Seminar  Program

Compliance & Ethics Essentials 2019


Select a Location:

  • Chicago, IL


    Apr. 25 - 26, 2019

    9:00 AM Central

  • Webcast


    Jul. 18 - 19, 2019

    9:00 AM Eastern

  • New York, NY


    Jul. 18 - 19, 2019

    9:00 AM Eastern

  • Columbus, OH


    Jul. 18 - 19, 2019

    9:00 AM Eastern

    Groupcast Location

  • Atlanta, GA


    Jul. 18 - 19, 2019

    9:00 AM Eastern

    Groupcast Location

  • Cleveland, OH


    Jul. 18 - 19, 2019

    9:00 AM Eastern

    Groupcast Location

  • New Brunswick, NJ


    Jul. 18 - 19, 2019

    9:00 AM Eastern

    Groupcast Location

  • Nashville, TN


    Jul. 18 - 19, 2019

    8:00 AM Central

    Groupcast Location

Why You Should Attend

Compliance and ethics programs are critically important to the success and growth of any organization. Effective programs allow organizations to identify and mitigate legal risks, thereby preventing reputational damage or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as doing business with integrity, which enables organizations to command the respect of employees, customers, suppliers, and the government. With an increasingly tough enforcement environment, and greater demands for transparency and accountability from a variety of stakeholders, an effective compliance program is no longer just “nice-to-have.” It’s essential. A distinguished faculty, drawn from major corporations, academia, law firms and the government, will provide you with the tools you need to create or enhance a program that works to increase employee awareness and mitigate legal risk. Compliance and Ethics Essentials 2019 is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.

What You Will Learn 

  • New! Interactive panel involving real world compliance challenges and how to handle them
  • Recent developments, including guidance from the DOJ and cutting-edge, practical tools
  • Designing and conducting effective compliance risk assessments that enhance your program
  • Structuring your program for appropriate independence and authority
  • The evolving role of the board
  • Assessing your program and performing effective compliance audits
  • Investigating and managing allegations of wrongdoing
  • Best practices in compliance communications, training and tools
  • Mitigating the risks created by suppliers, agents and other third parties
  • Global compliance expectations and best practices
  • Ethics for compliance professionals

Special Feature

  • Earn one full hour of Ethics credit!

Who Should Attend

If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant, this event should be on your annual calendar.

Program Level: Overview

Intended Audience: If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant.

Prerequisites: A background in the field of compliance and ethics, specifically in creating and enhancing quality 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 Opening Remarks and Introduction
  • The Elements and Characteristics of an Effective Compliance and Ethics Program

Theodore L. Banks



9:15 Board Oversight and Program Structure: Program Authority and Independence

Case study of effective program structures, exploring issues such as:

  • Chief Compliance and Ethics Officer positioning
  • Compliance directors and other program staffing
  • Relationships with HR, internal audit and other functions
  • Oversight of subsidiaries, JVs and other affiliates
  • Best practices in Board oversight and support

Sarah M. DiLorenzo, Scott Killingsworth, Robert Z. Slaughter



10:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
  • Practical tools for identifying and assessing legal and compliance risk
  • Using risk assessment results to enhance your program
  • Reporting on your risk assessment
  • The risks of risk assessment: avoiding those things that can go wrong

Ellen M. Hunt, Gretchen A. Winter



11:15 Networking Break

11:30 Compliance Codes, Training and Communications

A. Codes and Policies

  • Codes of Business Conduct that reach your employees
  • Policy development and governance

B. Training and Communications

  • Best practices in training and communications
  • Budget-sensitive training techniques
  • Impacting corporate culture with C&E communications
  • Technology tools to assist in training and communications

David J. Blasi, John J. Sardar, Gene Stavrou



12:30 Luncheon Segment: How Judges and Prosecutors View C&E Programs
  • What factors are important in signifying the existence of an effective compliance program?
  • What sends a message that a program is ineffective – or a sham?
  • Are there any changes in enforcement policy that compliance officers should be aware of?

TBA



1:45 Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense
  • Best practices in compliance auditing and monitoring
  • Program assessment: techniques to test if your program is working
  • Using data to enhance your program: what metrics can tell us
  • Compliance and ethics surveys

Stacey Bolton, Joseph E. Murphy, Kimberly W. White

(CPE Field of Study: Auditing)



2:45 Networking Break

3:00 Addressing New Corporate Threats: Employment Law and Cybersecurity Compliance
  • Responding to #MeToo: Effective workplace harassment policies and training
  • Cybersecurity and global privacy challenges and compliance strategies
  • Emerging employment law trends that compliance professionals should know about
  • Incentives, performance evaluations, compensation and compliance

Alan Friel, Sarah R. Marmor

(IAPP Privacy credit for Privacy Professionals)



4:00 Hot Topics in Compliance and Ethics

• The latest guidance and actions from the DOJ and SEC
• Case law updates on the Caremark duty and employer liability for sexual harassment
• Regulatory updates from the NLRB, FTC, and other administrative agencies

Paul E. McGreal



5:00 Adjourn

Day Two: 9:00 a.m. - 1:15 p.m.

9:00 Helplines, Investigations and Responding to Misconduct
  • Managing helplines and responding to reports
  • Combating the fear of retaliation
  • Best practices for conducting internal investigations
  • Maintaining the attorney-client (and other) privileges

Margaret A. Daley, Scott R. Lassar, Ira H. Raphaelson



10:00 Global Compliance and Compliance for Third Parties
  • Compliance standards from around the world
  • How your program can better resonate globally
  • Third-party compliance risks – assessing and mitigating them
  • Due diligence best practices
  • Effective third-party monitoring techniques

Alexis Dahmer, Carrie J. Di Santo, Beverly A. Wyckoff



11:00 Networking Break

11:15 Real-World Compliance Challenges and How to Handle Them
  • Hear about real-world scenarios involving
  • Bribery
  • Conflicts of interest
  • Program independence and authority

TBA



12:15 Ethics for Compliance Lawyers and Compliance Officers
  • Risk assessment, program assessment and attorney-client privilege
  • Ethical obligations for lawyers and compliance officers
  • Can lawyers or compliance officers be whistleblowers?
  • What compliance program communications can (and should) be privileged?

