Seminar  Program

Advanced Compliance and Ethics Workshop 2017


Select a Location:

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.

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Jeffrey M. Kaplan



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Joseph E. Murphy



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Rachel L. Gerstein, Stephen C. King



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Lauren A. Ferrari, Matthew B. Pachman



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Hui Chen

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Brian J. Fields, Jack Radke



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Jacqueline E. Brevard, Rachel Honig



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Michael S. Diamant, Michael Sevi



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Joel H. Katz, Steven Priest



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Lee D. Augsburger, Kathleen Roth



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Stacey Babson-Smith, Jeffrey M. Kaplan



12:30 Adjourn

Co-Chair(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Speaker(s)
Lee D. Augsburger ~ SVP, Chief Ethics & Compliance Officer , Prudential Financial
Stacey Babson-Smith ~ Vice-President, Chief Ethics & Compliance Officer, Terex Corporation
Jacqueline E. Brevard, JD/LLM ~ Senior Advisor, GEC Risk Advisory LLC
Hui Chen ~ Former Compliance Counsel Expert, U.S. Department of Justice
Michael S. Diamant ~ Gibson, Dunn & Crutcher LLP
Lauren A. Ferrari ~ Global Compliance Excellence Lead, Nokia
Brian J. Fields ~ Chief Ethics & Compliance Officer, Structure Tone
Rachel L. Gerstein ~ Executive Director, Senior Comliance Counsel, E&C Training & Communications, Avon Products, Inc.
Rachael Honig ~ Corporate Counsel, Litigation, Celgene Corporation
Joel Katz ~ Senior Vice-President, Chief Ethics & Compliance Officer, CA Technologies
Stephen C. King ~ Group Head/Senior Vice-President, Mastercard
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Matthew Pachman ~ Chief Risk & Compliance Officer, FTI Consulting, Inc.
Steven Priest ~ President, Integrity Insight International, LLC
Jack W. Radke ~ Chief Ethics and Compliance Officer, Owens-Illinois
Kathleen E. Roth ~ General Counsel - Compliance & International, Bridgestone Americas Holding
Michael Sevi ~ Deputy Chief Compliance Officer, Marsh & McLennan Companies
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute

New York City Seminar Location

PLI New York Center
, 1177 Avenue of the Americas, (2nd floor), entrance on 45th Street, New York, New York 10036. (800) 260-4754.

New York City Hotel Accommodations

Crowne Plaza Times Square Manhattan, 1605 Broadway (at 48th Street), New York, NY 10019 (212) 977-4000. When calling, mention Practising Law Institute. You can also make reservations online to access PLI's rates.

The Muse, 130 West 46th Street, New York, NY 10036. Please call reservations at 1-800-546-7866. When calling, please mention Practising Law Institute and rate code PLII. You can also Book Online- Kimpton.

Millennium Broadway Hotel, 145 West 44th Street, New York, NY 10036. Please call reservations at 1-800-622-5569. When calling, please mention Practising Law Institute. You can also book online.

Hyatt Times Square, 135 W. 45th Street, New York, NY 10036. For reservations, please call (646) 364-1234. When calling mention rate code CR56218 or Practising Law Institute.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live seminars qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Illinois: All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Iowa:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Kansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Louisiana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Maine:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Minnesota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Mississippi:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Missouri:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Montana:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nebraska:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Nevada:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Hampshire:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Jersey:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New Mexico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live seminars can be used to fulfill the requirements for newly admitted attorneys. All credit categories may be earned via transitional live seminars.

North Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars

North Dakota:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Ohio:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oklahoma:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Puerto Rico:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Rhode Island:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

South Carolina:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Tennessee:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Vermont:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live seminars qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

West Virginia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wisconsin:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Wyoming:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live seminars qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live seminars qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC): PLI’s live seminars can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live seminars qualify as “live” credit. There is no limit to the number of points an attorney can earn via live seminars.

United Kingdom (CPD-UK):  PLI’s live seminars can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live seminars qualify as “live” credit in all Australian jurisdictions. There is no limit to the number of credits an attorney can earn via live seminars.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE): PLI’s live seminars may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live seminars may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live seminars may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live seminars may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live seminars qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live seminars qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live seminars may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live seminars may fulfill SW CPE credit requirements.

