The Society of Corporate Compliance & Ethics 14th Annual
Compliance &
Ethics Institute
October 4–7, 2015
ARIA in Las Vegas
Las Vegas, NV
GENERAL SESSION SPEAKERS ANNOUNCED
Marjorie W. Doyle
Debbie Troklus
Odell Guyton
Art Weiss
Dr. Garrett Reisman
Kelly R. Welsh
Cam Marston
Roy Snell
Marjorie Doyle &
Associates, LLC
STS-132; Crewmember,
International Space Station
Managing Director,
Aegis Compliance
and Ethics Center
General Counsel,
U.S. Department of
Commerce
Vice President,
Global Compliance,
Jabil Circuit, Inc.
Author,
Generational Insights
Chief Compliance &
Ethics Officer,
TAMKO Building Products
CEO, Society of Corporate
Compliance & Ethics
Learn more and register at complianceethicsinstitute.org
Questions?: Lizza.catalano@corporatecompliance.org
About the Compliance & Ethics Institute
Learning Objectives
··
··
SCCE’s annual Compliance & Ethics
Institute is the primary education and
networking event for professionals
working in the compliance and
ethics profession across all industries
around the world. Sessions at the 2015
conference will offer the latest compliance
information on hot topics and current
events. Sessions are carefully selected and
will be presented by leading experts who
will explore real-world compliance issues,
practical application, emerging trends,
and state of the art techniques.
Pre-Conference sessions will be offered
on Sunday, October 4. The day is divided
into two longer sessions: morning and
afternoon. The longer time frame allows
for in-depth discussion and interaction
covering topics in more detail.
Post-Conference workshops will be
offered on Wednesday, October 7. The
interactive sessions are designed to
cover some of the most important and
timely topics.
2
Provide your organization with the most
current views concerning the corporate
regulatory environment, internal controls
and the overall conduct of business
Enhance strategic thinking on how to
develop compliance and ethics programs to address potential corporate
regulatory problems
SCCE would like to thank the
2015 Compliance & Ethics Institute
Planning Committee
Andrijana Bergant, CCEP-I
Multi-National/International Track Program Chair;
Advisor of the Compliance and Integrity Centre,
NLB d.d.
Donna C. Boehme, JD, CCEP-F, CCEP-I,
General Compliance/Hot Topics Track Program
Co-Chair; Compliance Lawyer Track Program
Co-Chair; Principle, Compliance Strategists, LLC
··
Address compliance, internal audit, and
ethics issues common to all industries
and professions
Marjorie W. Doyle, JD, CCEP-F, CCEP-I,
Case Study Track Program Chair;
Marjorie Doyle & Associates, LLC
··
Obtain insight on how to develop and
implement compliance and ethics programs that reflect current trends and
guidance from broad industry segments
Al Gagne, MBA CCEP, Advanced
Who Should Attend
The Compliance & Ethics Institute is
designed for compliance and ethics professionals and those who work with them in
either an advisory or partnership capacity,
including (but not limited to):
Discussion Group Track Program Chair;
Former Director, Ethics and Compliance,
Textron Systems Corporation (retired)
Odell Guyton, CCEP, CCEP-I,
SCCE Co‑Chair, Vice President,
Global Compliance, Jabil Circuit, Inc.
Joseph E. Murphy, JD,
CCEP, CCEP‑I, General Compliance/Hot Topics
Track Program Co-Chair; Compliance Lawyer
Track Program Co-Chair; Senior Advisor,
Compliance Strategists
Daniel Roach, JD,
Co-Chair, SCCE Advisory Board;
General Counsel, Optum360
··
Compliance and ethics professionals
··
Audit managers
··
Compliance and ethics journalists
··
Compliance and ethics trainers
and analysts
··
Consultants
··
Corporate executives
(including CEOs and CFOs)
··
Ethics professionals
··
Human resource managers
Adam Turteltaub, CHC, CCEP,
Vice President of Membership
Development, Society of Corporate
Compliance and Ethics
··
Information officers
Rebecca Walker, JD,
··
In-house and outside counsel
Compliance Lawyer Track Program
Co-Chair; Partner, Kaplan & Walker LLP
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Privacy officers
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Regulators and other government
personnel
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Researchers and policy makers
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Risk managers
··
Staff educators and trainers
Roy Snell, CHC, CCEP, IT Compliance
Track Program Chair; CEO, Society of
Corporate Compliance and Ethics
Greg Triguba, JD, CCEP, CCEP-I,
Risk Track Program Chair; Senior
Practice Leader, Ethics, Compliance
and Risk, Affiliated Monitors, Inc.
Art Weiss, JD, CCEP-F, CCEP-I,
Ethics Track Program Chair; Chief
Compliance and Ethics Officer,
TAMKO Building Products
www.complianceethicsinstitute.org
Don’t Let Your Learning Get Derailed at the Compliance & Ethics Institute
Follow a Learning Track
There’s a wealth of learning options at the Compliance & Ethics Institute, with
tons of valuable insights to bring back to your program. So, how do you choose
the right sessions for you?
We’ve arranged the sessions into learning tracks to help make the course
selection easier for you. Each track is arranged around a specific area of interest,
enabling you to quickly find the sessions that match your needs. You can follow
one track all the way through, or hop around among them. But no matter what
you choose, you’ll find our tracks to be an easy way to help pick the right
Compliance & Ethics Institute sessions for you.
GENERAL COMPLIANCE/
HOT TOPICS
Everything from Compliance 101 to hot
topics like detecting identity theft and
privacy breaches
This track will keep you up to date on
everything that’s currently happening in
the compliance and ethics environment
as well as bring you back to the basics
and keep you grounded. Learn what you
need to know from compliance & ethics
officers, regulators, outside counsel,
in-house counsel, auditors, providers and
industry experts.
ETHICS
Immerse yourself in ethics
There are few things more challenging
or rewarding to manage than ethics
issues. It’s a topic where everyone has an
opinion. The subtleties are great, and they
can make all the difference in the world.
Ethics Track sessions will cover the ethical
considerations that C&E professionals need
to understand and manage effectively.
www.complianceethicsinstitute.org
RISK
Effectively Managing Risk Across
Your Organization
Risk and how to effectively manage it is
a top priority for global organizations.
Designed by our Risk Track Program
Chair, Greg Triguba, these engaging and
insightful sessions are focused on best
practices and the effective management of
risk across all major ethics and compliance
focus areas facing global organizations
today. Led by leading experts in the field,
participants will gain valuable perspective
on program strategies, practical solutions,
and cutting edge methods that can be used
to most effectively manage and mitigate
their organizational risks.
CASE STUDIES
Just the facts: Case studies in ethics
and compliance
It’s one thing to discuss the issues
compliance and ethics professionals face.
It’s another thing to see what companies
have actually done to effectively manage
these challenges. The Case Study track will
take you inside companies and show you
how they’ve handled specific issues.
COMPLIANCE LAWYER
For the in-house and outside counsel
This track is designed to meet the specific
needs of the legal community on the hot
compliance topics for legal counsel. On it
you’ll find insights of value to your practice
and your clients.
IT COMPLIANCE
This track is designed to meet the specific
needs of the IT community on the hot
compliance topics.
MULTI-NATIONAL/
INTERNATIONAL
Global compliance and ethics programmes
face added and fast changing complexities
Chaired by Marjorie Doyle, the
International/Multinational Track will
dive deeper into the needs of the global
programme and the topics that are
creating the biggest challenges for global
companies today.
ADVANCED DISCUSSION
GROUPS
Been there, done that? Join an advanced
discussion group and share what you know
If you’re an experienced compliance and
ethics professional or looking for a more
interactive program, this track is for
you. Each session is designed to involve
everyone in the room. There are no formal
presentations, just discussion facilitated by
industry experts.
NEW THIS YEAR: Advanced Discussion Groups will be filled
on a first-come, first-served basis. Attendance is limited to
the first 50 attendees. Pre-registration is not available for
these sessions.
3
Don’t miss SCCE’s 9th Annual
Volunteer Project
Saturday, October 3, 2015
SCCE is partnering with Three Square, a Feeding
America affiliate, giving you the opportunity to make a
difference and supply food to kids, adults and seniors
who desperately need food in southern Nevada.
One in six Southern Nevadans struggle with hunger –
that’s more than 315,000 people who are food insecure,
which includes more than 128,000 children. Three
Square is on a mission to provide wholesome food to
hungry people, while passionately pursuing a hunger-free
community. By volunteering you will provide hunger-relief
by helping Three Square connect men, women, children
and seniors with the resources they need to have
nutritional food everyday.
Join your colleagues and network with a purpose as
you help to feed the hungry by sorting and packing
donated produce and canned items. Grocery packing
benefits individuals who receive meal assistance in the
community of Southern Nevada.
Registration for this event is free and includes a
volunteer t-shirt, lunch and transportation to and from
Fast Facts about Hunger
from Three Square:
Food insecurity occurs when people
aren’t able to secure enough food for
a healthy diet and active lifestyle, at
some point during the year.
Three Square and Feeding America
estimate the number of food-insecure
persons in our service area (Clark,
Nye, Lincoln and Esmeralda counties)
to be 315,000.
the project location. Register now.
For more information about volunteering, contact Lizza Catalano at
|izza.catalano@corporatecompliance.org
Time of volunteer project subject to change.
4
www.complianceethicsinstitute.org
SCCE would like to thank our
Conference Sponsors
PLATINUM
GOLD
®
Interested in sponsorship? Visit
SILVER
www.complianceethicsinstitute.org
complianceethicsinstitute.org/
SponsorExhibit
5
PROGRAM AT A GLANCE
Saturday, October 3
11:00 am – 3:30 pm
3:00 – 7:00 pm
Volunteer Project
Registration Open
Sunday, October 4
SpeedNetworking – Registration required www.complianceethicsinstitute.org/speedmentors
(includes 15-minute break)
Registration Open
P1 Ethics & Compliance Risk Management 101: Program Essentials and Effective Practice – Greg Triguba, Senior Practice Leader, Ethics, Compliance and
Risk, Affiliated Monitors, Inc.; Caroline McMichen, Chief Ethics & Compliance Officer, Molson Coors Brewing Company
P2 T he Dollars and Sense of Ethics - Using Games to Build Accountability – Marcy J. Maslov, Chief Integrity Builder, e-Factor!®- the educational board game
for business ethics
P3 H
ow to Utilize an Ethics and Compliance Liaison Structure to Dramatically Intensify your Program’s Reach and Impact in a Cost-Efficient Manner –
Samantha E. Greves, Compliance & Ethics Professional; Michael Kallens, Associate General Counsel & Manager of Corporate Ethics and Compliance, Booz Allen
Hamilton; Courtney Wallize, Corporate Director Ethics, Northrop Grumman Corporation; Anne R. Harris, Principal, Ethics Works, LLC.
