Seminar  Program

Advanced Compliance and Ethics Workshop 2018


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 help organizations 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 can 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.  In the developing field of compliance, knowledge of best practices is essential to any practitioner.  This Workshop will showcase best practices for the principal components of a compliance and ethics program.

 What You Will Learn

  • New legal standards and guidance 
  • Effective compliance risk assessments
  • Risk-based training and communications strategy
  • Structure your program with independence, reach and clout
  • How to receive, investigate, manage and escalate allegations
  • Effective compliance audits and assessments
  • Reporting to the Board and senior management

 Special Features 

  • Benchmark with your peers
  • Interactive format

Who Should Attend

The 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.

Program Level: Advanced

Intended Audience: The 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.

Prerequisites: A background and interest in creating and maintaining effective compliance and ethics programs.

Advanced Preparation: None 


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 2018 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
  • Enforcement 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
  • Reporting to the Board
  • Escalation protocols

Amii L. Barnard-Bahn, Maryann Clifford, Chad A. Fentress



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

David C. Farrell, Rob Lindquist



12:30 LUNCH

1:00 LUNCHEON SEGMENT: THE GOVERNMENT’S PERSPECTIVE ON EFFECTIVE C&E PROGRAMS

Ranee Katsenstein



1:45 GLOBAL COMPLIANCE PROGRAMS
  • How to avoid a “U.S.-centric” program
  • Contending with employment and privacy laws outside the United States
  • Helplines and investigations around the globe
  • Strong compliance cultures that transcend national borders
  • Training and communicating with employees and third parties around the globe

Allen W. Chiu, Lisa Glover-Gardin



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
  • Combating the fear of retaliation

Andrew Price, Kurt Stitcher



3:45 NETWORKING BREAK

4:00 COMPLIANCE PROGRAM AUDITING, METRICS AND ASSESSMENT
  • Assessment methodologies
  • Compliance auditing and monitoring
  • “Deep dives” assessments
  • Using metrics to advance your program

Andrea P. DeShazo, Rebecca Walker



5:00 ADJOURN

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

9:00 CONFLICTS OF INTEREST, CORRUPTION AND COMPLIANCE RISKS

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

  • Conflicts of interest
    • Drafting workable policies and creating effective training
    • Questionnaires, certifications and approval procedures
    • Auditing and monitoring for conflicts
  • Corruption
    • Assessing your organization’s corruption risks
    • Policies, training and communications
    • Due diligence and other third-party controls

Nancy A. Heafey, Monica Reinmiller



10:00 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

April Oliver, Shawn Rogers, Herbert E. Wilgis III



11:15 NETWORKING BREAK

11:30 CREATING, MEASURING AND MAINTAINING A CULTURE OF COMPLIANCE
  • Compliance and HR (due diligence in hiring, incentive programs, promotions)
  • Tone at the top – and the middle
  • Speak-up cultures
  • “Organizational justice”
  • Methodologies to measure ethical culture
  • Positive and negative incentives

William B. Sailer, Jeremy Wilson



12:30 ADJOURN

Chairperson(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Amii L. Barnard-Bahn ~ Executive Coach and Strategic Advisor, Barnard-Bahn Consulting & Coaching
Allen W. Chiu ~ Chief Compliance Officer & Global Head of Litigation, Genesys
Maryann Clifford ~ Integrity Insight International, LLC
Andrea P. DeShazo ~ Sr. Director and Assistant General Counsel, Ethics and Compliance, Western Digital Corp,
David C. Farrell ~ Adjunct Faculty, Santa Clara University School of Law, Former Chief Compliance Officer, Yahoo Inc.
Chad A. Fentress ~ Founder, Novare Consulting, LLC
Lisa Glover-Gardin ~ Google LLC
Nancy A. Heafey ~ Senior University Counsel, Stanford University
Ranee Katzenstein ~ Assistant United States Attorney, Chief, Major Frauds Section, United States Attorney's Office, Central District of California
Rob Lindquist ~ Former Chief Compliance Officer, Panasonic Avionics Corporation
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
April Oliver ~ Vice President and Associate General Counsel, Global Ethics & Integrity, Salesforce Inc.
Andrew Price ~ Senior Counsel, Google LLC
Monica Reinmiller ~ Compliance Counsel, T-Mobile
Shawn Rogers ~ Lead Counsel, Compliance Training and Communications, General Motors
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Kurt Stitcher ~ Vice President, Global Compliance, DJO Global
Herbert E. Wilgis III ~ Director, Office of Legal Compliance Programs, Microsoft Corp
Jeremy Wilson ~ SVP, Chief Ethics Advisory Officer, Wells Fargo
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 2018.