 

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Jeffrey M. Kaplan



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Joseph E. Murphy



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Rachel L. Gerstein, Stephen C. King



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Lauren A. Ferrari, Matthew B. Pachman



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Hui Chen

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Brian J. Fields, Jack Radke



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Jacqueline E. Brevard, Rachel Honig



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Michael S. Diamant, Michael Sevi



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Joel H. Katz, Steven Priest



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Lee D. Augsburger, Kathleen Roth



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Stacey Babson-Smith, Jeffrey M. Kaplan



12:30 Adjourn

Co-Chair(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Speaker(s)
Lee D. Augsburger ~ SVP, Chief Ethics & Compliance Officer , Prudential Financial
Stacey Babson-Smith ~ Vice-President, Chief Ethics & Compliance Officer, Terex Corporation
Jacqueline E. Brevard, JD/LLM ~ Senior Advisor, GEC Risk Advisory LLC
Hui Chen ~ Former Compliance Counsel Expert, U.S. Department of Justice
Michael S. Diamant ~ Gibson, Dunn & Crutcher LLP
Lauren A. Ferrari ~ Global Compliance Excellence Lead, Nokia
Brian J. Fields ~ Chief Ethics & Compliance Officer, Structure Tone
Rachel L. Gerstein ~ Executive Director, Senior Comliance Counsel, E&C Training & Communications, Avon Products, Inc.
Rachael Honig ~ Corporate Counsel, Litigation, Celgene Corporation
Joel Katz ~ Senior Vice-President, Chief Ethics & Compliance Officer, CA Technologies
Stephen C. King ~ Group Head/Senior Vice-President, Mastercard
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Matthew Pachman ~ Chief Risk & Compliance Officer, FTI Consulting, Inc.
Steven Priest ~ President, Integrity Insight International, LLC
Jack W. Radke ~ Chief Ethics and Compliance Officer, Owens-Illinois
Kathleen E. Roth ~ General Counsel - Compliance & International, Bridgestone Americas Holding
Michael Sevi ~ Deputy Chief Compliance Officer, Marsh & McLennan Companies
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered. If two or more individuals wish to participate in a webcast and receive credit, PLI would be happy to provide a Groupcast – group viewing of a webcast. To schedule a Groupcast, please contact PLI at groupcasts@pli.edu.


U.S. MCLE States

Alabama:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live webcasts qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

California:  PLI’s live webcasts qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live webcasts qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live webcasts qualify as “in-house” credit. Attorneys are limited to 6 in-house credits per reporting period.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live webcasts qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kansas:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Kentucky:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Louisiana:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

Maine:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Minnesota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Mississippi:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Montana:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Nebraska:  PLI’s live webcasts qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Hampshire:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New Jersey:  PLI’s live webcasts qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live webcasts can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live webcasts. Skills credits may not be earned via live webcasts.

North Carolina:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

North Dakota:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Ohio:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Oklahoma:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Puerto Rico:  PLI’s live webcasts qualify as “non-traditional” credit. Attorneys are limited to 8 credits of non-traditional programs per reporting period.

Rhode Island:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

South Carolina:  PLI’s live webcasts qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live webcasts qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live webcasts qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

West Virginia:  PLI’s live webcasts qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

Wyoming:  PLI’s live webcasts qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live webcasts.

CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live webcasts qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live webcasts qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live webcasts can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live webcasts qualify as “distance learning” credit. Attorneys are limited to 15 points of distance learning programs per reporting period.

United Kingdom (CPD-UK):  PLI’s live webcasts can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live webcasts may fulfill Australia’s CPD requirements. Credit limits for live webcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as “Group-Internet-Based” (GIB) credit.

IRS Continuing Education (IRS-CE):  PLI’s live webcasts may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live webcasts may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live webcasts may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live webcasts may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live webcasts qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live webcasts qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live programs.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live webcasts may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live webcasts may fulfill SW CPE credit requirements.