P4 Carrots Before Sticks: Motivating Mid-Sized Businesses in Emerging Markets to Launch Compliance Programs – Frank Brown, Value Chain/AntiCorruption Program Team Leader, Center for International Private Enterprise; Anna Nadgrodkiewicz, Director, Multiregional Programs, Center for International
Private Enterprise
P5 Learning from Recent FCPA Enforcement Actions: Why Internal Controls and Data Analytics Should be Integral to Your FCPA and Anti-Corruption
Program – Thomas R. Fox, Principal, TOMFOXLAW.COM; Joe Oringel, Managing Director, Visual Risk IQ
P6 T he Seven Essential Elements: Tailoring Your Compliance Program for an IT-Centric Industry – Kira A. Fuller, Compliance Skill Community Director, National
Security Agency; Scarlett R. Wirt, Assistant Director for Standards, Measures, and Improvements, Office of the Director of Compliance, National Security Agency
P7 Compliance 101 – Debbie Troklus, Managing Director, Aegis Compliance and Ethics Center; Sheryl Vacca, Senior Vice President and Chief Compliance & Audit
Officer, University of California
P8 Bringing Big Shots Back to Earth – Stephen M. Paskoff, President & CEO, ELI®, Inc.
P9 Investigations Workshop
PRE-CONFERENCE MORNING
BREAKOUT SESSIONS
9:00 am – 12:00 pm
7:30 – 8:30 am
7:30 am – 6:00 pm
Part I (9:00-10:00 am): Beginning the Investigation and Interviewing the Reporter – Al Gagne, Former Director, Ethics & Compliance, Textron Systems
Corporation (retired); Latour (LT) Lafferty, Partner, Holland & Knight LLP
Part II (10:00-11:00 am): Planning the Investigation – Meric C. Bloch, Principal, Winter Compliance LLC
Part III (11:15 am-12:00 pm): Taking Effective Interviews – Meric C. Bloch, Principal, Winter Compliance LLC.
SpeedMentoring– Registration required www.complianceethicsinstitute.org/speedmentors
(includes 15-minute break)
Lunch (on your own)
P10 Advanced Risk Management Practice: Risk Impact, Benchmarking, and the Psychology of Risk – Rebecca Walker, Partner, Kaplan & Walker LLP;
Adam Turteltaub, VP Membership, SCCE/HCCA
P11 Entertaining Ethics Training: How to Avoid Death By Powerpoint – Paul Fiorelli, Professor of Legal Studies and Co-Director, Cintas Institute,
Xavier University
P12 Strengthening Culture Through Innovative Training – Steven Priest, President, Integrity Insight International; Saira Jesrai, Senior Compliance Officer,
Marsh & McLennan Companies
P13 D
eveloping and Implementing Global Compliance Programs Outside of the US - Intricacies and Culture Considerations That Make a Program Truly
Global and Effective in a Multinational Company – Kari Wagensteen, Director of Compliance, North America, Carlson Wagonlit Travel; Renata Moreti, Director
of Compliance LATAM, Carlson Wagonlit Travel; Johan Thorell, Director of Compliance, EMEA, Carlson Wagonlit Travel
P14 New Mandate, New Mindset: Making a Successful Transition into a Compliance & Ethics Career (What Lawyers, In-House Counsel & Others in
Transition Need To Know) – Donna Boehme, Principal, Compliance Strategists LLC; Judith Nocito, Former Director - Global Compliance, Alcoa (Retired); Senior
Advisory, Compliance Strategists LLC; Patrick Gnazzo, Principal, Better Business Practices; Robert Bond, Partner and Notary Public, Charles Russell Speechlys LLP
P15 Immediately Address IT Access Compliance Challenges with These Techniques, Using Tools You Already Have – John Vastano, CSO, Veriphyr, Inc.;
Alan Norquist, CEO & Founder, Veriphyr, Inc.
P16 Ethics and Compliance Training from A to Z: How to Create Outstanding Training Programs – Greg Walters, Trial Attorney, U.S. Dept of Housing &
Urban Development
P17 Social Media: Behind the Curtain – Kortney Q. Nordrum, Esq., Project Manager & Social Media Expert, SCCE & HCCA
P18 Investigations Workshop (continued from P9)
PRE-CONFERENCE AFTERNOON
BREAKOUT SESSIONS
1:30 pm – 4:30 pm
12:00 – 1:00 pm
12:00 – 1:30 pm
Part IV (1:30-2:30 pm): Revealing and Analyzing Documents – Latour (LT) Lafferty, Partner, Holland & Knight LLP
Part V (2:45-3:45 pm): Preparing the Investigation Report – Al Gagne, Former Director, Ethics & Compliance, Textron Systems Corporation (retired)
Part VI (3:45-4:30 pm): Q&A Panel – Meric C. Bloch, Principal, Winter Compliance LLC; Al Gagne, Former Director, Ethics & Compliance, Textron Systems
Corporation (retired); Latour (LT) Lafferty, Partner, Holland & Knight LLP
Opening Tailgate Reception in Exhibit Hall Sponsored by NAVEX Global ™
Authors’ Reception and Compliance & Ethics Academy Reunion
TweetUp Sponsored by PwC
Vendor SpeedMeetings
4:30 – 6:00 pm
5:30 – 6:30 pm
6:00 – 7:00 pm
6:00 – 7:00 pm
RISK
6
ETHICS
Agenda subject to change
CASE STUDIES
MULTI-NATIONAL/
INTERNATIONAL
COMPLIANCE
LAWYER
IT COMPLIANCE
GENERAL COMPLIANCE/
HOT TOPICS
INVESTIGATIONS
WORKSHOP
ADVANCED
DISCUSSION GROUPS
www.complianceethicsinstitute.org
PROGRAM AT A GLANCE
Monday, October 5
6:30 – 7:30 am
7:00 am – 6:00 pm
7:00 – 8:15 am
8:15 – 8:30 am
8:30 – 9:30 am
Yoga (Pre-registration required)
Registration Open
Continental Breakfast in Exhibit Hall Sponsored by The Red Flag Group
Opening Remarks
General Session - Four Generations in the Workplace and What it Means for Your Compliance Program – Cam Marston, Author, Generational Insights
General Session - Wonders of Spaceflight and its Risks: Lesson from the Space Shuttle Program – Dr. Garrett Reisman, Mission Specialist, STS-132;
Crewmember, International Space Station; Twitter: @astro_g_dogg
Networking Break in Exhibit Hall Sponsored by Loyola University Chicago School of Law
101 Global Anti-Corruption Programs: Advanced Practice and Effectively Managing Risk – John G. Rahie, Managing Director, Freeh Group International; Of
Counsel, Pepper Hamilton LLP. Former Executive Director, General Motors Legal; Jeff Killeen, Compliance Attorney - Investigations, 3M Company
102 H
earing the Whistleblower: Building and Maintaining an Effective Ethics Reporting Program – Karen M. Aavik, First Vice President, Wealth Management
Compliance Officer, FNFG Ethics Officer, First Niagara Financial Group, Inc.
103 Engaging Business Leaders By Linking Ethics and Compliance to Business Strategy – Stephen B. Harris, VP- Chief Compliance Officer, The Hartford
104 Anti-Corruption Update for Europe – Sally March, Director, Drummond March & Co; Charles Duross, Partner, Morrison & Foerster LLP
105 W
hat to Do When the Government Comes Knocking – Gabriel L. Imperato, Managing Partner, Broad & Cassel
106 Privacy Compliance in the Digital Age – Dan Oseran, Senior Director of Global Privacy Compliance, eBay
107 Compliance and Ethics Issues in the Retail Industry – Eric F. Hinton, Chief Ethics & Compliance Officer, 7-Eleven, Inc.; Lance Lanciault, Vice President of
eCommerce Regulatory Compliance, Walmart, Inc.
108 Global Expectation for Addressing Fraud Risk & The Investigative Process – Waheed H. Alkahtani, Accounting Specialist, Internal Audit, Saudi Aramco
AD1* C
hanging Organizational Culture – John Falcetano, Managing Director, Action Compliance Services, LLC * NEW THIS YEAR: Advanced Discussion Groups will
9:30 – 10:30 am
11:00 am – 12:00 pm
BREAKOUT SESSIONS
10:30 – 11:00 am
be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
AD2* B
ig Picture E&C Program Challenges: A Day in the Life of the Successful Compliance Officer – Greg Triguba, Senior Practice Leader, Ethics,
Compliance and Risk, Affiliated Monitors, Inc.; Amii L. Barnard-Bahn, Chief Administrative Officer, California Dental Association * NEW THIS YEAR: Advanced
Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
Networking Lunch
Networking Break in Exhibit Hall Dessert
201 C
onflicts of Interest Risk: Business, Law, Compliance and Social Science – Jeffrey M. Kaplan, Partner, Kaplan & Walker LLP
202 The Ethical Climate Survey: A First Timer’s Lessons Learned – Ann D. E. Fraser, Executive Director VICR, Canadian Food Inspection Agency
203 A
Tale of Two Assessments: How to Plan, Implement and Leverage Compliance Program Assessments – Eric O. Morehead, Head of Advisory Services,
NYSE Governance Servicesn
204 C
onducting Effective Third Party Due Diligence in China – Allan Matheson, Managing Director, Blue Umbrella
205 Peer-to-Peer Compliance: Are Your Contract Clauses Running Offense and Defense For Your Ethics and Compliance Program? – Jason B. Meyer,
President, LeadGood, LLC; Amy E. Hutchens, President, CLEAResources, LLC
206 D
id You Hear That Alarm? The Impacts of Hitting the Information Security Snooze Button – Pamela Ringenberg, Leadership Development Associate,
State Farm; Dave Muxfeld, Staff Compliance Analyst, State Farm
207 C
onsistent Compliance Answers – Gene Stavrou, Associate Director, Business Integrity, Mondelez International
208 U
sing Top Sales Techniques to Sell the Compliance Programme to Your Internal Audience – Kristy Grant-Hart, Chief Compliance Officer, United
International Pictures
AD3* W
hat Are You Doing to Engage Supervisors? Middle Manager Engagement – Al Gagne, Former Director, Ethics & Compliance, Textron Systems
Corporation (retired) * NEW THIS YEAR: Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees.
1:30 pm – 2:30 pm
BREAKOUT SESSIONS
12:00 – 1:00 pm
1:00 – 1:30 pm
Pre-registration is not available for these sessions.
AD4* Metrics: Advanced Techniques for Evaluating Your Compliance & Ethics Program – Marjorie W. Doyle, Marjorie Doyle & Associates * NEW THIS YEAR:
Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for
these sessions.
