On-Demand   On-Demand Web Programs

Corporate Compliance and Ethics Institute 2017

Released on: Jun. 6, 2017
Running Time: 13:09:56

Compliance and ethics programs are essential to the success and growth of any organization. Such programs allow organizations to identify and mitigate legal risks before they become serious problems. The effective compliance and ethics program also allows an organization of any size to establish itself as one that does business with integrity. This will not only avoid legal problems, but enable it to command the respect of employees, customers, suppliers, and government enforcement officials.  In this era of increasing transparency and expectations, not just having a program – but having a robust program – is critical. PLI’s Compliance and Ethics Institute will help you get there. In this program, 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 compliance and ethics program. The program is highly interactive and includes case studies, practical tools and real-time benchmarking with peers.  Whether you are constructing a new program or refining an existing one, our panels of experts will help ensure that your company’s program satisfies government standards and best practices expectations, and reaches the hearts and minds of your employees.

You will learn:

  • Recent developments in compliance and ethics, including guidance from the Department of Justice and real-world tools from leading organizations 
  • Understanding new compliance priorities in the Trump Administration
  • Designing and conducting effective compliance risk assessments that you can use to enhance your program 
  • Structuring your program for appropriate independence and authority 
  • The evolving role of the Board in overseeing and supporting a program and preventing governance failures  
  • Assessing your program and performing effective compliance audits 
  • Effective reporting structures and helpline best practices
  • Investigating and managing allegations of wrongdoing 
  • Best practices in compliance communications and training 
  • Mitigating the risks created by suppliers, agents and other third parties 
  • Global compliance expectations and best practices
  • Cybersecurity and social media compliance
  • Where employment law and compliance meet

The Institute will benefit anyone involved in any aspect of corporate compliance and ethics, including general counsel and other in-house counsel, compliance and ethics officers, compliance and ethics managers and other members of the compliance and ethics departments of organizations, internal audit and human resources personnel, risk managers, outside counsel and consultants involved in advising on compliance and ethics subjects or programs, and government attorneys involved in review of compliance and ethics programs.

Lecture Topics [Total time 13:09:56]

Segments with an asterisk (*) are available only with the purchase of the entire program.


  • The Elements and Characteristics of an Effective Compliance and Ethics Program* [00:11:21]
    Rebecca Walker
  • Board Oversight and Program Structure: Program Authority and Independence [01:00:30]
    Jeffrey Taylor, Rebecca Walker
  • Compliance and Ethics Risk Assessments: The Foundation of Effective Programs [00:57:47]
    Gretchen A. Winter, Jennifer Heller, Ellen M. Hunt
  • Compliance Codes, Training and Communications [01:01:46]
    Jack Holleran, Jessica B. Liberman, Allan Tananbaum
  • The Government’s Perspective on Effective C&E Programs [00:45:27]
    Andrew Weissmann
  • Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense [01:00:50]
    Jeffrey M. Kaplan, Janice L. Innis-Thompson
  • Social Media and Cybersecurity Challenges and Compliance [00:58:00]
    Michelle Anderson, Michael Bramnick
  • Hot Topics in Compliance and Ethics [01:02:26]
    Paul E. McGreal
  • Helplines, Investigations and Responding to Misconduct [01:02:54]
    Michael Ortwein, Adam Siegel
  • Global Compliance Issues [01:01:13]
    Lisa Stewart Hughes, Karen Handelsman Moore
  • Real-World Compliance Challenges and How to Handle Them [01:02:52]
    Andrew J. Hinton, Kathryn S. Reimann
  • The Intersection of Employment Law and Compliance [01:01:51]
    Brian Kaplan, William B. Sailer
  • Compliance for Third Parties [01:02:20]
    Randi Roberts, Mark Ehrlich
  • Ethics for Compliance Lawyers and Compliance Officers [01:00:39]
    Gretchen A. Winter, Jeffrey M. Kaplan

The purchase price of this Web Program includes the following articles from the Course Handbook available online:


