go Wrong
Debbie Hart-Klein, Dana L. Platt
10:15 Standards, Procedures and Culture: Essential Components of Effective Programs
- Developing and Communicating Policies That Will Reach Your Employees
- Best Practices in Codes of Business Conduct
- Understanding Why People Do What They Do
- What Makes an Effective Culture of Compliance
- How Culture Impacts Compliance
Wayne Brody, R. Allen Johnson
11:15 Networking Break
11:30 Effective Communications and Training
- Best Practices in Training and Communications
- How to Tell if Your Compliance Training Is Working
- Budget-Sensitive Training Techniques
- Corporate Culture and Communications
Joel Katz, Larry Parsons
12:30 Luncheon Presentation
The Government’s Perspective on Compliance and Ethics Programs
Loretta E. Lynch, United States Attorney, United States Attorney’s Office, Eastern District of New York
Afternoon Session: 1:45 p.m. - 5:00 p.m.
1:45 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
- How Can Boards Really Add Value?
- How to Create the Right Level of Independence and Authority for Your Program
Jeffrey M. Kaplan, Krista J. McAninley, Victoria Sweeney
2:45 Networking Break
3:00 Audit/Assessment: Ensuring the Effectiveness of a Program
- Best Practices in Compliance Auditing
- Program Assessment: How Do You Know if Your Program Is Working?
- What Metrics Matter Most to Compliance?
- Compliance and Ethics Surveys: Internal and External
Jack Holleran, Janice L. Innis-Thompson
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
- International Standards and Guidance
- What is Your Helpline Really Telling You? Helpline Trending and Tracking Best Practices
Paul E. McGreal, Carrie Penman
DAY TWO: 9:00 A.M. - 12:30 P.M.
9:00 Helplines, Investigations and Responding to Misconduct/Legal Ethics
- 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
Joshua Jones, Peter G. Neiman
10:00 Third Parties/International
- How a Program Can Better Resonate With Employees, Wherever Located
- 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
- International Compliance Issue Risk Management - How to Be a Few Steps Ahead of the Curve
Andrea Bonime-Blanc, Odell Guyton
11:00 Networking Break
11:15 Social Media
- Effective Social Media Policies and Training
- Managing the Risks
- Blogs, Facebook, Twitter - What Does It All Mean for Compliance and Ethics?
- Using Social Media to Promote Compliance and Ethics
12:15 Closing Remarks and Wrap-Up
~ Former Senior Vice President, Global Corporate Responsibility & Risk Management, Verint Systems Inc.
~ Chief Privacy Leader and Senior IT & IP Counsel, GE Capital Corporation
~ Senior Vice President Compliance, Moody's Corporation
~ Vice President, Associate General Counsel & Chief Ethics Officer, CA, Inc.
Paul E. McGreal
~ Dean and Professor of Law, University of Dayton School of Law
~ Vice President, Ethics and Compliance, McLane Home Office
~ 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
New York City Seminar Location
PLI New York Center, 810 Seventh Avenue at 53rd Street (21st floor), New York, New York 10019. Message Center, program days only: (212) 824-5733.
New York City Hotel Accommodations
The New York Hilton & Towers, 1335 Avenue of the Americas, New York, NY 10019. 1 block from PLI Center. Reservations 1-800-HILTONS or, 1-877-NYC-HILT. Please mention that you are booking a room under the Practising Law Institute Corporate rate and the Client File # is N495741. Reservations on line at www.hilton.com and enter the same Client File # in the Corporate ID # field to access Practising Law Institute rates.
The Warwick New York Hotel, 65 West 54th Street New York, NY 10019. 1 block from PLI Center. Reservations 800-223-4099 or, hotel direct 212-247-2700. Please mention that you are booking a room under the Practising Law Institute Corporate rate. Reservations on line at www.warwickhotelny.com Click reservations in menu bar on left. Select desired dates. In 'Special Rates' drop down window select Corporate Rate. In 'Rate Code' enter PLIN. Click search and select desired room type and rate plan. Or, you may email reservation requests to: firstname.lastname@example.org.
PLI's live programs are approved in all states that require mandatory continuing legal education for attorneys, except Arizona. Please be sure to check with your state for details.
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Special Note: In New York, newly admitted attorneys may receive CLE credit only for attendance at "transitional" programs during their first two years of admission to the Bar. Non-traditional course formats such as on-demand web programs or recorded items, are not acceptable for CLE credit. Experienced attorneys may choose to attend and receive CLE credit for either a transitional course or for one geared to experienced attorneys. All product types, including on-demand web programs and recorded items, are approved for experienced attorneys.
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