2:30 – 3:00 pm
Networking Break in Exhibit Hall
* NEW THIS YEAR: Advanced Discussion Groups will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
RISK
ETHICS
CASE STUDIES
www.complianceethicsinstitute.org
MULTI-NATIONAL/
INTERNATIONAL
COMPLIANCE
LAWYER
IT COMPLIANCE
GENERAL COMPLIANCE/
HOT TOPICS
INVESTIGATIONS
WORKSHOP
ADVANCED
DISCUSSION GROUPS
Agenda subject to change
7
PROGRAM AT A GLANCE
Monday, October 5
3:00 pm – 4:00 pm
BREAKOUT SESSIONS
301 Global Antitrust & Competition Law Risk: Real Challenges Facing Organizations and Strategies for Effective Management – Joseph E. Murphy,
Senior Advisor, Compliance Strategists
302 Breaking Bad: Creating a Culture of Civility and Professionalism – Tucker Miller, Regional Director, ELI
303 You Think Your Boardroom is Political? A Case Study from the City of Brotherly Love – Stephanie F. Tipton, Chief Integrity Officer, City of Philadelphia;
Hope Caldwell, Associate Director, Compliance, Princeton University
304 Implementing a Unified Compliance Program Covering Multiple Global and Local Requirements - The Local Distributor/Agent Perspective –
Segev Shani, VP Medical & Regulatory Affairs, Neopharm Ltd.
305 Brace Yourself! Get Ready for the New Legal Landmines in Background Check Compliance: EEOC Guidance, FCRA Class Action Litigation, Ban the
Box Law, and State Issues – Angela Preston, General Counsel, EmployeeScreenIQ
306 IT Compliance in the Las Vegas Gaming Industry: Lessons for Every Compliance Officer from the Gaming Capital of the World – Ralph Villanueva, IT
Systems and Compliance Analyst, Westgate Las Vegas Resort and Casino
307 Leveraging Your Social Capital for Influence and Engagement – Megan Hess, Washington & Lee University
308 Building the Ship While Sailing: Building a High Performing Compliance and Ethics Team – Donna Boehme, Principal, Compliance Strategists LLC;
Stephen Naughton, VP - Chief Ethics and Compliance Officer, Kimberly-Clark Corporation; Judith Nocito, Former Director - Global Compliance, Alcoa (Retired);
Senior Advisory, Compliance Strategists LLC; Janice Innis-Thompson, Senior Managing Director and Chief Ethics & Compliance officer, TIAA-CREF
AD5* Suppliers and Other Third Party Engagement – Eric Lisann, Senior Advisor to JTI, Inc. * NEW THIS YEAR: Advanced Discussion Groups will be filled on a firstcome, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
AD6* Tools for Enhancing Employee Participation in Training – Art Weiss, Chief Compliance & Ethics Officer, TAMKO Building Products * NEW THIS YEAR:
Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for
these sessions.
4:00 – 4:30 pm
4:30 pm – 5:30 pm
BREAKOUT SESSIONS
Networking Break in Exhibit Hall
401 G
lobal Privacy and Data Protection Risks: Protecting Corporate Digital Assets – Pamela Passman, President and CEO, Center for Responsible Enterprise
and Trade - CREATe.org; David J. Heller, Enterprise Risk Management and General Auditor, Edison International
402 T he Power of Story: Insights for Communicating Ethics & Compliance – Ronnie Feldman, Product Director, RealBiz Shorts, The Second City Works
403 T raining or Learning? Ensuring Your Compliance Training Addresses Your Organization’s Needs – Charlotte D. Young, Chief Ethics and Compliance
Officer, The Nature Conservancy; Grace C. Wu de Plaza, Deputy Ethics & Compliance Officer, The Nature Conservancy
404 A
dequate Procedures: An International Overview – Rossana Buzzi, Assistant General Counsel, Compliance Leader South Europe, Invensys PLC
405 “ U North or True North?”- The Challenges of Ethical Decision-Making for In-House Counsel – Chris Osborn, Assistant Professor, Charlotte School of Law;
ReelTime CLE
406 IT Professionals: Train Me Now or Pay For it Later – E. Bonnie Becker, Compliance Officer, Deptartment of Defense
407 The First 100: How To Build A World-Class Compliance Team and Accomplish Critical Goals in the First 100 Days – Victoria McKenney, Associate GCRegulatory and Compliance and Deputy Chief Compliance Officer, United States Steel Corporation; Suzanne Rich Folsom, General Counsel, Chief Compliance
Officer, and Senior Vice President - Government Affairs, United States Steel Corporation
408 Office of Foreign National Control Data: A Mandatory Compliance Tool in Many Industries and a Powerful Mechanism to Mitigate Risk in All
Industry Sectors – Kenneth H. Coronel, Chief Legal Officer, Verisys Corporation
AD7* Getting the Most Out of Your Compliance Committee – Adelle Elia, VP, Chief Ethics & Compliance Officer, US Investigations Services; Paige Shannon,
Senior Associate General Counsel, Kforce, Inc. * NEW THIS YEAR: Advanced Discussion Groups will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
AD8* From Bangkok to Bogotá and Boston to Brussels, Global ABC and FCPA Benchmarks, Best Practices and Bootcamps - One Size Does Not Fit All
– Jay Rosen, Vice President, Legal & Corporate Language Solutions, Merrill Brink International * NEW THIS YEAR: Advanced Discussion Groups will be filled on a
first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
5:30 – 7:00 pm
7:00 – 9:00 pm
Networking Reception in Exhibit Hall – Sponsored by Compliance Science
International Compliance & Ethics Awards Dinner
Tuesday, October 6
6:30 – 7:30 am
7:00 am – 5:30 pm
7:00 – 8:15 am
8:15 – 8:30 am
Yoga (Pre-registration required)
Registration Open
Continental Breakfast in Exhibit Hall Sponsored by Broad & Cassel
Opening Remarks
General Session - The U.S. Department of Commerce and The Fight Against International Corruption – Kelly R. Welsh, General Counsel, U.S. Department
of Commerce
General Session - NextGen Compliance – (Moderator) Roy Snell, CEO, SCCE/HCCA; Marjorie W. Doyle, Marjorie Doyle & Associates, LLC; Odell Guyton, Vice
President, Global Compliance, Jabil Circuit, Inc.; Debbie Troklus, Managing Director, Aegis Compliance and Ethics Center; Art Weiss, Chief Compliance & Ethics
Officer, TAMKO Building Products
Networking Break in Exhibit Hall
8:30 – 9:30 am
9:30 – 10:30 am
10:30 – 11:00 am
* NEW THIS YEAR: Advanced Discussion Groups will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
RISK
8
ETHICS
Agenda subject to change
CASE STUDIES
MULTI-NATIONAL/
INTERNATIONAL
COMPLIANCE
LAWYER
IT COMPLIANCE
GENERAL COMPLIANCE/
HOT TOPICS
INVESTIGATIONS
WORKSHOP
ADVANCED
DISCUSSION GROUPS
www.complianceethicsinstitute.org
PROGRAM AT A GLANCE
Tuesday, October 6
11:00 am – 12:00 pm
BREAKOUT SESSIONS
501 Keeping Up With Social Media Risks: Policy, Flexibility, & Common Sense – Matt Kelly, Editor and Publisher, Compliance Week; Chris Fedrow, Executive
Director, Ethics and Compliance, Yahoo; Sheila Fischer Kiernan, Chief Compliance Officer, Corporate Functions, McKesson Corporation
502 Fostering an Ethical Culture Through Leadership – Rick L. Crosser, Professor of Accounting, Metropolitan State University of Denver
503 Compliance Mitigation through Collaboration – Marcia N. Gonzales, Chief Compliance Officer, Indiana University
504 Establishing a Foreign Trade Law Compliance Management System in a Multi-National Enterprise - a European Perspective – Dr. Christina Moeller,
Senior Director Ethics & Compliance, Bertelsmann SE & Co. KG aA
505 Legal Dos and Don’ts of Internal Workplace Investigations – Judy S. Kalisker, Principal, Compliance Plus
506 Top 10 Tips and Tools for Meeting Regulatory Requirements and Managing Cloud Computing Providers in the United States and Around the World –
Web Hull, Privacy, Data Protection, & Compliance Advisor
507 C
reating a Compliance Playbook - How to Evidence Compliance – Scott Hilsen, Director, KPMG Forensic; Jean-Paul Durand, Chief Ethics & Compliance
Officer, Tech Data
508 Role of the Data Protection Officer – Robert Bond, Partner and Notary Public, Charles Russell Speechlys LLP
AD1B* Changing Organizational Culture – John Falcetano, Managing Director, Action Compliance Services, LLC * NEW THIS YEAR: Advanced Discussion Groups will
be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
AD3B* What are you doing to engage supervisors? Middle Manager Engagement – Al Gagne, Former Director, Ethics & Compliance, Textron Systems
Corporation (retired) * NEW THIS YEAR: Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-
registration is not available for these sessions.
12:00 – 1:30 pm
BREAKOUT SESSIONS
1:30 pm – 2:30 pm
Networking Lunch
601 D
on’t Buy Trouble in M&A Transactions: Effectively Managing Ethics and Compliance Risk – Kasey T. Ingram, General Counsel, ISK Americas
Incorporated; Daniel Harper, Assistant General Counsel, CTS Corporation
602 Values, Conduct and Ethics: Making it real for employees – Ula Ubani, Chief Ethics Officer, BMO Financial Group
603 Choosing to Lean on Culture: Bluegreen Corporation’s Share Happiness – Marsha H. Ershaghi Hames, Sr Leader Education Advisory Services, LRN;
Stephen Wilke, Director, Talent Development, Bluegreen Corporation
604 B
est Practices for Addressing Corruption-Related Risks Presented by International Third Party Intermediaries – Randi J. Roberts, Vice President,
Compliance, NBC Universal
605 From Paranoia to Pollyanna: Bad News and Good News about Compliance Officer Liability – Scott Killingsworth, Partner, Bryan Cave LLP
606 Compliance, the Digital Environment and Data Protection: Why and How Your Business Must Be Prepared – Marcelo X. Crespo, Lawyer and Professor,
Crespo & Santos Law Firm; Liana Irani A. Cunha, Compliance Coordinator, Abbott Laboratories do Brasil LTDA
607 Managing Conflicts of Interest: A Compliance Officer’s Challenge – Vernon M. Speshock, Associate Director of Policy and Ethics and Compliance
Operations, Apollo Education Group Inc.; Jennie Watts, Ethics & Compliance Program Manager, Apollo Education Group Inc.
608 Get To The Root Cause To Design Effective Corrective Action Plans – Deann Baker, Sutter Care at Home Compliance Officer, Sutter Health; Debbie Troklus,
Managing Director, Aegis Compliance and Ethics Center
AD4B* Metrics: Advanced Techniques for Evaluating Your Compliance & Ethics Program – Marjorie W. Doyle, Marjorie Doyle & Associates * NEW THIS YEAR:
Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for
these sessions.