Theodore L. Banks



1:15 Adjourn

Chairperson(s)
Theodore L. Banks ~ President, Compliance & Competition Consultants, LLC, Scharf Banks Marmor LLC
Speaker(s)
David J. Blasi ~ Senior Vice President & Associate General Counsel, Hyatt Hotels Corp.
Stacey Bolton ~ Senior Vice President, Corporate Compliance Officer, The Northern Trust
Alexis Dahmer ~ Sr. Compliance Counsel, North America, Johnson Controls
Margaret A. Daley ~ Managing Director, Berkeley Research Group
Carrie Di Santo ~ Managing Director, Enterprise Risk Management and Global Chief Compliance Officer , CME Group
Sarah M. DiLorenzo ~ VP, Global Compliance & Ethics Operations, 800 Connecticut Avenue
Alan L. Friel ~ BakerHostetler
Ellen M. Hunt ~ Senior Vice President- Audit, Ethics & Compliance Officer, AARP
Scott Killingsworth ~ Attorney at Law
Scott R. Lassar ~ Sidley Austin LLP
Sarah R. Marmor ~ Scharf Banks Marmor LLC
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Ira H. Raphaelson ~ Ira H. Raphaelson PLLC
John J. Sardar ~ Chief Compliance Officer, Noble Energy, Inc.
Robert Z. Slaughter ~ Chief Legal Officer, Avison Young
Gene Stavrou ~ Associate Director, Global Policy, Training & Technology, Mondelez International
Kimberly W. White ~ Corporate Compliance Officer, Ingredion Incorporated
Gretchen A. Winter ~ Executive Director, Center for Professional Responsibility in Business and Society, Clinical Assistant Professor of Business Administration, Gies College of Business, Adjunct Professor, College of Law and College of Engineering City Scholars Program, University of Illinois at Urbana-Champaign
Beverly A. Wyckoff ~ Vice President & Associate Counsel - Global Regulatory Affairs, Dover Corporation
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute

Chicago Seminar Location

University of Chicago Gleacher Center, 450 N. Cityfront Plaza Drive, Chicago, Il 60611. (312) 464-8787.

Hotel Accommodation

Intercontinental Hotel Chicago, 505 N. Michigan Avenue, Chicago, IL 60611. (312) 944-4100. Please contact the hotel directly for the preferred rate and mention Practising Law Institute or Corporate ID 100312169.  You may also book online at PRACTISING LAW INSTITUTE.    Please note that the rate is a corporate and not a group rate. 

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.

 

Why You Should Attend

Compliance and ethics programs are critically important to the success and growth of any organization. Effective programs allow organizations to identify and mitigate legal risks, thereby preventing reputational damage or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as doing business with integrity, which enables organizations to command the respect of employees, customers, suppliers, and the government. With an increasingly tough enforcement environment, and greater demands for transparency and accountability from a variety of stakeholders, an effective compliance program is no longer just “nice-to-have.” It’s essential. A distinguished faculty, drawn from major corporations, academia, law firms and the government, will provide you with the tools you need to create or enhance a program that works to increase employee awareness and mitigate legal risk. Compliance and Ethics Essentials 2019 is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.

What You Will Learn 

  • New! Interactive panel involving real world compliance challenges and how to handle them
  • Recent developments, including guidance from the DOJ and cutting-edge, practical tools
  • Designing and conducting effective compliance risk assessments that enhance your program
  • Structuring your program for appropriate independence and authority
  • The evolving role of the board
  • Assessing your program and performing effective compliance audits
  • Investigating and managing allegations of wrongdoing
  • Best practices in compliance communications, training and tools
  • Mitigating the risks created by suppliers, agents and other third parties
  • Global compliance expectations and best practices
  • Ethics for compliance professionals

Special Feature

  • Earn one full hour of Ethics credit!

Who Should Attend

If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant, this event should be on your annual calendar.

Program Level: Overview

Intended Audience: If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant.

Prerequisites: A background in the field of compliance and ethics, specifically in creating and enhancing quality 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 Opening Remarks and Introduction
  • The Elements and Characteristics of an Effective Compliance and Ethics Program

Rebecca Walker



9:15 Board Oversight and Program Structure: Program Authority and Independence

Case study of effective program structures, exploring issues such as:

  • Chief Compliance and Ethics Officer positioning
  • Compliance directors and other program staffing
  • Relationships with HR, internal audit and other functions
  • Oversight of subsidiaries, JVs and other affiliates
  • Best practices in Board oversight and support

Janice L. Innis-Thompson



10:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
  • Practical tools for identifying and assessing legal and compliance risk
  • Using risk assessment results to enhance your program
  • Reporting on your risk assessment
  • The risks of risk assessment: avoiding those things that can go wrong

Jeffrey M. Kaplan, Kathryn S. Reimann



11:15 Networking Break

11:30 Compliance Codes, Training and Communications

A. Codes and Policies

  • Codes of Business Conduct that reach your employees
  • Policy development and governance

B. Training and Communications

  • Best practices in training and communications
  • Budget-sensitive training techniques
  • Impacting corporate culture with C&E communications
  • Technology tools to assist in training and communications

Michael R. Levin, James C. Knapp, Debra Sabatini Hennelly



12:30 Luncheon Segment: How Judges and Prosecutors View C&E Programs
  • What factors are important in signifying the existence of an effective compliance program?
  • What sends a message that a program is ineffective – or a sham?
  • Are there any changes in enforcement policy that compliance officers should be aware of?

TBA



1:45 Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense
  • Best practices in compliance auditing and monitoring
  • Program assessment: techniques to test if your program is working
  • Using data to enhance your program: what metrics can tell us
  • Compliance and ethics surveys

Matt Galvin,  Michael Ward

(CPE Field of Study: Auditing)



2:45 Networking Break

3:00 Addressing New Corporate Threats: Employment Law and Cybersecurity Compliance
  • Responding to #MeToo: Effective workplace harassment policies and training
  • Cybersecurity and global privacy challenges and compliance strategies
  • Emerging employment law trends that compliance professionals should know about
  • Incentives, performance evaluations, compensation and compliance

Brian Kaplan, James Mariani

(IAPP Privacy credit for Privacy Professionals)



4:00 Hot Topics in Compliance and Ethics

• The latest guidance and actions from the DOJ and SEC
• Case law updates on the Caremark duty and employer liability for sexual harassment
• Regulatory updates from the NLRB, FTC, and other administrative agencies

Paul E. McGreal



5:00 Adjourn

Day Two: 9:00 a.m. - 1:15 p.m.

9:00 Helplines, Investigations and Responding to Misconduct
  • Managing helplines and responding to reports
  • Combating the fear of retaliation
  • Best practices for conducting internal investigations
  • Maintaining the attorney-client (and other) privileges

Stephen C. King, Adam Siegel



10:00 Global Compliance and Compliance for Third Parties
  • Compliance standards from around the world
  • How your program can better resonate globally
  • Third-party compliance risks – assessing and mitigating them
  • Due diligence best practices
  • Effective third-party monitoring techniques

Maria C. Hermida, Eric F. Hinton



11:00 Networking Break

11:15 Real-World Compliance Challenges and How to Handle Them
  • Hear about real-world scenarios involving
  • Bribery
  • Conflicts of interest
  • Program independence and authority

Lisa Stewart Hughes, William B. Sailer, Victoria V. Sweeney



12:15 Ethics for Compliance Lawyers and Compliance Officers
  • Risk assessment, program assessment and attorney-client privilege
  • Ethical obligations for lawyers and compliance officers
  • Can lawyers or compliance officers be whistleblowers?
  • What compliance program communications can (and should) be privileged?