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

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

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

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.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live seminars may fulfill CLPD credit requirements.

Other Credit Types

CPE Credit (NASBA): PLI’s live seminars qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

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.

American Bankers Association Professional Certification (ABA):  PLI’s live seminars may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live seminars may fulfill CFP credit requirements.

 

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 help organizations 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 can 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.  In the developing field of compliance, knowledge of best practices is essential to any practitioner.  This Workshop will showcase best practices for the principal components of a compliance and ethics program.

 What You Will Learn

  • New legal standards and guidance 
  • Effective compliance risk assessments
  • Risk-based training and communications strategy
  • Structure your program with independence, reach and clout
  • How to receive, investigate, manage and escalate allegations
  • Effective compliance audits and assessments
  • Reporting to the Board and senior management

 Special Features 

  • Benchmark with your peers
  • Interactive format

Who Should Attend

The 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.

Program Level: Advanced

Intended Audience: The 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.

Prerequisites: A background and interest in creating and maintaining effective compliance and ethics programs.

Advanced Preparation: None 


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 2018 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
  • Enforcement 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
  • Reporting to the Board
  • Escalation protocols

Amii L. Barnard-Bahn, Maryann Clifford, Chad A. Fentress



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

David C. Farrell, Rob Lindquist



12:30 LUNCH

1:00 LUNCHEON SEGMENT: THE GOVERNMENT’S PERSPECTIVE ON EFFECTIVE C&E PROGRAMS

Ranee Katsenstein



1:45 GLOBAL COMPLIANCE PROGRAMS
  • How to avoid a “U.S.-centric” program
  • Contending with employment and privacy laws outside the United States
  • Helplines and investigations around the globe
  • Strong compliance cultures that transcend national borders
  • Training and communicating with employees and third parties around the globe

Allen W. Chiu, Lisa Glover-Gardin



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
  • Combating the fear of retaliation

Andrew Price, Kurt Stitcher



3:45 NETWORKING BREAK

4:00 COMPLIANCE PROGRAM AUDITING, METRICS AND ASSESSMENT
  • Assessment methodologies
  • Compliance auditing and monitoring
  • “Deep dives” assessments
  • Using metrics to advance your program

Andrea P. DeShazo, Rebecca Walker



5:00 ADJOURN

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

9:00 CONFLICTS OF INTEREST, CORRUPTION AND COMPLIANCE RISKS

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

  • Conflicts of interest
    • Drafting workable policies and creating effective training
    • Questionnaires, certifications and approval procedures
    • Auditing and monitoring for conflicts
  • Corruption
    • Assessing your organization’s corruption risks
    • Policies, training and communications
    • Due diligence and other third-party controls

Nancy A. Heafey, Monica Reinmiller



10:00 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

April Oliver, Shawn Rogers, Herbert E. Wilgis III



11:15 NETWORKING BREAK

11:30 CREATING, MEASURING AND MAINTAINING A CULTURE OF COMPLIANCE
  • Compliance and HR (due diligence in hiring, incentive programs, promotions)
  • Tone at the top – and the middle
  • Speak-up cultures
  • “Organizational justice”
  • Methodologies to measure ethical culture
  • Positive and negative incentives