AD5B* S
uppliers and Other Third Party Engagement – Eric Lisann, Senior Advisor to JTI, Inc. * NEW THIS YEAR: Advanced Discussion Groups will be filled on a firstcome, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
2:30 – 3:00 pm
3:00 pm – 4:00 pm
BREAKOUT SESSIONS
Networking Break
701 R
ecords and Information Management Risk: The 4 C’s of Information Governance – Emily Bone, Global Records Manager, Molson Coors Brewing Company
702 How to Attract, Empower and Retain Ethical Employees – Lorrie Bamford, Director of Compliance/General Counsel, Gaming Capital Group, LLC
703 Leveraging Managers to Drive Culture – Cindy Yanasak, Compliance & Ethics Program Manager, Progressive Corporation; Eileen M. Xenarios, Business
Process Consultant, Progressive Corporation
704 Brazil, Colombia and Mexico: Trade with the Major Latin America Economies without Generating Corruption Liability – Alexandre Lira, Partner, Lira &
Associates Law Firm; José F. Mafla, Partner, Brigard & Urrutia Law Firm; Alejandro G. Seimandi, Partner, Garcia Seimandi Flores & Villeda
705 Compliance 3.0: Reflections on the Future of C&E, Drawing on the RAND Corporation Symposium Series – Michael Greenberg, Director, RAND Center
for Corporate Compliance, Ethics and Governance; Michael Volkov, CEO, Volkov Law Group LLC
706 Compromising Remote Access: A Live Hack Demonstration – Gary Glover, Director of Security Assessment, SecurityMetrics
707 Learning from CEOs: How Modeling Trumps Every Other Part of a Compliance Program – Theodore L. Banks, President, Compliance & Competition
Consultants, LLC
708 B
uilding Predictive Monitoring Capabilities – Jennifer Kugler, Principal Executive Advisor, CEB
AD9* The Non Financial Consequences of Non-Compliance – Odell Guyton, Vice President, Global Compliance, Jabil Circuit, Inc. * NEW THIS YEAR: Advanced
Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
AD10* Elevating Your E&C Program Through Board Engagement – Randall H. Stephens, Vice President, Advisory Services, NAVEX Global; Allen Stewart,
Managing Director, Ethics & Compliance, Duke Energy * NEW THIS YEAR: Advanced Discussion Groups will be filled on a first-come, first-served basis. Attendance
is limited to the first 50 attendees. Pre-registration is not available for these sessions.
* NEW THIS YEAR: Advanced Discussion Groups will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.
RISK
ETHICS
CASE STUDIES
www.complianceethicsinstitute.org
MULTI-NATIONAL/
INTERNATIONAL
COMPLIANCE
LAWYER
IT COMPLIANCE
GENERAL COMPLIANCE/
HOT TOPICS
INVESTIGATIONS
WORKSHOP
ADVANCED
DISCUSSION GROUPS
Agenda subject to change
9
PROGRAM AT A GLANCE
Tuesday, October 6
4:00 – 4:15 pm
4:15 pm – 5:15 pm
BREAKOUT SESSIONS
Networking Break
801 Government Contracts and Relationship Risk: What Every Compliance and Ethics Officer Should Know – Deborah L. Adleman, Director, Ernst & Young;
Steve Epstein, Chief Counsel, Ethics and Compliance, The Boeing Company
802 It’s Not Just Tone At the Top: How Companies Can Build an Ethical Culture to Improve Compliance and Remain Focused on the Bottom Line – Eric R.
Feldman, Managing Director Corporate Ethics and Compliance, Affiliated Monitors, Inc.
803 Compliance by Design: How Integrated Compliance Drives Business Accountability – Martin T. Biegelman, Director, Forensic Investigations, Deloitte
Financial Advisory Services LLP; Dale Skivington, Executive Director, Compliance & Chief Privacy Officer, Dell, Inc.
804 Collaboration Between Internal Audit and Compliance - Leveraging the Three Lines of Defense to Manage Compliance Risk – Patrick Burns, Senior
Director, Internal Audit, Walmart; Phyllis Nordstrom, Director, PricewaterhouseCoopers LLP
805 CEO’s (and salespeople too) Say The Darndest Things: How an Ill-Advised Statement or Email Can Start an Antitrust Investigation or Lawsuit –
Robert E. Connolly, Partner, Geyergorey LLP; Barbara T. Sicalides, Partner, Pepper Hamilton LLP
806 Compliance in Key Capabilities is the Foundation of Effective Risk Management – Charles L. Hunt, Operational Risk Consultant, ISO, VP,
Wells Fargo Securities
807 Entertainment and Travel Fraud Schemes – Kathleen K. Edmond, Partner, Robins Kaplan LLP; Lisa Beth Lentini, Vice President, Global Compliance, Carlson
Wagonlit Travel
808 From FCPA Prosecutors to Company Protectors: Lessons from Former DOJ FCPA Unit Prosecutors on How to Best Protect Your Company from the
Risks of Corruption – Nathaniel Edmonds, Partner, Paul Hastings LLP; Maria Calvet, Executive Counsel, GE Energy Management & GE Latin America
Wednesday, October 7
8:00 am – 12:30 pm
POST-CONFERENCE
BREAKOUT SESSIONS
8:00 am – 9:45 am
Registration Open
W1 A
dvanced Trade Compliance Practice: Global Programs and Risk Management Strategies – Gwendolyn L. Hassan, Managing Attorney - Compliance &
Regulatory, CNH Industrial America LLC; Peter Bradford, Managing Director, KPMG
W2 Is That What They Really Think? Seven E&C Program Deal Breakers Your Employees Aren’t Telling You About – Ed Petry, VP, Advisory Services, NAVEX
Global; Mary A. Bennett, VP, Advisory Services, NAVEX Global
W3 How to Create a Film Festival for Compliance Awareness Week – Bruce R. Anderson, Chief Ethics Officer, Health Net, Inc.; Mike J. Spasoff, Manager,
Communications, Health Net, Inc.
W4 Promoting a Speak Up Culture in a Multinational Company –Jannica Houben, Deputy Ethics & Compliance Officer, Europe, Tech Data Europe GmbH;
Andy Gaunce, Deputy Ethics and Compliance Officer, Tech Data Corporation
W5 Prosecution Declined: One Company’s Investigation, Disclosure & Remediation of FCPA Issues – Russ Berland, Partner, Dentons U.S. LLP
W6 Big Data, Big Issues: Global Challenges and Effective Solutions – Jonathan P. Armstrong, Partner, Cordery; Thomas M. Obermaier, Chief Executive Officer,
Regulatory DataCorp (RDC)
W7 W
orking Through Silos: Moving from a Decentralized/Distributed Approach to Compliance to an Integrated/Federated Model that is Efficient and
Effective – Barbara H. Kipp, Partner, PricewaterhouseCoopers; Robin Sangston, Vice President, Chief Compliance Officer, Cox Communications
W8 Investigations: Strategy and Eliciting the Most Important Information – Michele Yaroma, Special Agent, FBI
Networking Break
W9 M
anaging Global Risks in South America: Challenges and Effective Strategies – Shin Jae Kim, Partner, Compliance Practice Group, TozziniFreire
Advogados; Renata Muzzi Almedia, Partner, Compliance Practice Group, TozziniFreire Advogados; Mona M. Clayton, Forensic Services Partner,
PricewaterhouseCoopers
W10 R
etaliation: The Antidote to Reporting – Lisa Gross, Ethics Analysis Senior Manager, Lockheed Martin; Ellen Daly, Ethics Analysis Senior Manager, Lockheed
Martin; Darren Hill, Ethics Analysis Senior Manager, Lockheed Martin
W11 Core Values: From Conception to Implementation and Beyond – Kitty Holt, Ethics & Compliance Officer, Plan International USA; Christine A. Butler,
Assistant General Counsel, ChildNet
W12 The Proposed EU Data Privacy Regulation: Why Multinationals Should Prepare Now – Augusta Speiser, European Compliance Manager, DENTSPLY
International; Janine Regan, Solicitor, Charles Russell Speechlys
W13 C&E Legal Updates: Understanding Recent Developments and Using them to Enhance Your Programs – Rebecca Walker, Partner, Kaplan & Walker LLP
W14 Bring Your Own Device (BYOD) - They are Everywhere in Your Organization. Understanding the Benefits, Risks and Establishing a Strategy for the
Personal Devices in the Workplaces – James A. Donaldson, Director, Corporate Compliance/Privacy & Security Officer, Baptist Health
W15 Strengthening Tone from the Middle without Breaking the Bank – Kirsten E. Liston, Associate Vice President, SAI Global; Michael Levin, Senior Director of
Compliance: Ethics & Business Practices, Freddie Mac
eporting Mechanisms and Infrastructures: Risks, Challenges and Effective Management – Christine Watzke-Ulbert, Manager, Hotline Program,
W16 R
Walgreens Boot Alliance; Erica Salmon Byrne, Regular Columnist in The Compliance and Ethics Professional; former EVP, Compliance and Governance Solutions,
NYSE Governance Services
Exam Check-In: Certified Compliance & Ethics Professional (CCEP)® and International Certified Compliance & Ethics Professional (CCEP‑I)™
Certified Compliance & Ethics Professional (CCEP)® Exam (optional)
Certified Compliance & Ethics Professional - International (CCEP‑I)™ Exam (optional)
POST-CONFERENCE
BREAKOUT SESSIONS
10:00 am – 11:45 am
9:45 – 10:00 am
1:00 – 1:30 pm
1:30 – 4:30 pm
1:30 – 5:30 pm
RISK
10
ETHICS
Agenda subject to change
CASE STUDIES
MULTI-NATIONAL/
INTERNATIONAL
COMPLIANCE
LAWYER
IT COMPLIANCE
GENERAL COMPLIANCE/
HOT TOPICS
INVESTIGATIONS
WORKSHOP
ADVANCED
DISCUSSION GROUPS
www.complianceethicsinstitute.org
Become a mentor. Find a mentor.
Connect with your peers.
Find a connection and support the development of
the profession at the Compliance & Ethics Institute
Take advantage of the live SpeedMentoring
and SpeedNetworking sessions at the
Compliance & Ethics Institute
SUNDAY, OCTOBER 4
SpeedNetworking: 7:30–8:30 am
SpeedMentoring: 12:00–1:00 pm
EARN
1.5 CEUs
*
Want to build out your network? Sign up for our
SpeedNetworking session. It’s a fun way to connect
with peers who share your challenges.
Want to give back to the profession by sharing your expertise?
Sign up to be a mentor. When you come to the SpeedMentoring
session you’ll be connected face-to-face with compliance
professionals looking for an experienced practitioner to guide them.
Looking for a mentor? The SpeedMentoring session is the place to
meet one-on-one with potential mentors.
Whichever option you choose, you are in control of the people you will
connect with! Both events offer seven individual one-on-one meetings
and provide an excellent opportunity to learn from one another and
initiate long-lasting professional relationships.
Learn more at
www.complianceethicsinstitute.org/speedmentors
We welcome all attendees of the 14 th Annual Compliance & Ethics Institute to participate. The events are specifically focused on sharing knowledge
and information relating to compliance and ethics. We respectfully request no solicitation of services or products during these sessions.