Benjamin Gruenstein, Joseph E. Murphy



1:15 Adjourn

Co-Chair(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Matt Galvin ~ VP Ethics & Compliance, Anheuser Busch InBev
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Debra Sabatini Hennelly ~ Founder & President, Resiliti
Maria C. Hermida ~ AVP Compliance, Anti-Bribery & Corruption Officer, USAA
Eric F. Hinton ~ Director, Rowling Center for Business Law & Leadership, Southern Methodist University
Lisa Stewart Hughes ~ Chief Compliance Officer, Endeavor
Janice L. Innis-Thompson ~ Chief Compliance Officer, Samsung, North America
Brian Kaplan ~ DLA Piper LLP (US)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Stephen C. King ~ Senior Vice-President, Counsel, Investigations, Mastercard
James C. Knapp ~ Investigations Director, Freddie Mac
Michael R. Levin ~ Senior Director, Ethics & Business Practices, Compliance Division, Ethics, AML & Sanctions, Diversity & Inclusion, Enterprise Risk Management Division, Freddie Mac
James Mariani ~ Frankfurt Kurnit Klein & Selz
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Kathryn S. Reimann ~ Senior Managing Director, Service Area Executive & Chief Quality Officer, Treliant, LLC
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Victoria V. Sweeney ~ Principal, Ethics and Compliance, KPMG LLP
Michael Ward ~ Vice President & Chief Compliance Officer, Juniper Networks
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.

 

Why You Should Attend

Compliance and ethics programs are critically important to the success and growth of any organization. Effective programs allow organizations to identify and mitigate legal risks, thereby preventing reputational damage or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as doing business with integrity, which enables organizations to command the respect of employees, customers, suppliers, and the government. With an increasingly tough enforcement environment, and greater demands for transparency and accountability from a variety of stakeholders, an effective compliance program is no longer just “nice-to-have.” It’s essential. A distinguished faculty, drawn from major corporations, academia, law firms and the government, will provide you with the tools you need to create or enhance a program that works to increase employee awareness and mitigate legal risk. Compliance and Ethics Essentials 2019 is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.

What You Will Learn 

  • New! Interactive panel involving real world compliance challenges and how to handle them
  • Recent developments, including guidance from the DOJ and cutting-edge, practical tools
  • Designing and conducting effective compliance risk assessments that enhance your program
  • Structuring your program for appropriate independence and authority
  • The evolving role of the board
  • Assessing your program and performing effective compliance audits
  • Investigating and managing allegations of wrongdoing
  • Best practices in compliance communications, training and tools
  • Mitigating the risks created by suppliers, agents and other third parties
  • Global compliance expectations and best practices
  • Ethics for compliance professionals

Special Feature

  • Earn one full hour of Ethics credit!

Who Should Attend

If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant, this event should be on your annual calendar.

Program Level: Overview

Intended Audience: If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant.

Prerequisites: A background in the field of compliance and ethics, specifically in creating and enhancing quality 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 Opening Remarks and Introduction
  • The Elements and Characteristics of an Effective Compliance and Ethics Program

Rebecca Walker



9:15 Board Oversight and Program Structure: Program Authority and Independence

Case study of effective program structures, exploring issues such as:

  • Chief Compliance and Ethics Officer positioning
  • Compliance directors and other program staffing
  • Relationships with HR, internal audit and other functions
  • Oversight of subsidiaries, JVs and other affiliates
  • Best practices in Board oversight and support

Janice L. Innis-Thompson



10:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
  • Practical tools for identifying and assessing legal and compliance risk
  • Using risk assessment results to enhance your program
  • Reporting on your risk assessment
  • The risks of risk assessment: avoiding those things that can go wrong

Jeffrey M. Kaplan, Kathryn S. Reimann



11:15 Networking Break

11:30 Compliance Codes, Training and Communications

A. Codes and Policies

  • Codes of Business Conduct that reach your employees
  • Policy development and governance

B. Training and Communications

  • Best practices in training and communications
  • Budget-sensitive training techniques
  • Impacting corporate culture with C&E communications
  • Technology tools to assist in training and communications

Michael R. Levin, James C. Knapp, Debra Sabatini Hennelly



12:30 Luncheon Segment: How Judges and Prosecutors View C&E Programs
  • What factors are important in signifying the existence of an effective compliance program?
  • What sends a message that a program is ineffective – or a sham?
  • Are there any changes in enforcement policy that compliance officers should be aware of?

TBA



1:45 Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense
  • Best practices in compliance auditing and monitoring
  • Program assessment: techniques to test if your program is working
  • Using data to enhance your program: what metrics can tell us
  • Compliance and ethics surveys

Matt Galvin,  Michael Ward

(CPE Field of Study: Auditing)



2:45 Networking Break

3:00 Addressing New Corporate Threats: Employment Law and Cybersecurity Compliance
  • Responding to #MeToo: Effective workplace harassment policies and training
  • Cybersecurity and global privacy challenges and compliance strategies
  • Emerging employment law trends that compliance professionals should know about
  • Incentives, performance evaluations, compensation and compliance

Brian Kaplan, James Mariani

(IAPP Privacy credit for Privacy Professionals)



4:00 Hot Topics in Compliance and Ethics

• The latest guidance and actions from the DOJ and SEC
• Case law updates on the Caremark duty and employer liability for sexual harassment
• Regulatory updates from the NLRB, FTC, and other administrative agencies

Paul E. McGreal



5:00 Adjourn

Day Two: 9:00 a.m. - 1:15 p.m.

9:00 Helplines, Investigations and Responding to Misconduct
  • Managing helplines and responding to reports
  • Combating the fear of retaliation
  • Best practices for conducting internal investigations
  • Maintaining the attorney-client (and other) privileges

Stephen C. King, Adam Siegel



10:00 Global Compliance and Compliance for Third Parties
  • Compliance standards from around the world
  • How your program can better resonate globally
  • Third-party compliance risks – assessing and mitigating them
  • Due diligence best practices
  • Effective third-party monitoring techniques

Maria C. Hermida, Eric F. Hinton



11:00 Networking Break

11:15 Real-World Compliance Challenges and How to Handle Them
  • Hear about real-world scenarios involving
  • Bribery
  • Conflicts of interest
  • Program independence and authority

Lisa Stewart Hughes, William B. Sailer, Victoria V. Sweeney



12:15 Ethics for Compliance Lawyers and Compliance Officers
  • Risk assessment, program assessment and attorney-client privilege
  • Ethical obligations for lawyers and compliance officers
  • Can lawyers or compliance officers be whistleblowers?
  • What compliance program communications can (and should) be privileged?