 

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Jeffrey M. Kaplan



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Joseph E. Murphy



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Rachel L. Gerstein, Stephen C. King



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Lauren A. Ferrari, Matthew B. Pachman



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Hui Chen

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Brian J. Fields, Jack Radke



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Jacqueline E. Brevard, Rachel Honig



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Michael S. Diamant, Michael Sevi



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Joel H. Katz, Steven Priest



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Lee D. Augsburger, Kathleen Roth



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Stacey Babson-Smith, Jeffrey M. Kaplan



12:30 Adjourn

Co-Chair(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Speaker(s)
Lee D. Augsburger ~ SVP, Chief Ethics & Compliance Officer , Prudential Financial
Stacey Babson-Smith ~ Vice-President, Chief Ethics & Compliance Officer, Terex Corporation
Jacqueline E. Brevard, JD/LLM ~ Senior Advisor, GEC Risk Advisory LLC
Hui Chen ~ Former Compliance Counsel Expert, U.S. Department of Justice
Michael S. Diamant ~ Gibson, Dunn & Crutcher LLP
Lauren A. Ferrari ~ Global Compliance Excellence Lead, Nokia
Brian J. Fields ~ Chief Ethics & Compliance Officer, Structure Tone
Rachel L. Gerstein ~ Executive Director, Senior Comliance Counsel, E&C Training & Communications, Avon Products, Inc.
Rachael Honig ~ Corporate Counsel, Litigation, Celgene Corporation
Joel Katz ~ Senior Vice-President, Chief Ethics & Compliance Officer, CA Technologies
Stephen C. King ~ Group Head/Senior Vice-President, Mastercard
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Matthew Pachman ~ Chief Risk & Compliance Officer, FTI Consulting, Inc.
Steven Priest ~ President, Integrity Insight International, LLC
Jack W. Radke ~ Chief Ethics and Compliance Officer, Owens-Illinois
Kathleen E. Roth ~ General Counsel - Compliance & International, Bridgestone Americas Holding
Michael Sevi ~ Deputy Chief Compliance Officer, Marsh & McLennan Companies
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute

Philadelphia Groupcast Location

Pennsylvania Bar Institute, The CLE Conference Center, Wanamaker Building, 10th floor, Suite 1010, Center City Philadelphia (Juniper St. entrance, between 13th & Broad Sts., opposite City Hall). (800) 932-4637. Click here for directions.

Philadelphia Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Marriott Residence Inn

Ritz Carlton

Loews Philadelphia

Philadelphia Marriott Downtown

Hilton Garden Inn

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Jeffrey M. Kaplan



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Joseph E. Murphy



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Rachel L. Gerstein, Stephen C. King



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Lauren A. Ferrari, Matthew B. Pachman



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Hui Chen

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Brian J. Fields, Jack Radke



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Jacqueline E. Brevard, Rachel Honig



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Michael S. Diamant, Michael Sevi



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Joel H. Katz, Steven Priest



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Lee D. Augsburger, Kathleen Roth



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Stacey Babson-Smith, Jeffrey M. Kaplan



12:30 Adjourn

Co-Chair(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Speaker(s)
Lee D. Augsburger ~ SVP, Chief Ethics & Compliance Officer , Prudential Financial
Stacey Babson-Smith ~ Vice-President, Chief Ethics & Compliance Officer, Terex Corporation
Jacqueline E. Brevard, JD/LLM ~ Senior Advisor, GEC Risk Advisory LLC
Hui Chen ~ Former Compliance Counsel Expert, U.S. Department of Justice
Michael S. Diamant ~ Gibson, Dunn & Crutcher LLP
Lauren A. Ferrari ~ Global Compliance Excellence Lead, Nokia
Brian J. Fields ~ Chief Ethics & Compliance Officer, Structure Tone
Rachel L. Gerstein ~ Executive Director, Senior Comliance Counsel, E&C Training & Communications, Avon Products, Inc.
Rachael Honig ~ Corporate Counsel, Litigation, Celgene Corporation
Joel Katz ~ Senior Vice-President, Chief Ethics & Compliance Officer, CA Technologies
Stephen C. King ~ Group Head/Senior Vice-President, Mastercard
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Matthew Pachman ~ Chief Risk & Compliance Officer, FTI Consulting, Inc.
Steven Priest ~ President, Integrity Insight International, LLC
Jack W. Radke ~ Chief Ethics and Compliance Officer, Owens-Illinois
Kathleen E. Roth ~ General Counsel - Compliance & International, Bridgestone Americas Holding
Michael Sevi ~ Deputy Chief Compliance Officer, Marsh & McLennan Companies
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute
Ice Miller LLP, One American Square, Suite 2900, Indianapolis, IN 46282

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Jeffrey M. Kaplan



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Joseph E. Murphy



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Rachel L. Gerstein, Stephen C. King



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Lauren A. Ferrari, Matthew B. Pachman



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Hui Chen

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Brian J. Fields, Jack Radke



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Jacqueline E. Brevard, Rachel Honig



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Michael S. Diamant, Michael Sevi



