Why you should attend
Never in the history of criminal or corporate law has the existence of an effective compliance and ethics program been more valuable to an organization. The enormity of recent criminal fines, the aggressive enforcement of criminal laws against organizations, the extent to which criminal authorities around the world are working together, the risks of civil liability, and the startling speed of communication and the attendant transparency of corporate conduct have together created an environment where the misconduct of employees is more harmful to organizations than ever before. Compliance and ethics programs have become a necessary tool to manage the substantial risks posed by employee misconduct and to assist organizations in grappling with violations when they occur.
Of course, economic conditions continue to create a host of challenges for compliance programs, but they have not diminished government expectations. Indeed, at no time has promoting and maintaining an ethical corporate culture been as challenging and as essential for a company’s survival and success as it is today. At the Advanced Compliance and Ethics Workshop
, a distinguished faculty, drawn from major corporations, ethics organizations, law firms, academia, and the government, will give you the tools you need to advance an effective compliance and ethics program. The 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 the rigorous new standards. Learn about the latest and greatest in the areas of risk assessment, program structure and management, compliance and ethics training and other communications, auditing and monitoring, helpline procedures and implementation, and how to keep senior management and the board informed about and supportive of the program.
What you will learn
- Measuring the health of your program: ways to give your program a check-up
- How to satisfy the revisions to the Sentencing Guidelines’ definition of an effective compliance and ethics program
- Implications of the whistleblower provisions of the Dodd-Frank Act
- The UK Bribery Act, the OECD’s compliance program guidance and other critical international developments
- Recent developments in compliance and ethics, including Delaware case law on the Board’s duties of oversight and higher expectations for reporting on and documenting your program
- Do more with less - adding value to your program despite budgetary constraints
- How to conduct and design compliance risk assessments to obtain the most valuable information
- Creating a training and communications strategy that meets your organization’s needs but doesn’t break your budget
- How to perform effective compliance audits
Who should attend
This Workshop is designed specifically for experienced compliance officers and other compliance professionals, and attorneys and staff with compliance program responsibilities.
Day One: 9:00 a.m. - 5:00 p.m.
Morning Session: 9:00 a.m. - 12:30 p.m.
9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
9:15 Recent Developments and What to Expect in 2013 and Beyond
- UK Bribery Act, FCPA enforcement and other anti-corruption compliance developments
- Significant whistleblower cases
- Learnings from recent case law
- The latest guidance from deferred prosecution agreements and other settlements
- Other regulatory standards and guidance
Paul E. McGreal
A. Program Structure
10:15 Management and Oversight of Compliance Programs
- 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
Bob Frisbee, Michael McLaughlin
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
Nancy McCready Higgins, Kathy Rehmer
12:30 Luncheon Presentation
Marc Fagel, Regional Director, SEC, San Francisco Regional Office
Afternoon Session: 1:45 p.m. - 5:00 p.m.
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
C. Program Assessment
- Best practices in compliance auditing
- Working with Internal Audit
- How to test if your program is working
- Using metrics to advance your program
Lupe C. Garcia, Sheryl Vacca
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
Wendy A. Hallgren, Therese Lee
3:45 Networking Break
4:00 Global Programs and Concerns
- How to avoid having your program be too “US-centric”
- Effective global compliance program structures
- Compliance practices that resonate around the world
- Helplines and investigations around the globe
Maura Brady Sharp, Harvey Woodford
Day Two: 9:00 a.m. - 12:30 p.m.
Morning Session: 9:00 a.m. - 12:30 p.m.
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
David Deitchman, Matt Tuchow
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
Andrew J. Hinton, William H. Kimball
11:15 Networking Break
11:30 Conflicts of Interest and Gifts and Entertainment: Risks and Compliance Measures
- Drafting workable policies
- Approval procedures
- Questionnaires and certifications
- Balancing competing interests
Larry Parsons, Rebecca Walker
~ Vice President and Associate General Counsel, Corporate Compliance, Hewlett-Packard Company
Marc J Fagel
~ Regional Director, San Francisco Regional Office, US Securities and Exchange Commission
~ Associate General Counsel, Compliance, Gap Inc.
Andrew J. Hinton
~ Associate General Counsel and Chief Compliance Officer, Google Inc.
~ Global Ethics & Compliance Counsel, Google Inc.
Paul E. McGreal
~ Dean and Professor of Law, University of Dayton School of Law
Larry M. Parsons
~ Former Vice President and Chief Ethics and Compliance Officer, Freescale Semiconductor, Inc.
Maura Brady Sharp
~ Director of International Legal Affairs and Senior Managing Counsel, JC Penney Purchasing Corporation
~ Senior Vice President, Global Compliance & Ethics, and Assistant General Counsel, McKesson Corporation
~ Senior Vice President/Chief Compliance and Audit Services, University of California
San Francisco Seminar Location
PLI California Center, 685 Market Street, San Francisco, California 94105. (415) 498-2800.
San Francisco Hotel Accommodations
The Palace Hotel, 2 New Montgomery Street, San Francisco, California 94105. Call (800) 917-7456 seven days a week from 6:00 am to 12:00 am (PDT) and mention you are attending this program at Practising Law Institute to receive the preferred rate. For online reservations, go to www.sfpalace.com/pli to receive the preferred rate.
Due to high demand we recommend reserving hotel rooms as early as possible.
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.
Please check the CLE Calculator above each product description for CLE information specific to your state.
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.
Please note: The State Bar of Arizona does not approve or accredit CLE activities for the Mandatory Continuing Legal Education requirement.
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.
Credit will be granted only to the individual on record as the purchaser unless alternative arrangements (prearranged groupcast) are made in advance.