Benjamin Gruenstein, Joseph E. Murphy



1:15 Adjourn

Co-Chair(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Matt Galvin ~ VP Ethics & Compliance, Anheuser Busch InBev
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Debra Sabatini Hennelly ~ Founder & President, Resiliti
Maria C. Hermida ~ AVP Compliance, Anti-Bribery & Corruption Officer, USAA
Eric F. Hinton ~ Director, Rowling Center for Business Law & Leadership, Southern Methodist University
Lisa Stewart Hughes ~ Chief Compliance Officer, Endeavor
Janice L. Innis-Thompson ~ Chief Compliance Officer, Samsung, North America
Brian Kaplan ~ DLA Piper LLP (US)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Stephen C. King ~ Senior Vice-President, Counsel, Investigations, Mastercard
James C. Knapp ~ Investigations Director, Freddie Mac
Michael R. Levin ~ Senior Director, Ethics & Business Practices, Compliance Division, Ethics, AML & Sanctions, Diversity & Inclusion, Enterprise Risk Management Division, Freddie Mac
James Mariani ~ Frankfurt Kurnit Klein & Selz
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Kathryn S. Reimann ~ Senior Managing Director, Service Area Executive & Chief Quality Officer, Treliant, LLC
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Victoria V. Sweeney ~ Principal, Ethics and Compliance, KPMG LLP
Michael Ward ~ Vice President & Chief Compliance Officer, Juniper Networks
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 (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 Corporate Rate ID 786839408. In addition, you can book online at PLI Muse Hotel

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. In addition, you can book online at PLI Millennium Hotel .

 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:  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.

 

Why You Should Attend

Compliance and ethics programs are critically important to the success and growth of any organization. Effective programs allow organizations to identify and mitigate legal risks, thereby preventing reputational damage or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as doing business with integrity, which enables organizations to command the respect of employees, customers, suppliers, and the government. With an increasingly tough enforcement environment, and greater demands for transparency and accountability from a variety of stakeholders, an effective compliance program is no longer just “nice-to-have.” It’s essential. A distinguished faculty, drawn from major corporations, academia, law firms and the government, will provide you with the tools you need to create or enhance a program that works to increase employee awareness and mitigate legal risk. Compliance and Ethics Essentials 2019 is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.

What You Will Learn 

  • New! Interactive panel involving real world compliance challenges and how to handle them
  • Recent developments, including guidance from the DOJ and cutting-edge, practical tools
  • Designing and conducting effective compliance risk assessments that enhance your program
  • Structuring your program for appropriate independence and authority
  • The evolving role of the board
  • Assessing your program and performing effective compliance audits
  • Investigating and managing allegations of wrongdoing
  • Best practices in compliance communications, training and tools
  • Mitigating the risks created by suppliers, agents and other third parties
  • Global compliance expectations and best practices
  • Ethics for compliance professionals

Special Feature

  • Earn one full hour of Ethics credit!

Who Should Attend

If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant, this event should be on your annual calendar.

Program Level: Overview

Intended Audience: If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant.

Prerequisites: A background in the field of compliance and ethics, specifically in creating and enhancing quality 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 Opening Remarks and Introduction
  • The Elements and Characteristics of an Effective Compliance and Ethics Program

Rebecca Walker



9:15 Board Oversight and Program Structure: Program Authority and Independence

Case study of effective program structures, exploring issues such as:

  • Chief Compliance and Ethics Officer positioning
  • Compliance directors and other program staffing
  • Relationships with HR, internal audit and other functions
  • Oversight of subsidiaries, JVs and other affiliates
  • Best practices in Board oversight and support

Janice L. Innis-Thompson



10:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
  • Practical tools for identifying and assessing legal and compliance risk
  • Using risk assessment results to enhance your program
  • Reporting on your risk assessment
  • The risks of risk assessment: avoiding those things that can go wrong

Jeffrey M. Kaplan, Kathryn S. Reimann



11:15 Networking Break

11:30 Compliance Codes, Training and Communications

A. Codes and Policies

  • Codes of Business Conduct that reach your employees
  • Policy development and governance

B. Training and Communications

  • Best practices in training and communications
  • Budget-sensitive training techniques
  • Impacting corporate culture with C&E communications
  • Technology tools to assist in training and communications

Michael R. Levin, James C. Knapp, Debra Sabatini Hennelly



12:30 Luncheon Segment: How Judges and Prosecutors View C&E Programs
  • What factors are important in signifying the existence of an effective compliance program?
  • What sends a message that a program is ineffective – or a sham?
  • Are there any changes in enforcement policy that compliance officers should be aware of?

TBA



1:45 Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense
  • Best practices in compliance auditing and monitoring
  • Program assessment: techniques to test if your program is working
  • Using data to enhance your program: what metrics can tell us
  • Compliance and ethics surveys

Matt Galvin,  Michael Ward

(CPE Field of Study: Auditing)



2:45 Networking Break

3:00 Addressing New Corporate Threats: Employment Law and Cybersecurity Compliance
  • Responding to #MeToo: Effective workplace harassment policies and training
  • Cybersecurity and global privacy challenges and compliance strategies
  • Emerging employment law trends that compliance professionals should know about
  • Incentives, performance evaluations, compensation and compliance

Brian Kaplan, James Mariani

(IAPP Privacy credit for Privacy Professionals)



4:00 Hot Topics in Compliance and Ethics

• The latest guidance and actions from the DOJ and SEC
• Case law updates on the Caremark duty and employer liability for sexual harassment
• Regulatory updates from the NLRB, FTC, and other administrative agencies

Paul E. McGreal



5:00 Adjourn

Day Two: 9:00 a.m. - 1:15 p.m.

9:00 Helplines, Investigations and Responding to Misconduct
  • Managing helplines and responding to reports
  • Combating the fear of retaliation
  • Best practices for conducting internal investigations
  • Maintaining the attorney-client (and other) privileges

Stephen C. King, Adam Siegel



10:00 Global Compliance and Compliance for Third Parties
  • Compliance standards from around the world
  • How your program can better resonate globally
  • Third-party compliance risks – assessing and mitigating them
  • Due diligence best practices
  • Effective third-party monitoring techniques

Maria C. Hermida, Eric F. Hinton



11:00 Networking Break

11:15 Real-World Compliance Challenges and How to Handle Them
  • Hear about real-world scenarios involving
  • Bribery
  • Conflicts of interest
  • Program independence and authority

Lisa Stewart Hughes, William B. Sailer, Victoria V. Sweeney



12:15 Ethics for Compliance Lawyers and Compliance Officers
  • Risk assessment, program assessment and attorney-client privilege
  • Ethical obligations for lawyers and compliance officers
  • Can lawyers or compliance officers be whistleblowers?
  • What compliance program communications can (and should) be privileged?

Benjamin Gruenstein, Joseph E. Murphy



1:15 Adjourn

Co-Chair(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Matt Galvin ~ VP Ethics & Compliance, Anheuser Busch InBev
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Debra Sabatini Hennelly ~ Founder & President, Resiliti
Maria C. Hermida ~ AVP Compliance, Anti-Bribery & Corruption Officer, USAA
Eric F. Hinton ~ Director, Rowling Center for Business Law & Leadership, Southern Methodist University
Lisa Stewart Hughes ~ Chief Compliance Officer, Endeavor
Janice L. Innis-Thompson ~ Chief Compliance Officer, Samsung, North America
Brian Kaplan ~ DLA Piper LLP (US)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Stephen C. King ~ Senior Vice-President, Counsel, Investigations, Mastercard
James C. Knapp ~ Investigations Director, Freddie Mac
Michael R. Levin ~ Senior Director, Ethics & Business Practices, Compliance Division, Ethics, AML & Sanctions, Diversity & Inclusion, Enterprise Risk Management Division, Freddie Mac
James Mariani ~ Frankfurt Kurnit Klein & Selz
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Kathryn S. Reimann ~ Senior Managing Director, Service Area Executive & Chief Quality Officer, Treliant, LLC
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Victoria V. Sweeney ~ Principal, Ethics and Compliance, KPMG LLP
Michael Ward ~ Vice President & Chief Compliance Officer, Juniper Networks
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute
Columbus Groupcast Location

Columbus Bar Association, 175 S. Third Street, Suite 1100, Columbus, OH 43215. Phone: 614-221-4112, FAX: (614) 340-2081.