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Joel H. Katz, Steven Priest



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Lee D. Augsburger, Kathleen Roth



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Stacey Babson-Smith, Jeffrey M. Kaplan



12:30 Adjourn

Co-Chair(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Speaker(s)
Lee D. Augsburger ~ SVP, Chief Ethics & Compliance Officer , Prudential Financial
Stacey Babson-Smith ~ Vice-President, Chief Ethics & Compliance Officer, Terex Corporation
Jacqueline E. Brevard, JD/LLM ~ Senior Advisor, GEC Risk Advisory LLC
Hui Chen ~ Former Compliance Counsel Expert, U.S. Department of Justice
Michael S. Diamant ~ Gibson, Dunn & Crutcher LLP
Lauren A. Ferrari ~ Global Compliance Excellence Lead, Nokia
Brian J. Fields ~ Chief Ethics & Compliance Officer, Structure Tone
Rachel L. Gerstein ~ Executive Director, Senior Comliance Counsel, E&C Training & Communications, Avon Products, Inc.
Rachael Honig ~ Corporate Counsel, Litigation, Celgene Corporation
Joel Katz ~ Senior Vice-President, Chief Ethics & Compliance Officer, CA Technologies
Stephen C. King ~ Group Head/Senior Vice-President, Mastercard
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Matthew Pachman ~ Chief Risk & Compliance Officer, FTI Consulting, Inc.
Steven Priest ~ President, Integrity Insight International, LLC
Jack W. Radke ~ Chief Ethics and Compliance Officer, Owens-Illinois
Kathleen E. Roth ~ General Counsel - Compliance & International, Bridgestone Americas Holding
Michael Sevi ~ Deputy Chief Compliance Officer, Marsh & McLennan Companies
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute

Pittsburgh Groupcast Location

Pennsylvania Bar Institute, Professional Development Conference Center, 339 Sixth Avenue, Suite 760, Pittsburgh, Pennsylvania 15222-2517. (412) 802-2300. Click Here for Directions

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Jeffrey M. Kaplan



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Joseph E. Murphy



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Rachel L. Gerstein, Stephen C. King



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Lauren A. Ferrari, Matthew B. Pachman



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Hui Chen

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Brian J. Fields, Jack Radke



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Jacqueline E. Brevard, Rachel Honig



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Michael S. Diamant, Michael Sevi



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Joel H. Katz, Steven Priest



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Lee D. Augsburger, Kathleen Roth



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Stacey Babson-Smith, Jeffrey M. Kaplan



12:30 Adjourn

Co-Chair(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Speaker(s)
Lee D. Augsburger ~ SVP, Chief Ethics & Compliance Officer , Prudential Financial
Stacey Babson-Smith ~ Vice-President, Chief Ethics & Compliance Officer, Terex Corporation
Jacqueline E. Brevard, JD/LLM ~ Senior Advisor, GEC Risk Advisory LLC
Hui Chen ~ Former Compliance Counsel Expert, U.S. Department of Justice
Michael S. Diamant ~ Gibson, Dunn & Crutcher LLP
Lauren A. Ferrari ~ Global Compliance Excellence Lead, Nokia
Brian J. Fields ~ Chief Ethics & Compliance Officer, Structure Tone
Rachel L. Gerstein ~ Executive Director, Senior Comliance Counsel, E&C Training & Communications, Avon Products, Inc.
Rachael Honig ~ Corporate Counsel, Litigation, Celgene Corporation
Joel Katz ~ Senior Vice-President, Chief Ethics & Compliance Officer, CA Technologies
Stephen C. King ~ Group Head/Senior Vice-President, Mastercard
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Matthew Pachman ~ Chief Risk & Compliance Officer, FTI Consulting, Inc.
Steven Priest ~ President, Integrity Insight International, LLC
Jack W. Radke ~ Chief Ethics and Compliance Officer, Owens-Illinois
Kathleen E. Roth ~ General Counsel - Compliance & International, Bridgestone Americas Holding
Michael Sevi ~ Deputy Chief Compliance Officer, Marsh & McLennan Companies
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute

Mechanicsburg Groupcast Location

Pennsylvania Bar Institute, 5080 Ritter Rd., Mechanicsburg PA 17055, (800) 932-4637. Click here for directions.