William B. Sailer, Jeremy Wilson



12:30 ADJOURN

Chairperson(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Amii L. Barnard-Bahn ~ Executive Coach and Strategic Advisor, Barnard-Bahn Consulting & Coaching
Allen W. Chiu ~ Chief Compliance Officer & Global Head of Litigation, Genesys
Maryann Clifford ~ Integrity Insight International, LLC
Andrea P. DeShazo ~ Sr. Director and Assistant General Counsel, Ethics and Compliance, Western Digital Corp,
David C. Farrell ~ Adjunct Faculty, Santa Clara University School of Law, Former Chief Compliance Officer, Yahoo Inc.
Chad A. Fentress ~ Founder, Novare Consulting, LLC
Lisa Glover-Gardin ~ Google LLC
Nancy A. Heafey ~ Senior University Counsel, Stanford University
Ranee Katzenstein ~ Assistant United States Attorney, Chief, Major Frauds Section, United States Attorney's Office, Central District of California
Rob Lindquist ~ Former Chief Compliance Officer, Panasonic Avionics Corporation
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
April Oliver ~ Vice President and Associate General Counsel, Global Ethics & Integrity, Salesforce Inc.
Andrew Price ~ Senior Counsel, Google LLC
Monica Reinmiller ~ Compliance Counsel, T-Mobile
Shawn Rogers ~ Lead Counsel, Compliance Training and Communications, General Motors
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Kurt Stitcher ~ Vice President, Global Compliance, DJO Global
Herbert E. Wilgis III ~ Director, Office of Legal Compliance Programs, Microsoft Corp
Jeremy Wilson ~ SVP, Chief Ethics Advisory Officer, Wells Fargo
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. Effective January 1, 2019, the limit of distance education per reporting period will increase from 9 to 18 credits.

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

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

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

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.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s live webcasts may fulfill CLPD credit requirements.

Other Credit Types

CPE Credit (NASBA):  PLI’s live webcasts qualify as the “Group-Internet-Based” (GIB) delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

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.

American Bankers Association Professional Certification (ABA):  PLI’s live webcasts may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live webcasts may fulfill CFP credit requirements.

 

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 help organizations 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 can 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.  In the developing field of compliance, knowledge of best practices is essential to any practitioner.  This Workshop will showcase best practices for the principal components of a compliance and ethics program.

 What You Will Learn

  • New legal standards and guidance 
  • Effective compliance risk assessments
  • Risk-based training and communications strategy
  • Structure your program with independence, reach and clout
  • How to receive, investigate, manage and escalate allegations
  • Effective compliance audits and assessments
  • Reporting to the Board and senior management

 Special Features 

  • Benchmark with your peers
  • Interactive format

Who Should Attend

The 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.

Program Level: Advanced

Intended Audience: The 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.

Prerequisites: A background and interest in creating and maintaining effective compliance and ethics programs.

Advanced Preparation: None 


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: 11:00 a.m. - 7:00 p.m.

11:00 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



11:15 RECENT COMPLIANCE DEVELOPMENTS AND WHAT TO EXPECT IN 2018 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
  • Enforcement under the Trump administration

Paul E. McGreal



12:15 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
  • Reporting to the Board
  • Escalation protocols

Amii L. Barnard-Bahn, Maryann Clifford, Chad A. Fentress



1:15 NETWORKING BREAK

1:30 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

David C. Farrell, Rob Lindquist



2:30 LUNCH

3:00 LUNCHEON SEGMENT: THE GOVERNMENT’S PERSPECTIVE ON EFFECTIVE C&E PROGRAMS

Ranee Katsenstein



3:45 GLOBAL COMPLIANCE PROGRAMS
  • How to avoid a “U.S.-centric” program
  • Contending with employment and privacy laws outside the United States
  • Helplines and investigations around the globe
  • Strong compliance cultures that transcend national borders
  • Training and communicating with employees and third parties around the globe

Allen W. Chiu, Lisa Glover-Gardin



4:45 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
  • Combating the fear of retaliation

Andrew Price, Kurt Stitcher



5:45 NETWORKING BREAK

6:00 COMPLIANCE PROGRAM AUDITING, METRICS AND ASSESSMENT
  • Assessment methodologies
  • Compliance auditing and monitoring
  • “Deep dives” assessments
  • Using metrics to advance your program

Andrea P. DeShazo, Rebecca Walker



7:00 ADJOURN

Day Two: 11:00 a.m. - 2:30 p.m.