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.

 

Why You Should Attend

Compliance and ethics programs are critically important to the success and growth of any organization. Effective programs allow organizations to identify and mitigate legal risks, thereby preventing reputational damage or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as doing business with integrity, which enables organizations to command the respect of employees, customers, suppliers, and the government. With an increasingly tough enforcement environment, and greater demands for transparency and accountability from a variety of stakeholders, an effective compliance program is no longer just “nice-to-have.” It’s essential. A distinguished faculty, drawn from major corporations, academia, law firms and the government, will provide you with the tools you need to create or enhance a program that works to increase employee awareness and mitigate legal risk. Compliance and Ethics Essentials 2019 is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.

What You Will Learn 

  • New! Interactive panel involving real world compliance challenges and how to handle them
  • Recent developments, including guidance from the DOJ and cutting-edge, practical tools
  • Designing and conducting effective compliance risk assessments that enhance your program
  • Structuring your program for appropriate independence and authority
  • The evolving role of the board
  • Assessing your program and performing effective compliance audits
  • Investigating and managing allegations of wrongdoing
  • Best practices in compliance communications, training and tools
  • Mitigating the risks created by suppliers, agents and other third parties
  • Global compliance expectations and best practices
  • Ethics for compliance professionals

Special Feature

  • Earn one full hour of Ethics credit!

Who Should Attend

If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant, this event should be on your annual calendar.

Program Level: Overview

Intended Audience: If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant.

Prerequisites: A background in the field of compliance and ethics, specifically in creating and enhancing quality 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 Opening Remarks and Introduction
  • The Elements and Characteristics of an Effective Compliance and Ethics Program

Rebecca Walker



9:15 Board Oversight and Program Structure: Program Authority and Independence

Case study of effective program structures, exploring issues such as:

  • Chief Compliance and Ethics Officer positioning
  • Compliance directors and other program staffing
  • Relationships with HR, internal audit and other functions
  • Oversight of subsidiaries, JVs and other affiliates
  • Best practices in Board oversight and support

Janice L. Innis-Thompson



10:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
  • Practical tools for identifying and assessing legal and compliance risk
  • Using risk assessment results to enhance your program
  • Reporting on your risk assessment
  • The risks of risk assessment: avoiding those things that can go wrong

Jeffrey M. Kaplan, Kathryn S. Reimann



11:15 Networking Break

11:30 Compliance Codes, Training and Communications

A. Codes and Policies

  • Codes of Business Conduct that reach your employees
  • Policy development and governance

B. Training and Communications

  • Best practices in training and communications
  • Budget-sensitive training techniques
  • Impacting corporate culture with C&E communications
  • Technology tools to assist in training and communications

Michael R. Levin, James C. Knapp, Debra Sabatini Hennelly



12:30 Luncheon Segment: How Judges and Prosecutors View C&E Programs
  • What factors are important in signifying the existence of an effective compliance program?
  • What sends a message that a program is ineffective – or a sham?
  • Are there any changes in enforcement policy that compliance officers should be aware of?

TBA



1:45 Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense
  • Best practices in compliance auditing and monitoring
  • Program assessment: techniques to test if your program is working
  • Using data to enhance your program: what metrics can tell us
  • Compliance and ethics surveys

Matt Galvin,  Michael Ward

(CPE Field of Study: Auditing)



2:45 Networking Break

3:00 Addressing New Corporate Threats: Employment Law and Cybersecurity Compliance
  • Responding to #MeToo: Effective workplace harassment policies and training
  • Cybersecurity and global privacy challenges and compliance strategies
  • Emerging employment law trends that compliance professionals should know about
  • Incentives, performance evaluations, compensation and compliance

Brian Kaplan, James Mariani

(IAPP Privacy credit for Privacy Professionals)



4:00 Hot Topics in Compliance and Ethics

• The latest guidance and actions from the DOJ and SEC
• Case law updates on the Caremark duty and employer liability for sexual harassment
• Regulatory updates from the NLRB, FTC, and other administrative agencies

Paul E. McGreal



5:00 Adjourn

Day Two: 9:00 a.m. - 1:15 p.m.

9:00 Helplines, Investigations and Responding to Misconduct
  • Managing helplines and responding to reports
  • Combating the fear of retaliation
  • Best practices for conducting internal investigations
  • Maintaining the attorney-client (and other) privileges

Stephen C. King, Adam Siegel



10:00 Global Compliance and Compliance for Third Parties
  • Compliance standards from around the world
  • How your program can better resonate globally
  • Third-party compliance risks – assessing and mitigating them
  • Due diligence best practices
  • Effective third-party monitoring techniques

Maria C. Hermida, Eric F. Hinton



11:00 Networking Break

11:15 Real-World Compliance Challenges and How to Handle Them
  • Hear about real-world scenarios involving
  • Bribery
  • Conflicts of interest
  • Program independence and authority

Lisa Stewart Hughes, William B. Sailer, Victoria V. Sweeney



12:15 Ethics for Compliance Lawyers and Compliance Officers
  • Risk assessment, program assessment and attorney-client privilege
  • Ethical obligations for lawyers and compliance officers
  • Can lawyers or compliance officers be whistleblowers?
  • What compliance program communications can (and should) be privileged?

Benjamin Gruenstein, Joseph E. Murphy



1:15 Adjourn

Co-Chair(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Matt Galvin ~ VP Ethics & Compliance, Anheuser Busch InBev
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Debra Sabatini Hennelly ~ Founder & President, Resiliti
Maria C. Hermida ~ AVP Compliance, Anti-Bribery & Corruption Officer, USAA
Eric F. Hinton ~ Director, Rowling Center for Business Law & Leadership, Southern Methodist University
Lisa Stewart Hughes ~ Chief Compliance Officer, Endeavor
Janice L. Innis-Thompson ~ Chief Compliance Officer, Samsung, North America
Brian Kaplan ~ DLA Piper LLP (US)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Stephen C. King ~ Senior Vice-President, Counsel, Investigations, Mastercard
James C. Knapp ~ Investigations Director, Freddie Mac
Michael R. Levin ~ Senior Director, Ethics & Business Practices, Compliance Division, Ethics, AML & Sanctions, Diversity & Inclusion, Enterprise Risk Management Division, Freddie Mac
James Mariani ~ Frankfurt Kurnit Klein & Selz
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Kathryn S. Reimann ~ Senior Managing Director, Service Area Executive & Chief Quality Officer, Treliant, LLC
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Victoria V. Sweeney ~ Principal, Ethics and Compliance, KPMG LLP
Michael Ward ~ Vice President & Chief Compliance Officer, Juniper Networks
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:  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.