Mechanicsburg Groupcast Hotel Accommodations

Below is a list of hotel accommodations suggested by the Pennsylvania Bar Institute:

Hampton Inn Harrisburg-West, 4950 Ritter Road, Mechanicsburg, Pennsylvania, USA 17055. Tel: 717-691-1300. Fax: 717-691-9692.

Homewood Suites by Hilton® Harrisburg-West Hershey Area, 5001 Ritter Road, Mechanicsburg, Pennsylvania, United States 17055. Tel: 1-717-697-4900. Fax: 1-717-697-9101.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Jeffrey M. Kaplan



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Joseph E. Murphy



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Rachel L. Gerstein, Stephen C. King



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Lauren A. Ferrari, Matthew B. Pachman



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Hui Chen

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Brian J. Fields, Jack Radke



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Jacqueline E. Brevard, Rachel Honig



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Michael S. Diamant, Michael Sevi



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Joel H. Katz, Steven Priest



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Lee D. Augsburger, Kathleen Roth



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Stacey Babson-Smith, Jeffrey M. Kaplan



12:30 Adjourn

Co-Chair(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Speaker(s)
Lee D. Augsburger ~ SVP, Chief Ethics & Compliance Officer , Prudential Financial
Stacey Babson-Smith ~ Vice-President, Chief Ethics & Compliance Officer, Terex Corporation
Jacqueline E. Brevard, JD/LLM ~ Senior Advisor, GEC Risk Advisory LLC
Hui Chen ~ Former Compliance Counsel Expert, U.S. Department of Justice
Michael S. Diamant ~ Gibson, Dunn & Crutcher LLP
Lauren A. Ferrari ~ Global Compliance Excellence Lead, Nokia
Brian J. Fields ~ Chief Ethics & Compliance Officer, Structure Tone
Rachel L. Gerstein ~ Executive Director, Senior Comliance Counsel, E&C Training & Communications, Avon Products, Inc.
Rachael Honig ~ Corporate Counsel, Litigation, Celgene Corporation
Joel Katz ~ Senior Vice-President, Chief Ethics & Compliance Officer, CA Technologies
Stephen C. King ~ Group Head/Senior Vice-President, Mastercard
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Matthew Pachman ~ Chief Risk & Compliance Officer, FTI Consulting, Inc.
Steven Priest ~ President, Integrity Insight International, LLC
Jack W. Radke ~ Chief Ethics and Compliance Officer, Owens-Illinois
Kathleen E. Roth ~ General Counsel - Compliance & International, Bridgestone Americas Holding
Michael Sevi ~ Deputy Chief Compliance Officer, Marsh & McLennan Companies
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute
New Jersey Groupcast Location

New Jersey Institute for Continuing Legal Education, One Constitution Square, New Brunswick, NJ 08901-1520. 732-249-5100.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Jeffrey M. Kaplan



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Joseph E. Murphy



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Rachel L. Gerstein, Stephen C. King



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Lauren A. Ferrari, Matthew B. Pachman



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Hui Chen

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Brian J. Fields, Jack Radke



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Jacqueline E. Brevard, Rachel Honig



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Michael S. Diamant, Michael Sevi



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Joel H. Katz, Steven Priest



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Lee D. Augsburger, Kathleen Roth



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Stacey Babson-Smith, Jeffrey M. Kaplan



12:30 Adjourn

Co-Chair(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Speaker(s)
Lee D. Augsburger ~ SVP, Chief Ethics & Compliance Officer , Prudential Financial
Stacey Babson-Smith ~ Vice-President, Chief Ethics & Compliance Officer, Terex Corporation
Jacqueline E. Brevard, JD/LLM ~ Senior Advisor, GEC Risk Advisory LLC
Hui Chen ~ Former Compliance Counsel Expert, U.S. Department of Justice
Michael S. Diamant ~ Gibson, Dunn & Crutcher LLP
Lauren A. Ferrari ~ Global Compliance Excellence Lead, Nokia
Brian J. Fields ~ Chief Ethics & Compliance Officer, Structure Tone
Rachel L. Gerstein ~ Executive Director, Senior Comliance Counsel, E&C Training & Communications, Avon Products, Inc.
Rachael Honig ~ Corporate Counsel, Litigation, Celgene Corporation
Joel Katz ~ Senior Vice-President, Chief Ethics & Compliance Officer, CA Technologies
Stephen C. King ~ Group Head/Senior Vice-President, Mastercard
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Matthew Pachman ~ Chief Risk & Compliance Officer, FTI Consulting, Inc.
Steven Priest ~ President, Integrity Insight International, LLC
Jack W. Radke ~ Chief Ethics and Compliance Officer, Owens-Illinois
Kathleen E. Roth ~ General Counsel - Compliance & International, Bridgestone Americas Holding
Michael Sevi ~ Deputy Chief Compliance Officer, Marsh & McLennan Companies
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute
Cleveland Groupcast Location

