Advanced Corporate Compliance and Ethics Workshop 2009

Overview

Why You Should Attend

The legal and regulatory landscape is becoming ever more complex. Enforcement is on the rise, while the financial crisis has resulted in many compliance and ethics budgets being reduced. At no time has promoting and maintaining an ethical corporate culture been as challenging, and as essential, for a company’s survival and success. How can you help your program survive - and even thrive - in these tough times?

At this practical, interactive Workshop, you will work with an expert faculty to explore best practices in preventing and detecting misconduct and examine the latest developments in compliance and ethics. You will help unravel the most complex, “real world” compliance issues and explore how to take your organization’s compliance and ethics program to the next level. 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

• Latest Developments in Compliance and Ethics
• How the Global Financial Crisis Has Influenced and Changed Compliance
• International Compliance and Third Party Risks - How Far Should Compliance Reach?
• The Evolving Role of the Board - Reporting to and Training the Board
• Issues in Employment Compliance
• Risk Assessments - The New Criteria
• Mini Trial: Compliance Officer Case Study

Who Should Attend

This Workshop is designed specifically for experienced compliance officers, attorneys and staff responsible for compliance and ethics program administration.

Special Features

Live Webcast - Simultaneous live webcast of the San Francisco session is available for individual viewing. Webcast participants will receive streaming audio and/or video of the program, view and print the Course Handbook, and have the ability to submit questions electronically.

For more information click on the Live Webcast link in the Related Items box.

Special Bonus to all Registrants

All attendees will receive a complimentary copy of PLI's comprehensive Course Handbook. This softcover, bound volume was written to augment the program and to stand alone as a permanent reference. PLI's Course Handbooks represent the definitive thinking of the nation's finest legal minds, and are often the standard reference in the field.

Please Note: Webcast attendees will receive a downloadable version of the Handbook one business day prior to the program.

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.

Schedule

Please plan to arrive with enough time to register before the conference begins. A networking breakfast will be available upon your arrival.

Day One: 9:00 a.m. - 4:45 p.m.

Morning Session: 9:00 a.m. - 12:30 p.m.

9:00  Opening Remarks and Introduction to Advanced Compliance and Ethics

Stephen R. Martin II, Rebecca Walker

9:15  Latest Developments in Compliance

• Federal Acquisition Regulations
• Recent case law and government guidance
• Deferred Prosecution Agreements
• EU regulations
• Global compliance issues

Professor Paul Fiorelli

10:15  Networking Break

10:30  Risk Assessment

• Defining risk in the new world of compliance
• Utilizing the results of training and other data
• Legal and regulatory guidance
• Building on enterprise-wide risk assessments
• Effective interview and other fact-gathering techniques
• Avoiding risks from risk assessments: Considering legal privilege, litigation, and other issues

Jose A. Tabuena, Matthew N. Tuchow

11:30  Creating an Ethical Corporate Culture and Best Practices in Training

• Impacting the elusive “Tone at the Top”
• Creative communication methods
• Effective training techniques
• Involving operations and other functions
• Codes of Conduct revisited

Theodore L. Banks, Jeremy Wilson

12:30  Luncheon Program: Keynote Address

Marc J. Fagel, Regional Director, San Francisco District Office, San Francisco Regional Office U.S. Securities and Exchange Commission

Afternoon Session: 1:30 p.m. - 4:45 p.m.

1:30  How the Financial Crisis Has Changed the Face of Compliance

• What is the role of the compliance officer?
• The impact of new regulations on compliance and ethics
• When budgets get cut - doing more with less

Melissa M. Allain, Deborah S. Prutzman

2:30  Networking Break

2:45  Responding to and Investigating Compliance Concerns

• Receipt of concerns
• When is an investigation needed?
• Guidelines for investigations
• When to bring in outside advisors
• Working through a hypothetical investigation

Sam Pailca, Carlos Singh

3:45  The Role of the Board in Compliance Programs

• What directors need to know: Getting them the important information
• Risk management for Boards
• Practical tips on training directors

Cheryl Fackler Hug, Rebecca Walker

4:45  Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00  Compliance Officer Case Study: Mini Trial

When put to the test, what would you be able to tell the government about your program? Subject yourself and your compliance program to cross-examination in this interactive session in which compliance officers are examined about various aspects of their programs. Learn how your program compares to others and explore how to deal with common challenges and obstacles.

Paula J. Desio, Jay C. Mumford, Sheryl Vacca

10:00  Issues in Employment Compliance

• Hiring - I-9 compliance, diversity
• Compensation - Wage and hour issues
• Engaging HR and business area management
• RIFs and compliance
• New and existing issues in current economic climates
• Avoiding potential litigation

Amii L. Barnard-Bahn, Theodora R. Lee

11:00  Networking Break

11:15  International Compliance and Third Party Risk: How Far Should Compliance Reach?

• Assessing third party risks
• Third party codes of conduct
• Policies and training for third parties
• Mitigating the risks of third party compliance requirements
• Avoiding international backlash
• Dealing with international anti-corruption laws and FCPA
• Helplines and investigations outside the U.S.
• Formulating your compliance message for an international audience
• Compliance failures seen in international SEC cases
• Compliance and corporate governance processes the regulators look for

Michael R. Levin, Georgia Saviola

12:30  Adjourn

Faculty

Co-Chair(s)

Stephen R. Martin II, Executive Director, Ethisphere Council
Rebecca Walker, Partner, Kaplan & Walker LLP

Speaker(s)

Melissa M. Allain, Attorney, Former Ethics Officer and General Counsel for Lawrence Livermore National Laboratory
Theodore L. Banks, President, Compliance & Competition Consultants, LLC; Counsel, Schoeman Updike Kaufman & Scharf LLP
Amii L. Barnard-Bahn, Compliance Officer, McKesson U.S. Pharmaceutical
Paula J. Desio
Cheryl Fackler Hug, Vice President, Associate General Counsel, Compliance, Hewlett Packard
Marc J. Fagel, Regional Director, San Francisco Regional Office, U.S. Securities and Exchange Commission, San Francisco District Office
Paul Fiorelli, Co-Director, Cintas Institute for Business Ethics, Xavier University
Theodora R. Lee, Littler Mendelson, P.C.
Michael R. Levin, Vice President, Supplier & Partner Solutions, Integrity Interactive Corp.
Jay C. Mumford, Ethics and Compliance Program Director, Accenture
Sam Pailca, Senior Attorney, Office of Legal Compliance, Investigations, Office of the General Counsel, Microsoft Corporation
Deborah S. Prutzman, Chief Executive Officer, The Regulatory Fundamentals Group LLC
Georgia Saviola, Counsel, Occidental Petroleum Corporation
Carlos Singh, Senior Manager, Fraud Investigation & Dispute Services, Ernst & Young LLP
Jose A. Tabuena, Senior Vice President of Governance and Compliance, PhyServe Physician Services, Inc.
Matthew N. Tuchow, VP, Global Compliance and Ethics and Assistant General Counsel, McKesson Corporation
Sheryl Vacca, Senior Vice President/Chief Compliance and Audit Services, University of California
Jeremy Wilson, Senior Manager, Ethics Office, Cisco Systems, Inc.

Program Attorney(s)

Meghan C. Forgione, Practising Law Institute

CLE Credit

Travel Information

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.