*A maximum of 1.5 CCB credits for networking may be awarded per year
www.complianceethicsinstitute.org
11
SPEAKERS
Christine A. Butler,
[W11], Assistant General
Karen M. Aavik, [102],
First Vice President,
Wealth Management
Compliance Officer,
FNFG Ethics Officer, First
Niagara Financial Group,
Inc., Buffalo, NY
Deborah L. Adleman,
[801], Director, Ernst &
Theodore L. Banks,
[707], President,
Compliance & Competition
Consultants, LLC,
Chicago, IL
Amii L. Barnard-Bahn
[AD2], JD, CCEP, CCEP-I,
Young, Secaucus, NJ
CHC, Chief Administrative
Officer, California
Dental Association,
Waheed Alkhatani,
[108], CFE, CCEP-I,
E. Bonnie Becker,
[406], Compliance Officer,
Accounting Specialist,
Internal Audit, Saudi
Aramco, Dhahran,
Saudi Arabia
Bruce R. Anderson,
[W3], Chief Ethics
National Security Agency,
Fort Meade, MD
Mary A. Bennett,
[W2], VP, Advisory
Services, NAVEX Global
Counsel, ChildNet,
Miami, FL
Robert Bond,
[P14, 508] Partner and
Notary Public, Charles
Russell Speechlys LLP,
London, UK
Partner, Dentons U.S. LLP
Jonathan P. Armstrong,
[W6], Partner, Cordery,
London, UK
Deann Baker, [608],
CHC, CHRC, CCEP,
Sutter Care at Home
Compliance Officer,
Sutter Health, Fairfield, CA
Lorrie Bamford, [702],
Director of Compliance/
General Counsel, Gaming
Capital Group, LLC
12
Peter Bradford, [W1],
Managing Director, KPMG,
Chicago, IL
Frank Brown, [P4],
Value Chain/AntiCorruption Program
Team Leader, Center
for International
Private Enterprise,
Washington, DC
Donna C. Boehme,
[P14, 308],
Principal, Compliance
Strategists LLC,
New Providence, NJ
Liana Irani A.
Cunha, [606],
Compliance Coordinator,
Abbott Laboratories
do Brasil LTDA,
São Paulo, Brazil
Nathaniel Edmonds
[808], Partner, Paul
Hastings LLP, Former
Assistant Chief (FCPA
Unit), Criminal Division,
Fraud Section, US DOJ,
Washington, D.C.
Executive Counsel, GE
Energy Management & GE
Latin America
Services Partner,
PricewaterhouseCoopers,
Miami, FL
Robert E. Connolly
[805], Partner,
Geyergorey LLP,
Washington, D.C.
Ellen Daly [W10], CCEP,
Ethics Analysis Senior
Manager, Lockheed
Martin, Marlton, NJ
Adelle Elia, [AD7],
James A. Donaldson,
[W14], Director, Corporate
Steve Epstein [801],
Marjorie W. Doyle,
[GS, AD4, AD4B],JD,
Marsha H. Ershaghi
Hames, [603], Ph.D.,
Compliance/Privacy &
Security Officer, Baptist
Health, Pensacola, FL
CCEP, VP, Chief Ethics &
Compliance Officer, US
Investigations Services
Chief Counsel, Ethics and
Compliance, The Boeing
Company
Meric C. Bloch,
[P9, P18], CCEP-F, JD,
CFE, Principal, Winter
Compliance LLC.,
St. Petersburg, FL
Kenneth H. Coronel,
[408], Chief Legal Officer,
Verisys Corporation,
South Jordan, UT
CCEP-F, CCEP-I, Marjorie
Doyle & Associates, LLC,
Landenberg, PA
Marcelo X. Crespo,
[606], Lawyer and
Jean-Paul Durand,
[507], Chief Ethics &
CCEP, Sr. Leader,
Education Advisory
Services, LRN,
Falls Church, VA
Emily Bone, [701],
Global Records Manager,
Molson Coors Brewing
Company, Denver, CO
Patrick Burns, [804],
Senior Director, Internal
Audit, Walmart, Walmart,
Bentonville, AR
Martin T. Biegelman,
[803], Director, Forensic
Investigations, Deloitte
Financial Advisory
Services LLP
Maria Calvet, [808],
Mona M. Clayton,
[W9], Forensic
Officer, Health Net, Inc.,
Los Angeles, CA
Russ Berland, [W5],
Hope Caldwell, [303],
Hope Caldwell, Associate
Director, Compliance,
Princeton University,
Princeton, NJ
Rossana Buzzi, [104],
Assistant General Counsel,
Compliance Leader South
Europe, Invensys PLC.,
London, UK
Professor, Crespo
& Santos Law Firm,
Bridgeport, Connecticut
Compliance Officer,
Tech Data, Tampa, FL
Rick L. Crosser, [502],
Charles E. Duross
[404], Partner,
Professor of Accounting,
Metropolitan State
University of Denver,
Denver, CO
Morrison & Foerster LLP,
Washington, D.C.
Kathleen K. Edmond,
[807], Partner,
Robins Kaplan LLP,
Minneapolis, MN
John Falcetano,
[AD1, AD1B], CHC-F, CIA,
CCEP-F, CCEP-I, CHRC,
CHPC, John Falcetano,
Managing Director, Action
Compliance Services, LLC,
Greenville, NC
Chris Fedrow [501],
Executive Director, Ethics
and Compliance, Yahoo,
San Francisco, CA
Eric R. Feldman,
[802], CFE, Managing
Director Corporate
Ethics and Compliance,
Affiliated Monitors, Inc.,
Redondo Beach, CA
www.complianceethicsinstitute.org
SPEAKERS
Ronnie Feldman, [402],
Product Director, RealBiz
Shorts, The Second City
Works, Chicago, IL
Al Gagne, [P9, P18,
AD3, AD3B], CCEP,
Former Director, Ethics
& Compliance, Textron
Systems Corporation
(retired), Salem, NH
Andy Gaunce, [W4],
Deputy Ethics and
Compliance Officer,
Tech Data Corporation,
St. Petersburg, Florida
Paul Fiorelli, [P11], JD,
CCEP, Professor of Legal
Studies and Co-Director,
Cintas Institute, Xavier
University, Cincinnati, OH
Professional
Lisa A. Gross [W5],
Tod Ferran, [706],
Security Analyst,
SecurityMetrics,
Salt Lake City, UT
Samantha E. Greves,
[P3], Compliance & Ethics
MBA, CCEP, CCEP-I,
Ethics Analysis Senior
Manager, Lockheed
Martin, Owego, NY
Odell Guyton
[GS, AD9], CCEP,
Gary Glover,
[706], Director of
Security Assessment,
SecurityMetrics, Provo, UT
CCEP-I, SCCE Co‑Chair,
Vice President,
Global Compliance,
Jabil Circuit, Inc.,
Saftey Harbor, FL
Daniel Harper, [601],
Sheila Fischer
Kiernan [501], Chief
Compliance Officer,
Corporate Functions,
McKesson Corporation,
San Francisco, CA
Patrick Gnazzo, [P14],
Principal, Better Business
Practices, McLean, VA
Assistant General
Counsel, CTS Corporation,
Chicago, IL
Anne R. Harris [P3],
Thomas R. Fox [P5],
Principal, Tomfoxlaw.com,
Houston, TX
Marcia N. Gonzales,
[503], Chief Compliance
Officer, Indiana University,
Indianapolis, IN
MBA, CCEP, Principal,
Ethics Works, LLC.,
Great Falls, VA
Megan Hess,
[307], Washington
& Lee University,
Lexington City, VA
Darren Hill, [W10],
Ethics Analysis Senior
Manager, Lockheed Martin
Scott Hilsen, [507],
Director, KPMG Forensic
Director, VICR, Canadian
Food Inspection Agency,
Ottawa, ON
Chief Ethics & Compliance
Officer, 7-Eleven, Inc.,
Dallas, TX
Kira A. Fuller, MBA,
CCEP, Compliance Skill
Community Director,
National Security Agency,
Fort Meade, MD
Kitty Holt, [W11],
Ethics & Compliance
Officer, Plan International
USA, Warwick, RI
Jannica Houben,
[W4], Deputy Ethics
& Compliance Officer,
Europe, Tech Data
Europe GmbH, Munich,
Germany
www.complianceethicsinstitute.org
Partner, Compliance
Practice Group,
TozziniFreire Advogados,
São Paulo, Brazil
and General Auditor,
Edison International,
Rosemead, CA
Matt Kelly, [501],
Editor and Publisher,
Compliance Week,
Boston, MA
PricewaterhouseCoopers,
Boston, MA
Jeff Killeen, [101],
Compliance Attorney
– Investigations, 3M
Company, Saint Paul, MN
Scott Killingsworth,
[605], Partner, Bryan
Cave LLP, Atlanta, GA
Jennifer Kugler, [708],
Principal Executive
Advisor, CEB, Arlington, VA
Saira Jesrai, [P12],
Senior Compliance Officer,
Marsh & McLennan
Companies, New York, NY
Latour (LT) Lafferty,
[P9, P18], Esq., CCEP,
Charles L. Hunt, [806],
CIPP, CIPP/A, Operational
Risk Consultant, ISO, VP,
Wells Fargo Securities,
Minneapolis, MN
CHC, Partner, Holland &
Knight LLP, Tampa, FL
Judy S. Kalisker,
[505], Principal,
Compliance Plus,
Natick, MA
Lance Lanciault
[107], Vice President of
Michael Kallens, [P3],
David J. Heller,
[401], Management
Partner, Kaplan & Walker
LLP, Princeton, NJ
Shin Jae Kim, [W9],
Michael Greenberg
[705], JD, Director,
RAND Center for
Corporate Compliance,
Ethics and Governance,
Pittsburg, PA
Janice InnisThompson [308], Senior
Managing Director and
Chief Ethics & Compliance
Officer, TIAA-CREF
CIPP/A, Privacy, Data
Protection & Compliance
Advisor, Barrington, RI
Gwendolyn L. Hassan,
[W1], JD, CCEP, Managing
Jeffrey M. Kaplan,
[201], Jeffrey M. Kaplan,
Barbara H. Kipp,
[W7], Partner,
Web Hull, [506], CIPP,
Attorney - Compliance &
Regulatory, CNH Industrial
America LLC, Oak Park, IL
Kira A. Fuller [P6],
Kasey T. Ingram,
[601], JD, CCEP,
Eric F. Hinton, [107],
Stephen B. Harris,
[103], VP- Chief
Kristy Grant-Hart,
[208], Chief Compliance
Officer, United
International Pictures,
London, UK
Esq., CHC, Managing
Partner, Broad & Cassel,
Fort Lauderdale, FL
General Counsel, ISK
Americas Incorporated,
Cleveland, OH
Compliance Officer,
The Hartford, Hartford, CT
Ann D. E. Fraser
[202], Ph.D., Executive
Gabriel L.