The Cleveland Metropolitan Bar Association, 1375 E. 9th Street – Floor 2, Cleveland, Ohio 44114. 216-696-2404.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Jeffrey M. Kaplan



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Joseph E. Murphy



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Rachel L. Gerstein, Stephen C. King



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Lauren A. Ferrari, Matthew B. Pachman



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Hui Chen

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Brian J. Fields, Jack Radke



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Jacqueline E. Brevard, Rachel Honig



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Michael S. Diamant, Michael Sevi



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Joel H. Katz, Steven Priest



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Lee D. Augsburger, Kathleen Roth



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Stacey Babson-Smith, Jeffrey M. Kaplan



12:30 Adjourn

Co-Chair(s)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Speaker(s)
Lee D. Augsburger ~ SVP, Chief Ethics & Compliance Officer , Prudential Financial
Stacey Babson-Smith ~ Vice-President, Chief Ethics & Compliance Officer, Terex Corporation
Jacqueline E. Brevard, JD/LLM ~ Senior Advisor, GEC Risk Advisory LLC
Hui Chen ~ Former Compliance Counsel Expert, U.S. Department of Justice
Michael S. Diamant ~ Gibson, Dunn & Crutcher LLP
Lauren A. Ferrari ~ Global Compliance Excellence Lead, Nokia
Brian J. Fields ~ Chief Ethics & Compliance Officer, Structure Tone
Rachel L. Gerstein ~ Executive Director, Senior Comliance Counsel, E&C Training & Communications, Avon Products, Inc.
Rachael Honig ~ Corporate Counsel, Litigation, Celgene Corporation
Joel Katz ~ Senior Vice-President, Chief Ethics & Compliance Officer, CA Technologies
Stephen C. King ~ Group Head/Senior Vice-President, Mastercard
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Matthew Pachman ~ Chief Risk & Compliance Officer, FTI Consulting, Inc.
Steven Priest ~ President, Integrity Insight International, LLC
Jack W. Radke ~ Chief Ethics and Compliance Officer, Owens-Illinois
Kathleen E. Roth ~ General Counsel - Compliance & International, Bridgestone Americas Holding
Michael Sevi ~ Deputy Chief Compliance Officer, Marsh & McLennan Companies
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute
Atlanta Groupcast Location

Atlanta Bar Association, 400 International Tower, 229 Peachtree Street, NE, Atlanta, GA 30303-1601. (404) 521-0781.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

California:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Hawaii:  All PLI products can fulfill Hawaii’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Idaho:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Illinois:  All PLI products can fulfill Illinois' CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Indiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Iowa:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Kansas:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live programs.

Kentucky:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Louisiana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Maine:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Minnesota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Mississippi:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Montana:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nebraska:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Nevada:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Hampshire:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New Jersey:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can be used to fulfill the requirements for New York newly admitted attorneys. Ethics credit, professional practice credit, and law practice management credit may be earned via transitional live groupcasts. Skills credits may not be earned via live groupcasts.

North Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

North Dakota:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Ohio:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oklahoma:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Oregon:  All PLI products can fulfill Oregon’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Pennsylvania:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Puerto Rico:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Rhode Island:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

South Carolina:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Tennessee:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live interactive” credit. There is no limit to the number of credits an attorney can earn via live interactive programs.

Washington:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

West Virginia:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wisconsin:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.

Wyoming:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live groupcasts.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “real-time” credit. There is no limit to the number of credits an attorney can earn via real-time programs.

Ontario (CPD-ON):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “interactive” credit. There is no limit to the number of credits an attorney can earn via interactive programs.

Quebec (CPD-QC):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” credit. There is no limit to the number of points an attorney can earn via live groupcasts.

United Kingdom (CPD-UK):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Australia’s CPD requirements. Credit limits for live groupcasts vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “Group-Live delivery” credit.

IRS Continuing Education (IRS-CE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as "instructor-led" credit. There is no limit to the number of credits an SHRM professional can earn via instructor-led programs.

Compliance Certification Board (CCB):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as “live” training events. There is no limit to the number of credits a candidate or certification holder can earn via live groupcasts.

