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
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.
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.
Day One: 9:00 A.M. - 5:00 P.M.
Morning Session: 9:00a.m. - 12:30 p.m.
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
Moderator: Rebecca Walker
Jeffrey M. Kaplan, Steven Priest, Lori Martinez
Afternoon Session: 1:45 p.m. - 5:00 p.m.
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
Jeffrey M. Kaplan, 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
Day Two: 9:00 A.M. - 12:30 P.M.
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
Lauren A. Ferrari, Jack Holleran
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
Katharine H. Parker, Lewis Segall, Howard Sklar
12:15 Closing Remarks and Wrap Up
~ Senior Vice President Compliance, Moody's Corporation
Douglas M. Lankler
~ Executive Vice President, Chief Compliance and Risk Officer, Pfizer Inc.
~ Vice President, Global Compliance and Ethics, McKesson
Paul E. McGreal
~ Dean and Professor of Law, University of Dayton School of Law
~ Senior Counsel, Global Ethics and Compliance, Google Inc.
~ Chief Integrity Officer, New York City Human Resources Administration
~ VP- Compliance and Deputy General Counsel, Ingersoll Rand
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 0495741. You can also make reservations
online 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
Sheraton New York Hotel & Towers
, 811 7th Avenue, New York, NY 10019, 1-800-325-3535 or (212) 581-1000. When calling, please mention Practising Law Institute and mention SET#311155. You may also book online
PLI programs qualify for credit in all states that require mandatory continuing legal education for attorneys. Please be sure to check with your state and the credit calculator to the right 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. PLI programs may qualify for credit based on the requirements outlined in the MCLE Regulations and Ariz. R. Sup. Ct. Rule 45.
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.