  • COMPLETE COURSE HANDBOOK
  • The Evolution of the Law of Corporate Compliance in the United States: A Brief Overview (February 2017)
    Rebecca Walker
  • “C” Is for Crucible: Behavioral Ethics, Culture, and the Board’s Role in C-Suite Compliance
    Scott Killingsworth
  • Rebecca Walker and Jeffrey M. Kaplan, Reporting to the Board on the Compliance and Ethics Program, Compliance & Ethics Professional, June 2014, at 59
    Rebecca Walker, Jeffrey M. Kaplan
  • Rebecca Walker, Extending the Reach of Your Program: Compliance and Ethics Liaisons, Compliance & Ethics Professional, December 2014, at 21
    Rebecca Walker
  • Jeffrey M. Kaplan, “Point-of-Risk” Compliance, Conflict of Interest Blog (November 28, 2015), http://conflictofinterestblog.com/2015/11/pointof-risk-compliance.html
    Jeffrey M. Kaplan
  • Risk Assessments and Systems Evaluations—A Simple But Powerful Strategy for Effective Enterprise Risk Management (February 10, 2014)
    James Nortz
  • Codes, Training & Communication: Using the Mobile Device in a Compliance Program
    Garin L. Bergman
  • Codes of Conduct—How to Plan a Project (February 2017)
    Jack Holleran, Jessica B. Liberman
  • U.S. Dep’t of Justice, Criminal Div., Memo on Evaluation of Corporate Compliance Programs (February 8, 2017)
    Rebecca Walker
  • Jeffrey M. Kaplan, Asking a Good Question, Conflict of Interest Blog (December 17, 2016), http://conflictofinterestblog.com/2016/12/askinga-good-question.html
    Jeffrey M. Kaplan
  • Social Media and the Law—False Advertising, SPAM and Privacy and Data Security Issues
    Alan L. Friel
  • Employment and Social Media Law: What Employers Can and Cannot Do to Manage Employee “Speech” on the Internet
    Sarah R. Marmor
  • Social Media and Cybersecurity Challenges and Compliance
    Michael Bramnick
  • An Introduction to Corporate Compliance and Ethics Programs
    Paul E. McGreal
  • Internal Investigations
    Scott R. Lassar
  • Paying for Lawyers: Some Issues for General Counsels
    Ira H. Raphaelson
  • The Road Not Taken—Some Observations on Ethical Dilemmas in Internal Investigations
    Ira H. Raphaelson
  • The Challenge of Global Antitrust Compliance
    Roxane C. Busey
  • Keith T. Darcy, Ethics and Compliance: Birth of a Profession, Journal of Business Compliance, June 2013, at 36
    Vito Giovingo
  • Global Standards for an Effective Compliance Program (February 2017)
    Lisa Stewart Hughes
  • FLSA Flubs and Fumbles: Independent Contractors and Joint Employment
    Burton L. Reiter
  • Pay Equity: The Employer Information Report (EEO-1)
    Kwame S. Salter
  • NLRB Decisions’ Impact on Employee Handbooks and Other Policies (February 10, 2017)
    Kathryn M. Woodward
  • FLSA Flubs and Fumbles: A Study Group on Wage and Hour Missteps (and How to Avoid Them in Your Workplace) (PowerPoint slides)
    Burton L. Reiter
  • The Intersection of Employment Law and Compliance NLRB Decisions’ Impact on Handbooks and Policies (PowerPoint slides)
    Kathryn M. Woodward
  • Five Quick Tips for Writing or Revising Your Third-Party or Partner Code of Conduct
    Eric Morehead
  • Ethical Considerations in Compliance: Professional and Substantive—Selected Background Information (February 3, 2017)
    Theodore L. Banks
  • Legal Ethics for Compliance Lawyers: An Overview
    Matthew Tanzer, Jeffrey M. Kaplan, Rebecca Walker