Certified Anti-Money Laundering Specialists (CAMS):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CAMS credit requirements.

New York State Social Worker Continuing Education (SW CPE):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill SW CPE credit requirements.

 

Why You Should Attend
Having an effective compliance and ethics program is essential to companies of all types.    Such programs are a necessary tool to manage the substantial risks posed by employee and third party misconduct.  Compliance and ethics programs also help mitigate the harm from violations when they occur.  Companies that achieve success in this realm minimize the likelihood of devastating criminal and regulatory sanctions and reap the rewards of employee loyalty and customer and shareholder trust.
At this Workshop, attendees will learn about leading compliance and ethics practices from faculty drawn from major corporations, law firms, academia, and the government. Our distinguished faculty will provide you with the tools you need to advance your program and further your professional development.

What You Will Learn 
• Use the new legal standards and guidance to enhance your program
• Design and conduct effective compliance risk assessments
• Create a risk-based training and communications strategy
• Develop tools to structure your program with independence, reach and clout
• Structure effective systems to receive, investigate, manage and escalate allegations
• Perform effective compliance audits and assessments
• Effectively report to the Board and senior management

Special Features
Luncheon Speaker: Hui Chen, Compliance Counsel Expert, U.S. Department of Justice (New York Only) 

Who Should Attend
This Workshop is designed specifically for experienced compliance officers, human resources professionals, in-house and law firm attorneys working in the compliance field and staff responsible for compliance program management.


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.

Day One: 9:00 a.m. - 5:00 p.m.

9:00 The Elements and Characteristics of an Effective Compliance and Ethics Program
  • The essential elements of an effective program 
  • Critical program attributes
  • Overview of the conference

Rebecca Walker



9:15 Recent Compliance Developments and What to Expect in 2017 and Beyond
  • The latest guidance from the Department of Justice and deferred prosecution agreements
  • Significant whistleblower updates
  • Lessons from recent case law, including lawsuits against directors and officers
  • Anti-corruption, NLRB, and other regulatory standards and guidance
  • Changes under the Trump administration

Paul E. McGreal



10:15 Compliance Program Structure and Oversight

A. Program Management and Structure

  • Positioning the Compliance Officer for appropriate independence and authority 
  • Leveraging relationships with HR, Internal Audit, Security and other functions 
  • Compliance committees, teams, liaisons and networks

B. Board Oversight

  • Helping your Board help you create and maintain a robust program 
  • The relationship between the chief compliance officer and the Board 
  • Reporting to the Board 
  • Escalation protocols

Amii L. Barnard-Bahn, Sean R. Coutain, Andrew McBride



11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding and Mitigating Your Compliance Risks
  • Efficient and practical risk assessment practices 
  • Tying the results to mitigation plans and other program improvements 
  • Reporting on and documenting your risk assessment 
  • Interplay of compliance and other types of risk 

Darek Kochman, Monica Reinmiller, David Wong



12:30 Networking Lunch

1:00 Luncheon Segment: The Government’s Perspective on Effective C&E Programs
Jina L. Choi

1:45 Compliance Codes, Training and Communication
  • Designing, revising and disseminating effective codes of conduct 
  • Training approaches that are effective and stay fresh over time 
  • Training managers and senior leadership 
  • Measuring the impact of training 
  • Planning for and disseminating effective compliance communications 
(HRCI Credit for Human Resources Professionals)

Ravi Inthiran, Lorraine E. Waller



2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations
  • Helpline and investigation protocols 
  • Communicating with employees and others about reporting and investigations 
  • Best practices in conducting investigations, including maintaining independence and confidentiality 
  • When to use external resources for investigations 
  • Combatting the fear of retaliation 
  • Challenges in meting out discipline for violations 
(HRCI Credit for Human Resources Professionals)

Pamela R. Davis, Sam Pailca



3:45 Networking Break

4:00 Conflicts of Interest, Corruption and Compliance Risks

Explore compliance risks and controls related to two of the higher-risk compliance areas

  • Conflicts of Interest 
  1. Drafting workable policies and creating effective training 
  2. Questionnaires, certifications and approval procedures 
  3. Auditing and monitoring for conflicts 
  • Corruption
  1. Assessing your organization’s corruption risks
  2. Policies, training and communications
  3. Due diligence and other third-party controls
(HRCI Credit for Human Resources Professionals)