11:00 CONFLICTS OF INTEREST, CORRUPTION AND COMPLIANCE RISKS

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

  • Conflicts of interest
    • Drafting workable policies and creating effective training
    • Questionnaires, certifications and approval procedures
    • Auditing and monitoring for conflicts
  • Corruption
    • Assessing your organization’s corruption risks
    • Policies, training and communications
    • Due diligence and other third-party controls

Nancy A. Heafey, Monica Reinmiller



12:00 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

April Oliver, Shawn Rogers, Herbert E. Wilgis III



1:15 NETWORKING BREAK

1:30 CREATING, MEASURING AND MAINTAINING A CULTURE OF COMPLIANCE
  • Compliance and HR (due diligence in hiring, incentive programs, promotions)
  • Tone at the top – and the middle
  • Speak-up cultures
  • “Organizational justice”
  • Methodologies to measure ethical culture
  • Positive and negative incentives

William B. Sailer, Jeremy Wilson



2:30 ADJOURN

Chairperson(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Amii L. Barnard-Bahn ~ Executive Coach and Strategic Advisor, Barnard-Bahn Consulting & Coaching
Allen W. Chiu ~ Chief Compliance Officer & Global Head of Litigation, Genesys
Maryann Clifford ~ Integrity Insight International, LLC
Andrea P. DeShazo ~ Sr. Director and Assistant General Counsel, Ethics and Compliance, Western Digital Corp,
David C. Farrell ~ Adjunct Faculty, Santa Clara University School of Law, Former Chief Compliance Officer, Yahoo Inc.
Chad A. Fentress ~ Founder, Novare Consulting, LLC
Lisa Glover-Gardin ~ Google LLC
Nancy A. Heafey ~ Senior University Counsel, Stanford University
Ranee Katzenstein ~ Assistant United States Attorney, Chief, Major Frauds Section, United States Attorney's Office, Central District of California
Rob Lindquist ~ Former Chief Compliance Officer, Panasonic Avionics Corporation
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
April Oliver ~ Vice President and Associate General Counsel, Global Ethics & Integrity, Salesforce Inc.
Andrew Price ~ Senior Counsel, Google LLC
Monica Reinmiller ~ Compliance Counsel, T-Mobile
Shawn Rogers ~ Lead Counsel, Compliance Training and Communications, General Motors
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Kurt Stitcher ~ Vice President, Global Compliance, DJO Global
Herbert E. Wilgis III ~ Director, Office of Legal Compliance Programs, Microsoft Corp
Jeremy Wilson ~ SVP, Chief Ethics Advisory Officer, Wells Fargo
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute

Phelps Dunbar LLP, Canal Place, 365 Canal Street, New Orleans, LA 70130

 

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

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

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

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.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

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


Other Credit Types

CPE Credit (NASBA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) qualify as the “Group-Live” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

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.

American Bankers Association Professional Certification (ABA):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s live groupcasts (i.e. live webcasts available for group viewing at co-sponsored locations) may fulfill CFP credit requirements.

 

Related Items

Handbook  Course Handbook Archive

Advanced Compliance and Ethics Workshop 2018 Jeffrey M. Kaplan, Kaplan & Walker LLP
Rebecca Walker, Kaplan & Walker LLP
 
Advanced Compliance and Ethics Workshop 2017 Jeffrey M. Kaplan, Kaplan & Walker LLP
Rebecca Walker, Kaplan & Walker LLP
 
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