 

Why You Should Attend

Compliance and ethics programs are critically important to the success and growth of any organization. Effective programs allow organizations to identify and mitigate legal risks, thereby preventing reputational damage or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as doing business with integrity, which enables organizations to command the respect of employees, customers, suppliers, and the government. With an increasingly tough enforcement environment, and greater demands for transparency and accountability from a variety of stakeholders, an effective compliance program is no longer just “nice-to-have.” It’s essential. A distinguished faculty, drawn from major corporations, academia, law firms and the government, will provide you with the tools you need to create or enhance a program that works to increase employee awareness and mitigate legal risk. Compliance and Ethics Essentials 2019 is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.

What You Will Learn 

  • New! Interactive panel involving real world compliance challenges and how to handle them
  • Recent developments, including guidance from the DOJ and cutting-edge, practical tools
  • Designing and conducting effective compliance risk assessments that enhance your program
  • Structuring your program for appropriate independence and authority
  • The evolving role of the board
  • Assessing your program and performing effective compliance audits
  • Investigating and managing allegations of wrongdoing
  • Best practices in compliance communications, training and tools
  • Mitigating the risks created by suppliers, agents and other third parties
  • Global compliance expectations and best practices
  • Ethics for compliance professionals

Special Feature

  • Earn one full hour of Ethics credit!

Who Should Attend

If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant, this event should be on your annual calendar.

Program Level: Overview

Intended Audience: If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant.

Prerequisites: A background in the field of compliance and ethics, specifically in creating and enhancing quality 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 Opening Remarks and Introduction
  • The Elements and Characteristics of an Effective Compliance and Ethics Program

Rebecca Walker



9:15 Board Oversight and Program Structure: Program Authority and Independence

Case study of effective program structures, exploring issues such as:

  • Chief Compliance and Ethics Officer positioning
  • Compliance directors and other program staffing
  • Relationships with HR, internal audit and other functions
  • Oversight of subsidiaries, JVs and other affiliates
  • Best practices in Board oversight and support

Janice L. Innis-Thompson



10:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
  • Practical tools for identifying and assessing legal and compliance risk
  • Using risk assessment results to enhance your program
  • Reporting on your risk assessment
  • The risks of risk assessment: avoiding those things that can go wrong

Jeffrey M. Kaplan, Kathryn S. Reimann



11:15 Networking Break

11:30 Compliance Codes, Training and Communications

A. Codes and Policies

  • Codes of Business Conduct that reach your employees
  • Policy development and governance

B. Training and Communications

  • Best practices in training and communications
  • Budget-sensitive training techniques
  • Impacting corporate culture with C&E communications
  • Technology tools to assist in training and communications

Michael R. Levin, James C. Knapp, Debra Sabatini Hennelly



12:30 Luncheon Segment: How Judges and Prosecutors View C&E Programs
  • What factors are important in signifying the existence of an effective compliance program?
  • What sends a message that a program is ineffective – or a sham?
  • Are there any changes in enforcement policy that compliance officers should be aware of?

TBA



1:45 Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense
  • Best practices in compliance auditing and monitoring
  • Program assessment: techniques to test if your program is working
  • Using data to enhance your program: what metrics can tell us
  • Compliance and ethics surveys

Matt Galvin,  Michael Ward

(CPE Field of Study: Auditing)



2:45 Networking Break

3:00 Addressing New Corporate Threats: Employment Law and Cybersecurity Compliance
  • Responding to #MeToo: Effective workplace harassment policies and training
  • Cybersecurity and global privacy challenges and compliance strategies
  • Emerging employment law trends that compliance professionals should know about
  • Incentives, performance evaluations, compensation and compliance

Brian Kaplan, James Mariani

(IAPP Privacy credit for Privacy Professionals)



4:00 Hot Topics in Compliance and Ethics

• The latest guidance and actions from the DOJ and SEC
• Case law updates on the Caremark duty and employer liability for sexual harassment
• Regulatory updates from the NLRB, FTC, and other administrative agencies

Paul E. McGreal



5:00 Adjourn

Day Two: 9:00 a.m. - 1:15 p.m.

9:00 Helplines, Investigations and Responding to Misconduct
  • Managing helplines and responding to reports
  • Combating the fear of retaliation
  • Best practices for conducting internal investigations
  • Maintaining the attorney-client (and other) privileges

Stephen C. King, Adam Siegel



10:00 Global Compliance and Compliance for Third Parties
  • Compliance standards from around the world
  • How your program can better resonate globally
  • Third-party compliance risks – assessing and mitigating them
  • Due diligence best practices
  • Effective third-party monitoring techniques

Maria C. Hermida, Eric F. Hinton



11:00 Networking Break

11:15 Real-World Compliance Challenges and How to Handle Them
  • Hear about real-world scenarios involving
  • Bribery
  • Conflicts of interest
  • Program independence and authority

Lisa Stewart Hughes, William B. Sailer, Victoria V. Sweeney



12:15 Ethics for Compliance Lawyers and Compliance Officers
  • Risk assessment, program assessment and attorney-client privilege
  • Ethical obligations for lawyers and compliance officers
  • Can lawyers or compliance officers be whistleblowers?
  • What compliance program communications can (and should) be privileged?

Benjamin Gruenstein, Joseph E. Murphy



1:15 Adjourn

Co-Chair(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Matt Galvin ~ VP Ethics & Compliance, Anheuser Busch InBev
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Debra Sabatini Hennelly ~ Founder & President, Resiliti
Maria C. Hermida ~ AVP Compliance, Anti-Bribery & Corruption Officer, USAA
Eric F. Hinton ~ Director, Rowling Center for Business Law & Leadership, Southern Methodist University
Lisa Stewart Hughes ~ Chief Compliance Officer, Endeavor
Janice L. Innis-Thompson ~ Chief Compliance Officer, Samsung, North America
Brian Kaplan ~ DLA Piper LLP (US)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Stephen C. King ~ Senior Vice-President, Counsel, Investigations, Mastercard
James C. Knapp ~ Investigations Director, Freddie Mac
Michael R. Levin ~ Senior Director, Ethics & Business Practices, Compliance Division, Ethics, AML & Sanctions, Diversity & Inclusion, Enterprise Risk Management Division, Freddie Mac
James Mariani ~ Frankfurt Kurnit Klein & Selz
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Kathryn S. Reimann ~ Senior Managing Director, Service Area Executive & Chief Quality Officer, Treliant, LLC
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Victoria V. Sweeney ~ Principal, Ethics and Compliance, KPMG LLP
Michael Ward ~ Vice President & Chief Compliance Officer, Juniper Networks
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:  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.