Imperato [105],
Amy E. Hutchens,
[205], CCEP, President,
CLEAResources, LLC,
Leesburg, VA
eCommerce Regulatory
Compliance, Walmart,
Inc., Bentonville, AR
Associate General Counsel
& Manager of Corporate
Ethics and Compliance,
Booz Allen Hamilton,
Washington, D.C.
13
SPEAKERS
Lisa Beth Lentini,
[807], Vice President,
Global Compliance,
Carlson Wagonlit Travel,
Minneapolis, MN
Cam Marston [GS],
Author, Generational
Insights, Mobile, AL
Dr. Christina Moeller,
[504], Senior Director
Ethics & Compliance,
Bertelsmann SE & Co.
KGaA, Gütersloh, Germany
Renata Moreti, [P13],
Marcy J. Maslov, [P2],
CPA, CEO, e-Factor! educational board games
for business ethics,
Phoenix, AZ
®
Michael Levin [W15],
Senior Director of
Compliance: Ethics &
Business Practices,
Freddie Mac, Reston, VA
Alexandre Lira
[704], Partner, Lira &
Associates Law Firm,
Sao Paulo, Brazil
Eric Lisann, [AD5,
AD5B], Eric Lisann,
Director, Blue Umbrella,
Hong Kong, China.
Victoria McKenney,
[407], Associate
GC-Regulatory and
Compliance and Deputy
Chief Compliance Officer,
UInited States Steel
Corporation, McLean, VA
Senior Advisor to JTI, Inc.,
Great Falls, VA
Caroline McMichen,
[P1], CCEP, Chief Ethics
Kirsten E. Liston
[W15], CCEP, Associate
Vice President, SAI Global,
Westminster, CO
José F. Mafla, [704],
Partner, Brigard &
Urrutia Law Firm,
Bogotá, Colombia
JD,CCEP, CCEP-I, Director,
Drummond March & Co,
London, UK
Phyllis Nordstrom,
[804], Director,
Dave Muxfeld, [206],
Staff Compliance
Analyst, State Farm,
Bloomington, IL
ELI®, Inc., Atlanta, GA
Suzanne Rich Folsom,
[407], General Counsel,
Ed Petry, [W2],
VP, Advisory Services,
NAVEX Global
Pamela Ringenberg,
[206], Leadership
Alan Norquist,
[P15], CEO & Founder,
EmployeeScreenIQ,
Columbus, OH
Randi J. Roberts,
[604], Vice President,
Compliance, NBC
Universal, New York, NY
Veriphyr, Inc.,
Los Altos, CA
Officer, Regulatory
DataCorp (RDC)
Regional Director, ELI®,
Atlanta, GA
Anna Nadgrodkiewicz,
[P4], Director,
Multiregional Programs,
Center for International
Private Enterprise,
Washington, D.C.
Stephen Naughton
[308], VP-Chief Ethics
Chief Compliance Officer,
and Senior Vice President
– Government Affairs,
United States Steel
Corporation, McLean, VA
Development
Associate, State Farm,
Bloomington, IL
Steven Priest, [P12],
President, Integrity
Insight International,
Evanston, IL
Jay Rosen, [AD8],
Renata Muzzi
Almedia, [W9],
Jason B. Meyer, [205],
JD, President, LeadGood,
LLC, Pennington, NJ
STS-132; Crewmember,
International Space
Station; Twitter: @
astro_g_dogg,
Hawthorne, CA
Angela Preston,
[305], General Counsel,
Thomas M. Obermaier,
[W6], Chief Executive
Partner, Compliance
Practice Group,
TozziniFreire Advogados,
São Paulo, Brazil
Dr. Garrett Reisman,
[GS], Mission Specialist,
and CEO, Center for
Responsible Enterprise
and Trade – CREATe.org,
Washington, D.C.
PricewaterhouseCoopers,
Dallas, TX
CCEP‑I, Senior Advisor,
Compliance Strategists,
Haddonfield, NJ
and Compliance
Officer, Kimberly-Clark
Corporation
14
Manager & Social Media
Expert, SCCE & HCCA,
Minneapolis, MN
Services, NYSE
Governance Services,
Austin, TX
Joseph E. Murphy,
[301], JD, CCEP,
Stephen M. Paskoff,
[P8], President & CEO,
Pamela Passman
[401], President
Kortney Q. Nordrum,
[P17], Esq., Project
& Compliance Officer,
Molson Coors Brewing
Company, Denver, CO
Tucker Miller, [302],
Sally March [404],
Director – Global
Compliance, Alcoa
(Retired); Senior
Advisory, Compliance
Strategists LLC
Director of Compliance
LATAM, Carlson Wagonlit
Travel, São Paulo, Brazil
Eric O. Morehead,
[203], Head of Advisory
Allan Matheson,
[204], Managing
Judith Nocito,
[P14, 308], Former
Joe Oringel [P5],
Managing Director, Visual
Risk IQ, Charlotte, NC
Chris Osborn, [405],
Assistant Professor,
Charlotte School of
Law; ReelTime CLE,
Charlotte, NC
John G. Rahie, [101],
Managing Director, Freeh
Group International; Of
Counsel, Pepper Hamilton
LLP. Former Executive
Director, General Motors
Legal, Wilmington, DE
Janine Regan, Solicitor,
[W12], Charles Russell
Dan Oseran, [106],
Vice President, Legal
& Corporate Language
Solutions, Merrill
Brink International,
Los Angeles, CA
Erica Salmon Byrne,
[W16], Regular Columnist
in The Compliance and
Ethics Professional; former
EVP, Compliance and
Governance Solutions,
NYSE Governance
Services, Denver, CA
Speechlys, London, UK
Senior Director of Global
Privacy Compliance, eBay,
Phoenix, AZ
www.complianceethicsinstitute.org
SPEAKERS
Johan Thorell,
[P13], Director of
Robin Sangston,
[W7], Vice President,
Chief Compliance Officer,
Cox Communications,
Atlanta, GA
Alejandro G.
Seimandi, [704],
Partner, Garcia Seimandi
Flores & Villeda,
Mexico City, Mexico
Segev Shani, [304],
VP Medical & Regulatory
Affairs, Neopharm Ltd.,
Israel
Mike J. Spasoff,
[W3], Chief Ethics
Officer, Health Net, Inc.,
Los Angeles, CA
Augusta Speiser,
[W12], European
Compliance Manager,
DENTSPLY International,
Molndal, Sweden
Vernon M. Speshock,
[607], Associate Director
of Policy and Ethics and
Compliance Operations,
Apollo Education Group
Inc., Phoenix, AZ
Senior Associate General
Counsel, Kforce, Inc.,
Reston, VA
Barbara T. Sicalides,
[805], Partner,
Pepper Hamilton LLP,
Philadelphia, PA
Dale Skivington,
[803], Executive Director,
Compliance & Chief
Privacy Officer, Dell, Inc.,
Round Rock, TX
Roy Snell [GS], CHC,
CCEP-F, CEO, Society of
Corporate Compliance &
Ethics, Minneapolis, MN
Greg Triguba,
[P1, AD2], JD, CCEP,
CCEP-I, Risk Track
Program Chair, Senior
Practice Leader, Ethics,
Compliance and Risk,
Affiliated Monitors, Inc.,
Highlands Ranch, CO
Debbie Troklus,
[GS, P7, 608], CCEP-F,
Gene Stavrou, [207],
Paige Shannon
[AD7], Esq., CCEP,
Compliance, EMEA,
Carlson Wagonlit Travel,
London, UK
Associate Director,
Business Integrity,
Mondelez International,
Deerfield, IL
CCEP-I, CHC-F, CHRC,
CHPC, Managing Director,
Aegis Compliance
and Ethics Center,
Louisville, KY
John Vastano, [P15],
CSO, Veriphyr, Inc.,
Los Altos, CA
Ralph Villanueva,
[306], IT Systems and
Compliance Analyst,
Westgate Las Vegas
Resort and Casino,
Las Vegas, NV
Michael Volkov [705],
JD, Former Federal
Prosecutor; CEO, The
Volkov Law Group, LLC
Bethesda, MD
Rebecca Walker,
[P10, W13], JD,
Randall H. Stephens,
[AD, AD10],
Vice President, Advisory
Services, NAVEX Global,
Atlanta, GA
Allen Stewart,
[AD, AD10], Managing
Director, Ethics &
Compliance, Duke Energy,
Charlotte, NC
Stephanie F.
Tipton, [303], Chief
Integrity Officer,
City of Philadelphia,
Philadelphia, PA
www.complianceethicsinstitute.org
Adam Turteltaub,
[P10], CHC, CCEP, VP
Membership Development,
Society of Corporate
Compliance & Ethics,
Encino, CA
Ula Ubani, [602],
Chief Ethics Officer,
BMO Financial Group,
Toronto, Canada
Sheryl Vacca, [P7],
CCEP‑F, CCEP‑I,
CHC-F, CHRC, CHPC,
Senior Vice President/
Chief Compliance & Audit
Officer, University of
California, Sacramento, CA
Compliance Lawyer Track
Program Chair; Partner,
Kaplan & Walker LLP,
Santa Monica, CA
Greg Walters, [P16],
JD, Trial Attorney, U.S.
Department of Housing
and Urban Development,
Denver, CO
Jennie Watts, [607],
Ethics & Compliance
Program Manager, Apollo
Education Group Inc.,
Phoenix, AZ
Scarlett R. Wirt, [P6],
CCEP, Assistant Director
for Standards, Measures,
and Improvements,
Office of the Director of
Compliance, National
Security Agency,
Fort Meade, MD
Grace C. Wu de Plaza,
[403], JD, Deputy Ethics
& Compliance Officer,
The Nature Conservancy,
Arlingtion, VA
Christine WatzkeUlbert, [W16],
Manager, Hotline Program,
Walgreens Boot Alliance,
Deerfield, IL
Eileen M. Xenarios,
[703], Business Process
Consultant, Progressive
Corporation
Art R. Weiss [GS, AD6],
JD, CCEP-F, CCEP-I,
Chief Compliance & Ethics
Officer, TAMKO Building
Products, Joplin, MO
Michele A. Yaroma
[W8], Special Agent,
FBI, Washington, D.C.
Kari Wagensteen
[P13], Director of
Compliance, North
America, Carlson
Wagonlit Travel,
Minneapolis, MN
Courtney Wallize,
[P3], Corporate Director
Ethics, Northrop
Grumman Corporation,
Washington, D.C.
Kelly R. Welsh, [GS],
General Counsel, U.S.
Department of Commerce,
Washington, D.C.
Cindy Yanasak, [703],
Compliance & Ethics
Program Manager,
Progressive Corporation,
Mayfield Village, OH
Stephen Wilke,
[603], Director,
Talent Development,
Bluegreen Corporation,
Boca Raton, FL
Charlotte D. Young,
[403], Chief Ethics and
Compliance Officer, The
Nature Conservancy,
Arlingtion, VA
15
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know the options. And you’ll have the
rest of the conference to come to the
exhibit hall to follow up.