Presentation Material


  • PowerPoint for "The Elements and Characteristics of an Effective Compliance and Ethics Program" Segment
    Rebecca Walker
  • PowerPoint for "Board Oversight and Program Structure: Program Authority and Independence" Segment
    Jeffrey Taylor, Rebecca Walker
  • Handout for "Compliance and Ethics Risk Assessments: The Foundation of Effective Programs" Segment
    Jennifer Heller, Ellen M. Hunt, Gretchen A. Winter
  • PowerPoint for "Compliance and Ethics Risk Assessments: The Foundation of Effective Programs" Segment
    Jennifer Heller, Ellen M. Hunt, Gretchen A. Winter
  • PowerPoint # 2 for "Compliance Codes, Training and Communications" Segment
    Allan Tananbaum
  • PowerPoint for "Compliance Codes, Training and Communications" Segment
    Jack Holleran, Jessica B. Liberman
  • PowerPoint for "Monitor, Audit, and Assess: Explore the Three Lines of Compliance Defense" Segment
    Jeffrey M. Kaplan
  • PowerPoint for "Social Media and Cybersecurity Challenges and Compliance" Segment
    Michelle Anderson
  • PowerPoint for "Hot Topics in Compliance and Ethics" Segment
    Paul E. McGreal
  • PowerPoint for "Helplines, Investigations and Responding to Misconduct" Segment
    Michael Ortwein, Adam Siegel
  • PowerPoint for "Global Compliance Issues" Segment
    Lisa Stewart Hughes, Karen Handelsman Moore
  • PowerPoint for "Real-World Compliance Challenges and How to Handle Them" Segment
    Andrew J. Hinton, Kathryn S. Reimann, Rebecca Walker
  • PowerPoint for "The Intersection of Employment Law and Compliance" Segment
    Brian Kaplan, William B. Sailer
  • PowerPoint for "Compliance for Third Parties" Segment
    Mark Ehrlich
  • PowerPoint for "Compliance for Third Parties" Segment
    Randi Roberts
  • PowerPoint for "Ethics for Compliance Lawyers and Compliance Officers" Segment
    Jeffrey M. Kaplan, Gretchen A. Winter
Chairperson(s)
Rebecca Walker ~ Kaplan & Walker LLP
Speaker(s)
Michelle Anderson ~ DLA Piper LLP (US)
Michael Bramnick ~ Senior Vice President, Chief of Staff & Chief Compliance Officer, NRG Energy, Inc.
Mark Ehrlich ~ Vice President, Global Ethics and Compliance, Hilton Worldwide
Jennifer Heller ~ Vice President, Chief Compliance Officer and Senior Deputy General Counsel, Comcast Corporation
Andrew J. Hinton ~ Vice President of Global Ethics & Compliance , Google Inc.
Jack Holleran ~ Senior Vice-President, Compliance, Moody's Corporation
Lisa Stewart Hughes ~ Vice President, Deputy Chief Compliance Officer, NBCUniversal
Ellen M. Hunt ~ Senior Vice President- Audit, Ethics & Compliance Officer, AARP
Janice L. Innis-Thompson ~ Former Chief Compliance & Ethics Officer, TIAA and Senior Consultant, Compliance Strategies
Brian Kaplan ~ DLA Piper LLP (US)
Jeffrey M. Kaplan ~ Kaplan & Walker LLP
Jessica B. Liberman ~ Associate General Counsel, Moody's Corporation
Paul E. McGreal ~ Dean and Professor of Law, Creighton University School of Law
Karen Handelsman Moore ~ Global Compliance Officer, Inchcape Shipping Services
Michael Ortwein ~ Lead Counsel, Special Investigations, General Motors
Kathryn S. Reimann ~ Chief Compliance Officer and Managing Director, Citibank, N.A. & Global Consumer Banking
Randi Roberts ~ Senior Compliance Officer, Criteo
William B. Sailer ~ Senior VP, Legal Counsel, Qualcomm Incorporated
Adam Siegel ~ Freshfields Bruckhaus Deringer LLP
Allan Tananbaum ~ VP – Compliance & Deputy General Counsel, Ingersoll Rand
Matthew Tanzer ~ Vice President, Chief Ethics & Compliance Officer, Johnson Controls
Jeffrey Taylor ~ Deputy General Counsel and Chief Compliance Officer, General Motors
Andrew Weissmann ~ Chief, Fraud Section, Criminal Division, U.S. Department of Justice
Gretchen A. Winter ~ Executive Director, Center for Professional Responsibility in Business and Society, GiesCollege of Business, University of Illinois at Urbana-Champaign
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.


U.S. MCLE States

Alabama:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

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 on-demand web programs 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 on-demand web programs are not approved for Arkansas CLE credit.

California:  PLI’s on-demand web programs 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 on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

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 on-demand web programs 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 on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

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 on-demand web programs qualify as “distance education” credit. Attorneys are limited to 9 credits of distance education per reporting period.

Iowa:  PLI’s on-demand web programs qualify as “unmoderated” credit. Attorneys are limited to 6 credits of unmoderated programs per reporting period.

Kansas:  PLI’s on-demand web programs qualify as “prerecorded” credit. Attorneys are limited to 6 credits of prerecorded programs per reporting period.

Kentucky:  PLI’s on-demand web programs qualify as “non-live” credit. Attorneys are limited to 6 non-live credits per reporting period.

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

Maine:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5.5 credits of self-study per reporting period.

Minnesota:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 15 on-demand credits per reporting period.

Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

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

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

New Hampshire:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

New Jersey:  PLI’s on-demand web programs 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 on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

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 on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

North Carolina:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 6 credits of online programs per reporting period.

North Dakota:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

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

Oklahoma:  PLI’s on-demand web programs qualify as “online, on-demand” credit. Attorneys are limited to 6 credits of online, on-demand programs per reporting period.

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 on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

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

Rhode Island:  PLI’s on-demand web programs qualify as “on-demand” credit. Attorneys are limited to 3 on-demand credits per reporting period.

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

Tennessee:  PLI’s on-demand web programs 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 on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

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 on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  PLI’s on-demand web programs qualify as “A/V” credit. Attorneys are limited to 22.5 credits of A/V programs per reporting period.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

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


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as “QAS Self-Study” credit. 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 on-demand web programs 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 on-demand web programs 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 on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

 

Related Items

Live Programs  Live Programs

Compliance & Ethics Essentials 2018 (New York, NY) May. 31. - Jun. 1, 2018
Compliance & Ethics Essentials 2018 (Chicago, IL) Apr. 30. - May. 1, 2018

Handbook  Course Handbook Archive

Compliance & Ethics Essentials 2018  
Corporate Compliance and Ethics Institute 2017 Theodore L Banks, Scharf Banks Marmor LLC
Rebecca Walker, Kaplan & Walker LLP
 
Share
Email

  • FOLLOW PLI:
  • twitter
  • LinkedIn
  • GooglePlus
  • RSS

All Contents Copyright © 1996-2017 Practising Law Institute. Continuing Legal Education since 1933.

© 2017 PLI PRACTISING LAW INSTITUTE. All rights reserved. The PLI logo is a service mark of PLI.