 

Why You Should Attend

Compliance and ethics programs are critically important to the success and growth of any organization. Effective programs allow organizations to identify and mitigate legal risks, thereby preventing reputational damage or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as doing business with integrity, which enables organizations to command the respect of employees, customers, suppliers, and the government. With an increasingly tough enforcement environment, and greater demands for transparency and accountability from a variety of stakeholders, an effective compliance program is no longer just “nice-to-have.” It’s essential. A distinguished faculty, drawn from major corporations, academia, law firms and the government, will provide you with the tools you need to create or enhance a program that works to increase employee awareness and mitigate legal risk. Compliance and Ethics Essentials 2019 is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.

What You Will Learn 

  • New! Interactive panel involving real world compliance challenges and how to handle them
  • Recent developments, including guidance from the DOJ and cutting-edge, practical tools
  • Designing and conducting effective compliance risk assessments that enhance your program
  • Structuring your program for appropriate independence and authority
  • The evolving role of the board
  • Assessing your program and performing effective compliance audits
  • Investigating and managing allegations of wrongdoing
  • Best practices in compliance communications, training and tools
  • Mitigating the risks created by suppliers, agents and other third parties
  • Global compliance expectations and best practices
  • Ethics for compliance professionals

Special Feature

  • Earn one full hour of Ethics credit!

Who Should Attend

If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant, this event should be on your annual calendar.

Program Level: Overview

Intended Audience: If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant.

Prerequisites: A background in the field of compliance and ethics, specifically in creating and enhancing quality 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 Opening Remarks and Introduction
  • The Elements and Characteristics of an Effective Compliance and Ethics Program

Rebecca Walker



9:15 Board Oversight and Program Structure: Program Authority and Independence

Case study of effective program structures, exploring issues such as:

  • Chief Compliance and Ethics Officer positioning
  • Compliance directors and other program staffing
  • Relationships with HR, internal audit and other functions
  • Oversight of subsidiaries, JVs and other affiliates
  • Best practices in Board oversight and support

Janice L. Innis-Thompson



10:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
  • Practical tools for identifying and assessing legal and compliance risk
  • Using risk assessment results to enhance your program
  • Reporting on your risk assessment
  • The risks of risk assessment: avoiding those things that can go wrong

Jeffrey M. Kaplan, Kathryn S. Reimann



11:15 Networking Break

11:30 Compliance Codes, Training and Communications

A. Codes and Policies

  • Codes of Business Conduct that reach your employees
  • Policy development and governance

B. Training and Communications

  • Best practices in training and communications
  • Budget-sensitive training techniques
  • Impacting corporate culture with C&E communications
  • Technology tools to assist in training and communications

Michael R. Levin, James C. Knapp, Debra Sabatini Hennelly



12:30 Luncheon Segment: How Judges and Prosecutors View C&E Programs
  • What factors are important in signifying the existence of an effective compliance program?
  • What sends a message that a program is ineffective – or a sham?
  • Are there any changes in enforcement policy that compliance officers should be aware of?

TBA



1:45 Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense
  • Best practices in compliance auditing and monitoring
  • Program assessment: techniques to test if your program is working
  • Using data to enhance your program: what metrics can tell us
  • Compliance and ethics surveys

Matt Galvin,  Michael Ward

(CPE Field of Study: Auditing)



2:45 Networking Break

3:00 Addressing New Corporate Threats: Employment Law and Cybersecurity Compliance
  • Responding to #MeToo: Effective workplace harassment policies and training
  • Cybersecurity and global privacy challenges and compliance strategies
  • Emerging employment law trends that compliance professionals should know about
  • Incentives, performance evaluations, compensation and compliance

Brian Kaplan, James Mariani

(IAPP Privacy credit for Privacy Professionals)



4:00 Hot Topics in Compliance and Ethics

• The latest guidance and actions from the DOJ and SEC
• Case law updates on the Caremark duty and employer liability for sexual harassment
• Regulatory updates from the NLRB, FTC, and other administrative agencies

Paul E. McGreal



5:00 Adjourn

Day Two: 9:00 a.m. - 1:15 p.m.

9:00 Helplines, Investigations and Responding to Misconduct
  • Managing helplines and responding to reports
  • Combating the fear of retaliation
  • Best practices for conducting internal investigations
  • Maintaining the attorney-client (and other) privileges

Stephen C. King, Adam Siegel



10:00 Global Compliance and Compliance for Third Parties
  • Compliance standards from around the world
  • How your program can better resonate globally
  • Third-party compliance risks – assessing and mitigating them
  • Due diligence best practices
  • Effective third-party monitoring techniques

Maria C. Hermida, Eric F. Hinton



11:00 Networking Break

11:15 Real-World Compliance Challenges and How to Handle Them
  • Hear about real-world scenarios involving
  • Bribery
  • Conflicts of interest
  • Program independence and authority

Lisa Stewart Hughes, William B. Sailer, Victoria V. Sweeney



12:15 Ethics for Compliance Lawyers and Compliance Officers
  • Risk assessment, program assessment and attorney-client privilege
  • Ethical obligations for lawyers and compliance officers
  • Can lawyers or compliance officers be whistleblowers?
  • What compliance program communications can (and should) be privileged?

Benjamin Gruenstein, Joseph E. Murphy



1:15 Adjourn

Co-Chair(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Matt Galvin ~ VP Ethics & Compliance, Anheuser Busch InBev
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Debra Sabatini Hennelly ~ Founder & President, Resiliti
Maria C. Hermida ~ AVP Compliance, Anti-Bribery & Corruption Officer, USAA
Eric F. Hinton ~ Director, Rowling Center for Business Law & Leadership, Southern Methodist University
Lisa Stewart Hughes ~ Chief Compliance Officer, Endeavor
Janice L. Innis-Thompson ~ Chief Compliance Officer, Samsung, North America
Brian Kaplan ~ DLA Piper LLP (US)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Stephen C. King ~ Senior Vice-President, Counsel, Investigations, Mastercard
James C. Knapp ~ Investigations Director, Freddie Mac
Michael R. Levin ~ Senior Director, Ethics & Business Practices, Compliance Division, Ethics, AML & Sanctions, Diversity & Inclusion, Enterprise Risk Management Division, Freddie Mac
James Mariani ~ Frankfurt Kurnit Klein & Selz
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Kathryn S. Reimann ~ Senior Managing Director, Service Area Executive & Chief Quality Officer, Treliant, LLC
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Victoria V. Sweeney ~ Principal, Ethics and Compliance, KPMG LLP
Michael Ward ~ Vice President & Chief Compliance Officer, Juniper Networks
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:  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.

 

Why You Should Attend

Compliance and ethics programs are critically important to the success and growth of any organization. Effective programs allow organizations to identify and mitigate legal risks, thereby preventing reputational damage or harm to the value of a company. An effective compliance and ethics program also allows any organization, large or small, to establish itself as doing business with integrity, which enables organizations to command the respect of employees, customers, suppliers, and the government. With an increasingly tough enforcement environment, and greater demands for transparency and accountability from a variety of stakeholders, an effective compliance program is no longer just “nice-to-have.” It’s essential. A distinguished faculty, drawn from major corporations, academia, law firms and the government, will provide you with the tools you need to create or enhance a program that works to increase employee awareness and mitigate legal risk. Compliance and Ethics Essentials 2019 is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.