Register now to start making the most
of your time at the Compliance and
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The Society of Corporate Compliance and Ethics invites you to attend the
11th Annual International
Compliance & Ethics Awards Dinner
Monday, October 5, 2015, 7:00–9:00 pm,
Pinyon Ballroom, Convention Level One, ARIA Las Vegas
2015 award recipients:
UN Global Compact, accepted by Ms. Olajobi Makinwa,
Chief, Anti-Corruption & Transparency and Africa UN Global Compact Office
Kim Lansford, Chief Compliance Officer, Shriners Hospitals for Children
The FCPA Blog, accepted by Jessica Tillipman,
Senior Editor, The FCPA Blog and Assistant Dean for Field Placement;
Professorial Lecturer in Law, The George Washington University Law School
Odell Guyton, Vice President, Global Compliance, Jabil Circuit, Inc.
TAMKO Building Products, Inc., accepted by Tim Whelan, Executive Vice President,
TAMKO Building Products, Inc
RSVP REQUESTED
Admission is complimentary for all conference attendees. Non-conference attendees are invited to purchase a ticket for $50. Please contact SCCE
to RSVP if you did not originally register for dinner on your registration form or if you need to register a guest. Business casual attire is appropriate.
AGENDA
SATURDAY, OCTOBER 3
11:30 am – 3:30
pm
P2 The Dollars and Sense of Ethics Using Games to Build Accountability
Volunteer Project
Sunday, 9:00 am – 12:00 pm
Come to the annual meeting early and help us give back
to the community! Registration is free for this event
and provides you with a volunteer t-shirt, lunch and
transportation to and from the project location. It is a
great networking opportunity with fellow conference
attendees, speakers and SCCE board members.
Marcy J. Maslov, Chief Integrity Builder, e-Factor!®- the
educational board game for business ethics
–– What is unethical behavior? How much does it cost you?
What can you do to reduce these costs, promote rewards
for positive ethical behavior and engage your workforce in
assisting you in this effort?
–– This program explores these questions from an individual,
team and organizational view, helping you to quantify the
real costs and benefits of ethics on personal image, team
effectiveness and organizational results.
–– We will model the effectiveness of interactive games,
simulations and exercises: sharing tips, tools and
practical experience in creating a more engaging, fun
training program. You will learn how to use educational
games to connect individual actions with consequences
and desired outcomes and make the dollars and
sense of ethical culture more personal and relevant to
your workforce.
3:00 – 7:00
pm
Registration Open
Arriving early? Check-in on Saturday to save
time waiting in line plus we’ll automatically enter
you into a drawing for a free registration to the
2016 Annual Meeting!
SUNDAY, OCTOBER 4
7:30
am – 6:00 pm
Registration Open
7:30 – 8:30
am
SpeedNetworking
Registration required www.complianceethicsinstitute.org/
speedmentors
9:00
am – 12:00 pm (includes 15 minute break)
Pre-Conference Morning Breakout Sessions
RISK TRACK
P1 Ethics & Compliance Risk
Management 101: Program
Essentials and Effective Practice
Sunday, 9:00 am – 12:00 pm
Greg Triguba, Senior Practice Leader, Ethics, Compliance
and Risk, Affiliated Monitors, Inc.
Caroline McMichen, Chief Ethics & Compliance Officer,
Molson Coors Brewing Company
–– Gain a deeper understanding of the basic roles, resources
and fundamentals necessary to facilitate and manage an
effective ethics and compliance risk management program.
–– Explore the challenges, planning considerations and
strategic solutions for implementing and leading effective
ethics and compliance risk assessment processes.
–– Consider outcomes derived from basic risk assessment
findings and explore opportunities to use this valuable
information to prioritize and build strategic plans for
effective management and mitigation.
18
ETHICS TRACK
Agenda subject to change
CASE STUDY TRACK
P3 How to Utilize an Ethics and
Compliance Liaison Structure
to Dramatically Intensify your
Program’s Reach and Impact
in a Cost-Efficient Manner
Sunday, 9:00 am – 12:00 pm
Samantha E. Greves, Compliance & Ethics Professional
Michael Kallens, Associate General Counsel & Manager
of Corporate Ethics and Compliance, Booz Allen Hamilton
Courtney Wallize, Corporate Director Ethics, Northrop
Grumman Corporation
Anne R. Harris, Principal, Ethics Works, LLC.
–– In this interactive panel, we will explore various
approaches to design an Ethics and Compliance Liaison
structure, determine roles and responsibilities, and
develop these individuals to perform this vital role.
–– How to manage an Ethics and Compliance Liaison role:
gaining management support, determining selection
criteria, and recognizing contributions from employees
who take on this role, often in addition to their “day jobs.”
–– How Ethics and Compliance Liaisons can help you
internally market your program, meet ethics and
compliance objectives, and realize a sustained long-term
impact on your culture of integrity.
INTERNATIONAL/MULTI-NATIONAL TRACK
P4 Carrots Before Sticks: Motivating
Mid-Sized Businesses in Emerging
Markets to Launch Compliance Programs
Sunday, 9:00 am – 12:00 pm
Frank Brown, Value Chain/Anti-Corruption Program Team
Leader, Center for International Private Enterprise
Anna Nadgrodkiewicz, Director, Multiregional Programs,
Center for International Private Enterprise
–– Learn what motivates mid-sized businesses in emerging
markets—based on hands-on experience in Kenya,
Pakistan, Russia, Thailand, and Ukraine.
–– Examine the key role that business associations play in
making compliance affordable through shared resources
and advocacy for better regulations.
–– Look at the challenges and misconceptions specific
to mid-sized businesses as they strive to meet global
standards and build effective compliance programs.
COMPLIANCE LAWYER
P5 Learning from Recent FCPA
Enforcement Actions: Why Internal
Controls and Data Analytics
Should be Integral to Your FCPA
and Anti-Corruption Program
Sunday, 9:00 am – 12:00 pm
Thomas R. Fox, Principal, TOMFOXLAW.COM
Joe Oringel, Managing Director, Visual Risk IQ
–– What are internal controls and how do they relate to
your compliance program? Where is the SEC heading on
internal controls enforcement?
–– How does the COSO 2013 Framework relate to your
internal controls program? Why data analytics should be
part of your internal controls and how to get started with
data analytics in a cost-effective way
–– What does new reality mean? Can it be explained? “How
to prepare for the new reality of FCPA Enforcement”
www.complianceethicsinstitute.org
AGENDA
IT COMPLIANCE
INVESTIGATIONS WORKSHOP
P6 The Seven Essential Elements:
Tailoring Your Compliance Program
for an IT-Centric Industry
Sunday, 9:00 am – 12:00 pm
Kira A. Fuller, Compliance Skill Community Director,
National Security Agency
Scarlett R. Wirt, Assistant Director for Standards,
Measures, and Improvements, Office of the Director of
Compliance, National Security Agency
–– With great power comes great responsibility – industrialstrength processing can result in industrial-strength
compliance headaches.
–– An effective compliance program must guide not
only the people, but the systems that automate
business processes.
–– Learn how to extend the seven essential elements of a
compliance program to strengthen the compliance of
your IT environment.
GENERAL COMPLIANCE/HOT TOPICS TRACK
P7 Compliance 101
Sunday, 9:00 am – 12:00 pm
Debbie Troklus, Managing Director, Aegis Compliance
and Ethics Center
Sheryl Vacca, Senior Vice President and Chief Compliance
& Audit Officer, University of California
–– An in-depth look into the seven elements of an effective
compliance program.
–– Understanding the factors to consider when developing
and implementing a compliance program.
–– Project and program management techniques, systems
and tools that can help leverage your compliance
resources.
GENERAL COMPLIANCE/HOT TOPICS TRACK
P8 Bringing Big Shots Back to Earth
Sunday, 9:00 am – 12:00 pm
Stephen M. Paskoff, President & CEO, ELI , Inc.
–– Identifying organizational big shots and how their
behaviors are passed forward to ensuing generations
and how those patterns of bullying/abusive behavior
compromise business objectives and the overall value of
their contributions.
–– Managing an organization’s big shots to enhance
ethics and compliance measures across the board with
examples by minimizing noncompliant conduct and
encouraging individuals to identify improper behaviors
and big shot actions.
–– Leveraging big shot situations to emphasize civility as
a core and common ethics standard throughout an
institution and structure a plan that goes beyond meeting
compliance regulations.
®
www.complianceethicsinstitute.org
P9 Investigations Workshop
Sunday, 9:00 am – 12:00 pm
Part I (9:00-10:00 am):
Beginning the Investigation and
Interviewing the Reporter
Al Gagne, Former Director, Ethics & Compliance, Textron
Systems Corporation (retired)
Latour (LT) Lafferty, Partner, Holland & Knight LLP
–– Some investigation fundamentals.
–– Gather as much information as possible.
–– Safeguard the integrity of the investigation.
Part II (10:00-11:00 am):
Planning the Investigation
Meric C. Bloch, Principal, Winter Compliance LLC
–– Determining the precise allegation you need
to investigate.
–– Making your investigation plan.
–– Developing your investigation strategy.
Part III (11:15 am–12:00 pm):
Taking Effective Interviews
Meric C. Bloch, Principal, Winter Compliance LLC
–– Learn the investigation basics.
–– Know the difference between an interview
and interrogation.
–– Documenting your interview.
12:00 – 1:00
Registration required www.complianceethicsinstitute.org/
speedmentors
pm
Lunch (on your own)
1:30 – 4:30
P10 Advanced Risk Management
Practice: Risk Impact, Benchmarking,
and the Psychology of Risk
Sunday, 1:30 – 4:30 pm
Rebecca Walker, Partner, Kaplan & Walker LLP
Adam Turteltaub, VP Membership, SCCE/HCCA
–– Explore considerations for evaluating the probability
and likelihood of ethics and compliance risk in
global organizations.
–– Consider opportunities to leverage insights from
benchmarking, government pronouncements and
enforcement trends to more effectively manage and
mitigate risk.
–– Explore and discuss how the human brain assesses risks,
the mistakes that are wired in, and how to avoid these all
too human traps to help ensure your risk assessments
are based on actual risk and not misperceptions.
ETHICS TRACK
P11 Entertaining Ethics Training:
How to Avoid Death By Powerpoint
Sunday, 1:30 – 4:30 pm
Paul Fiorelli, Professor of Legal Studies and Co-Director,
Cintas Institute, Xavier University
–– Liven up your ethics training with legally licensed video
clips from movies, and vendors like Second City RealBiz.
–– Design, prepare and implement “games” during training
that reinforce key company concepts and policies.