Brian J. Bartow, Jay C. Mumford



5:00 Adjourn

Day Two: 9:00 a.m. - 12:30 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance
  • Compliance and HR (due diligence in hiring, incentive programs, promotions, etc.)
  • Tone at the top – and the middle 
  • Speak-up cultures 
  • “Organizational justice” 
  • Methodologies to measure ethical culture 
  • Positive and negative incentives 
(HRCI Credit for Human Resources Professionals)

Lance Lanciault,  Lewis Zirogiannis



10:00 Global Compliance Programs
  • Helplines and investigations around the globe
  • How to avoid a “U.S.-centric” program 
  • Contending with employment and privacy laws outside the United States 
  • Strong compliance cultures that transcend national borders 
  • Training and communicating with employees and third parties around the globe 
(HRCI Credit for Human Resources Professionals)

Heather Axe, Daniel Seltzer



11:15 Networking Break

11:30 Compliance Program Auditing, Metrics and Assessment
  • Assessment methodologies 
  • Compliance auditing and monitoring 
  • “Deep dives” assessments 
  • Using metrics to advance your program 

Katy Collins, Alan W. Gibson



12:30 Adjourn

Chairperson(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Heather Axe ~ Associate General Counsel, Korn Ferry
Amii L. Barnard-Bahn ~ Principal, Barnard-Bahn Consulting & Coaching
Brian J. Bartow ~ General Counsel & Chief Compliance Officer, California State Teachers Retirement System
Jina L. Choi ~ Regional Director, San Francisco Regional Office, U.S. Securities and Exchange Commission
Kathleen Collins ~ Chief Compliance & Regulatory Counsel, ServiceLink
Sean R. Coutain ~ Deputy Chief Compliance Officer, Snapchat, Inc.
Pamela R. Davis ~ Orrick Herrington & Sutcliffe LLP
Alan W. Gibson ~ Assistant General Counsel, Office of Legal Compliance, Microsoft
Ravi Inthiran ~ Acting Chief Compliance Officer, Zenefits
Darek Kochman, CPA, CFE ~ Manager - Compliance Analytics, KPMG LLP
Lance Lanciault ~ Vice President, Chief Ethics and Compliance Officer, Walmart U.S. eCommerce
Andrew McBride ~ Senior Compliance Professional,
Paul E. McGreal ~ Dean and Professor of Law, Creighton University School of Law
Jay C. Mumford ~ Global Compliance Manager, Corporate Compliance Department, Bio-Rad Laboratories, Inc.
Sam Pailca ~ Senior Attorney, Office of Legal Compliance, Investigations, Office of the General Counsel, Microsoft Corporation
Monica Reinmiller ~ Compliance Counsel, T-Mobile
Daniel Seltzer ~ Managing Director-Legal, Senior Director, Anticorruption Government Compliance Officer, Accenture
Lorraine Waller ~ Executive Vice-President, Corporate Compliance, Guaranteed Rate
David Wong ~ Director, Global Compliance and Ethics, McKesson Corp
Lewis Zirogiannis ~ Chief Compliance Officer & Executive Regulatory Counsel, GE Digital
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute

San Francisco Seminar Location

PLI California Center, 685 Market Street, San Francisco, California 94105. (800) 260-4754.

San Francisco Hotel Accommodations

Park Central Hotel, 50 Third Street, San Francisco, CA 94103. 415-974-6400. When calling, please mention PLI and SET#287179. In addition, you may book online at Park Central Hotel PLI.

Omni Hotel San Francisco, 500 California Street, San Francisco, CA 94104. 415-677-9494.  When calling, please mention Practising Law Institute.  You may also book online at PLI Omni Hotel 2017.

Due to high demand we recommend reserving hotel rooms as early as possible.

General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.


U.S. MCLE States

Alabama: PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Alaska:  All PLI products can fulfill Alaska’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Arizona:  PLI’s live seminars qualify as “interactive CLE” credit. There is no limit to the number of credits an attorney can earn via interactive CLE programs.

Arkansas:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

California:  PLI’s live seminars qualify as “participatory” credit. There is no limit to the number of credits an attorney can earn via participatory programs.

Colorado:  All PLI products can fulfill Colorado’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Florida:  All PLI products can fulfill Florida’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Georgia:  PLI’s live seminars qualify as “live” credit. There is no limit to the number of credits an attorney can earn via live seminars.

Hawaii:  All PLI products can fulfill Ha