What You Will Learn 

  • New! Interactive panel involving real world compliance challenges and how to handle them
  • Recent developments, including guidance from the DOJ and cutting-edge, practical tools
  • Designing and conducting effective compliance risk assessments that enhance your program
  • Structuring your program for appropriate independence and authority
  • The evolving role of the board
  • Assessing your program and performing effective compliance audits
  • Investigating and managing allegations of wrongdoing
  • Best practices in compliance communications, training and tools
  • Mitigating the risks created by suppliers, agents and other third parties
  • Global compliance expectations and best practices
  • Ethics for compliance professionals

Special Feature

  • Earn one full hour of Ethics credit!

Who Should Attend

If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant, this event should be on your annual calendar.

Program Level: Overview

Intended Audience: If you are involved in any aspect of corporate compliance and ethics, as a general counsel or other in-house counsel, a compliance and ethics officer or manager, an internal audit or human resources professional, a risk manager or outside counsel or consultant.

Prerequisites: A background in the field of compliance and ethics, specifically in creating and enhancing quality 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: 8:00 a.m. - 4:00 p.m.

8:00 Opening Remarks and Introduction
  • The Elements and Characteristics of an Effective Compliance and Ethics Program

Rebecca Walker



8:15 Board Oversight and Program Structure: Program Authority and Independence

Case study of effective program structures, exploring issues such as:

  • Chief Compliance and Ethics Officer positioning
  • Compliance directors and other program staffing
  • Relationships with HR, internal audit and other functions
  • Oversight of subsidiaries, JVs and other affiliates
  • Best practices in Board oversight and support

Janice L. Innis-Thompson



9:15 Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
  • Practical tools for identifying and assessing legal and compliance risk
  • Using risk assessment results to enhance your program
  • Reporting on your risk assessment
  • The risks of risk assessment: avoiding those things that can go wrong

Jeffrey M. Kaplan, Kathryn S. Reimann



10:15 Networking Break

10:30 Compliance Codes, Training and Communications

A. Codes and Policies

  • Codes of Business Conduct that reach your employees
  • Policy development and governance

B. Training and Communications

  • Best practices in training and communications
  • Budget-sensitive training techniques
  • Impacting corporate culture with C&E communications
  • Technology tools to assist in training and communications

Michael R. Levin, James C. Knapp, Debra Sabatini Hennelly



11:30 Luncheon Segment: How Judges and Prosecutors View C&E Programs
  • What factors are important in signifying the existence of an effective compliance program?
  • What sends a message that a program is ineffective – or a sham?
  • Are there any changes in enforcement policy that compliance officers should be aware of?

TBA



12:45 Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense
  • Best practices in compliance auditing and monitoring
  • Program assessment: techniques to test if your program is working
  • Using data to enhance your program: what metrics can tell us
  • Compliance and ethics surveys

Matt Galvin,  Michael Ward

(CPE Field of Study: Auditing)



1:45 Networking Break

2:00 Addressing New Corporate Threats: Employment Law and Cybersecurity Compliance
  • Responding to #MeToo: Effective workplace harassment policies and training
  • Cybersecurity and global privacy challenges and compliance strategies
  • Emerging employment law trends that compliance professionals should know about
  • Incentives, performance evaluations, compensation and compliance

Brian Kaplan, James Mariani

(IAPP Privacy credit for Privacy Professionals)



3:00 Hot Topics in Compliance and Ethics

• The latest guidance and actions from the DOJ and SEC
• Case law updates on the Caremark duty and employer liability for sexual harassment
• Regulatory updates from the NLRB, FTC, and other administrative agencies

Paul E. McGreal



4:00 Adjourn

Day Two: 8:00 a.m. - 12:15 p.m.

8:00 Helplines, Investigations and Responding to Misconduct
  • Managing helplines and responding to reports
  • Combating the fear of retaliation
  • Best practices for conducting internal investigations
  • Maintaining the attorney-client (and other) privileges

Stephen C. King, Adam Siegel



9:00 Global Compliance and Compliance for Third Parties
  • Compliance standards from around the world
  • How your program can better resonate globally
  • Third-party compliance risks – assessing and mitigating them
  • Due diligence best practices
  • Effective third-party monitoring techniques

Maria C. Hermida, Eric F. Hinton



10:00 Networking Break

10:15 Real-World Compliance Challenges and How to Handle Them
  • Hear about real-world scenarios involving
  • Bribery
  • Conflicts of interest
  • Program independence and authority

Lisa Stewart Hughes, William B. Sailer, Victoria V. Sweeney



11:15 Ethics for Compliance Lawyers and Compliance Officers
  • Risk assessment, program assessment and attorney-client privilege
  • Ethical obligations for lawyers and compliance officers
  • Can lawyers or compliance officers be whistleblowers?
  • What compliance program communications can (and should) be privileged?

Benjamin Gruenstein, Joseph E. Murphy



12:15 Adjourn

Co-Chair(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Matt Galvin ~ VP Ethics & Compliance, Anheuser Busch InBev
Benjamin Gruenstein ~ Cravath, Swaine & Moore LLP
Debra Sabatini Hennelly ~ Founder & President, Resiliti
Maria C. Hermida ~ AVP Compliance, Anti-Bribery & Corruption Officer, USAA
Eric F. Hinton ~ Director, Rowling Center for Business Law & Leadership, Southern Methodist University
Lisa Stewart Hughes ~ Chief Compliance Officer, Endeavor
Janice L. Innis-Thompson ~ Chief Compliance Officer, Samsung, North America
Brian Kaplan ~ DLA Piper LLP (US)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Stephen C. King ~ Senior Vice-President, Counsel, Investigations, Mastercard
James C. Knapp ~ Investigations Director, Freddie Mac
Michael R. Levin ~ Senior Director, Ethics & Business Practices, Compliance Division, Ethics, AML & Sanctions, Diversity & Inclusion, Enterprise Risk Management Division, Freddie Mac
James Mariani ~ Frankfurt Kurnit Klein & Selz
Paul E. McGreal ~ Professor of Law, Creighton University School of Law
Joseph E. Murphy ~ Senior Advisor, Compliance Strategists, LLC
Kathryn S. Reimann ~ Senior Managing Director, Service Area Executive & Chief Quality Officer, Treliant, LLC
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Victoria V. Sweeney ~ Principal, Ethics and Compliance, KPMG LLP
Michael Ward ~ Vice President & Chief Compliance Officer, Juniper Networks
Program Attorney(s)
Meghan Carney Cavagnaro ~ Senior Program Attorney, Practising Law Institute
Nashville Groupcast Location

The Nashville Bar Association, 150 4th Avenue, North, Suite #1050, Nashville, TN 37219. (615) 242-9272.

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.

 

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Compliance & Ethics Essentials 2018 Theodore L. Banks, Scharf Banks Marmor LLC
Rebecca Walker, Kaplan & Walker LLP
 
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