–– Script, film and edit “home grown” ethics and compliance
videos using company resources and employees.
pm
SpeedMentoring
12:00 – 1:30
RISK TRACK
pm (includes 15 minute break)
Pre-Conference Afternoon Breakout Sessions
CASE STUDY TRACK
P12 Strengthening Culture
Through Innovative Training
Sunday, 1:30 – 4:30 pm
Steven Priest, President, Integrity Insight International
Saira Jesrai, Senior Compliance Officer, Marsh &
McLennan Companies
–– Boards, leaders and even the DOJ and SEC are
concerned with strengthening cultures of integrity.
–– Most of the standard tools in the Ethics and Compliance
Officer toolkit aren’t usually effective at strengthening a
culture.
–– See how MMC has created innovative training
that addresses core compliance issues and has
engaged employees and leaders to think about and
strengthen culture.
Agenda subject to change
19
AGENDA
INTERNATIONAL/MULTI-NATIONAL TRACK
IT COMPLIANCE
P13 Developing and Implementing
Global Compliance Programs
Outside of the US – Intricacies and
Culture Considerations That Make a
Program Truly Global and Effective
in a Multinational Company
P15 Immediately Address IT
Access Compliance Challenges
with These Techniques, Using
Tools You Already Have
Sunday, 1:30 – 4:30 pm
Alan Norquist, CEO & Founder, Veriphyr, Inc.
–– Every industry must comply with IT regulations or risk
a material weakness at audit or loss of valuable and
confidential customer information or intellectual property.
–– A review of the top IT access compliance issues for every
industry such as least privileges, dormant accounts, and
excessive access.
–– Walk away with tools and techniques you and your
organization can utilize with software you already have to
address these IT access compliance challenges.
Kari Wagensteen, Director of Compliance, North America,
Carlson Wagonlit Travel
Renata Moreti, Director of Compliance LATAM, Carlson
Wagonlit Travel
Johan Thorell, Director of Compliance, EMEA, Carlson
Wagonlit Travel
–– To what extent are global programs localized to ensure
suitability and applicability – best practices and examples.
–– Communication and Training - perceptions and behaviors
in raising concerns and engaging your employees.
–– Challenges and Realities in operating in high risk markets
– how do we deal with them, key examples around
working with business partners and third parties and how
this are managed.
COMPLIANCE LAWYER
P14 New Mandate, New Mindset:
Making a Successful Transition
into a Compliance & Ethics Career
(What Lawyers, In-House Counsel &
Others in Transition Need To Know)
Sunday, 1:30 – 4:30 pm
Donna Boehme, Principal, Compliance Strategists LLC
Judith Nocito, Former Director – Global Compliance,
Alcoa (Retired); Senior Advisory, Compliance
Strategists LLC
Sunday, 1:30 – 4:30 pm
John Vastano, CSO, Veriphyr, Inc.
GENERAL COMPLIANCE/HOT TOPICS TRACK
P16 Ethics and Compliance
Training from A to Z: How to Create
Outstanding Training Programs
Sunday, 1:30 – 4:30 pm
Greg Walters, Trial Attorney, U.S. Dept of Housing &
Urban Development
–– Review in detail all of the basic presentation skills
necessary to provide outstanding and memorable live
ethics and compliance training.
–– Learn how to create and present both short briefings
and longer training sessions. You will understand how
audience engagement can be improved in all types
of presentations.
–– Receive the latest new presentation and communication
ideas and trends involving posture, voice and visual aids
used by professional speakers to win over audiences.
Learn how to integrate these new skills and strategies
into your own programs.
Patrick Gnazzo, Principal, Better Business Practices
Robert Bond, Partner and Notary Public, Charles Russell
Speechlys LLP
–– Understanding the Compliance Mandate: Leaving your
old role behind, embracing your new one, identifying what
new skills/expertise are needed, and how to get them.
–– Defining the Compliance Role (and supporting roles):
Why Compliance is not a Legal function or a subset of
any other function, but a new, distinct, and value-added
professional expertise.
–– Creating your networks, jump-starting your knowledge
base; other strategies for success, including real stories
from the front lines & interactive scenarios.
20
Agenda subject to change
GENERAL COMPLIANCE/HOT TOPICS TRACK
P17 Social Media: Behind the Curtain
Sunday, 1:30 – 4:30 pm
Kortney Q. Nordrum, Esq., Project Manager & Social
Media Expert, SCCE & HCCA
–– Taking the fear out of social media – a primer on platforms,
people, and pitfalls.
–– What you need to know when monitoring employee social
media usage.
–– Learn how use social media to market your compliance and
ethics program.
INVESTIGATIONS WORKSHOP
P18 (continued from P9)
Investigations Workshop
Sunday, 1:30 – 4:30 pm
Part IV (1:30-2:30 pm):
Revealing and Analyzing Documents
Latour (LT) Lafferty, Partner, Holland & Knight LLP
–– Understanding the critical role of documents in
your investigation.
–– Identify and explain the purpose of documentary
evidence in your investigation.
–– Review and discuss key issues involving
documentary evidence.
Part V (2:45-3:45 pm):
Preparing the Investigation Report
Al Gagne, Former Director, Ethics & Compliance, Textron
Systems Corporation (retired)
–– Sticking to the facts.
–– Key considerations to include in the report.
–– Benefits of preparing a good report.
Part VI (3:45-4:30 pm): Q&A Panel
Meric C. Bloch, Principal, Winter Compliance LLC
Al Gagne, Former Director, Ethics & Compliance, Textron
Systems Corporation (retired)
Latour (LT) Lafferty, Partner, Holland & Knight LLP
4:30 – 6:00
pm
Opening Tailgate Reception in Exhibit
Hall Sponsored by Navex Global ™
5:30 – 6:30
pm
Authors’ Reception and Compliance
& Ethics Academy Reunion
6:00 – 7:00
pm
TweetUp Sponsored by PwC
–– Talk
with your peers about how technology affects your
day to day job.
–– Learn how to tweet.
–– Download the mobile app and learn about the
new features.
6:00 – 7:00
pm
Vendor SpeedMeetings
www.complianceethicsinstitute.org
AGENDA
MONDAY, OCTOBER 5
6:30 – 7:30
am
Yoga (Pre-registration required)
7:00
am – 6:00 pm
Registration Open
7:00 – 8:15
am
Continental Breakfast
in Exhibit Hall
8:15 – 8:30
am
Opening Remarks
8:30 – 9:30
Cam Marston, Author, Generational Insights
–– Understanding what the generations are.
–– Learning the key differences in motivations and
aspirations among them.
–– Communicating effectively with each generation.
9:30 – 10:30
am
General Session – Wonders of
Spaceflight and its Risks: Lesson
from the Space Shuttle Program
Dr. Garrett Reisman, Mission Specialist,
STS-132; Crewmember, International Space Station;
Twitter: @astro_g_dogg
–– The challenges and rewards of high risk
environments at NASA and in commercial
space flight.
–– How to encourage a culture where people speak
up and listen.
–– Where cultures go wrong and the consequences
when they do.
10:30 – 11:00
am
Networking Break in Exhibit Hall
Sponsored by Loyola University
Chicago School of Law
am – 12:00 pm
Concurrent Breakout Sessions
www.complianceethicsinstitute.org
INTERNATIONAL/MULTI-NATIONAL TRACK
101 Global Anti-Corruption
Programs: Advanced Practice
and Effectively Managing Risk
104 Anti-Corruption Update for Europe
Monday, 11:00 am – 12:00 pm
Charles Duross, Partner, Morrison & Foerster LLP
–– What’s happening in the UK since the Bribery Act?
–– Information sharing within the EU and with the US DOJ.
–– Importance of investigation planning for later
remedial action.
John G. Rahie, Managing Director, Freeh Group
International; Of Counsel, Pepper Hamilton LLP. Former
Executive Director, General Motors Legal
Jeff Killeen, Compliance Attorney – Investigations,
3M Company
–– Recent trends in global enforcement, emerging risks
and exposures.
–– Discuss best practices in identifying and assessing
global corruption risk in your organization.
–– Explore compliance program challenges and winning
solutions for effectively managing and mitigating
the risk.
am
General Session – Four Generations
in the Workplace and What it Means
for Your Compliance Program
11:00
RISK TRACK
ETHICS TRACK
102 Hearing the Whistleblower:
Building and Maintaining an Effective
Ethics Reporting Program
Monday, 11:00 am – 12:00 pm
Karen M. Aavik, First Vice President, Wealth Management
Compliance Officer, FNFG Ethics Officer, First Niagara
Financial Group, Inc.
–– Learn how to develop and implement the key components
of an effective ethics reporting program.
–– Identify valuable techniques for managing
complex, cross-functional and/or highly sensitive
ethics investigations.
–– Learn how to establish mechanisms for identifying and
monitoring negative ethics trends, and how to effectively
report them to senior management.
CASE STUDY TRACK
103 Engaging Business Leaders
By Linking Ethics and Compliance
to Business Strategy
Monday, 11:00 am – 12:00 pm
Sally March, Director, Drummond March & Co
COMPLIANCE LAWYER
105 What to Do When the
Government Comes Knocking
Monday, 11:00 am – 12:00 pm
Gabriel L. Imperato, Managing Partner, Broad and Cassel
–– Explore in depth what to do in response to an initial
contact by government agents conducting an investigation.
–– Address an organization’s rights and responsibilities and
how to immediately respond to a government contact, as
well as an employee’s rights and obligations in connection
with an investigation.
–– Discussion and review of responding to requests for
documents, what to do during a search executed
pursuant to a search warrant and how to respond to an
ongoing investigation.
IT COMPLIANCE
106 Privacy Compliance
in the Digital Age
Monday, 11:00 am – 12:00 pm
Dan Oseran, Senior Director of Global Privacy
Compliance, eBay
–– Today’s global markets and digital driven companies
require a balance between using data in ways that
drive demand, but also satisfy their customers and are
compliant with regulatory obligations.
–– Understanding the compliance environment and
developing technical and legal controls for privacy
compliance activities is of paramount importance to
meet privacy compliance objectives.
Monday, 11:00 am – 12:00 pm
Stephen B. Harris, VP- Chief Compliance Officer,
The Hartford
–– Learn about techniques that have been used successfully
to overcome business concerns about ROI and
facilitate investment in ethics and compliance program
enhancements.
–– Understand how framing your organization’s ethics and
compliance program as an extension of the organization’s
business strategy can help deepen ethics and compliance
engagement at all levels of the organization.
–– Explore the concept of an ethics and compliance service
delivery model. Learn how a well-crafted service delivery
model can educate business partners and help define
common strategic priorities.
Agenda subject to change
21
AGENDA
GENERAL COMPLIANCE/HOT TOPICS TRACK
107 Compliance and Ethics
Issues in the Retail Industry
ADVANCED DISCUSSION GROUPS
ETHICS TRACK
AD2 Addressing Big Picture E&C
Program Challenges: A Day in the Life
of the Successful Compliance Officer
202 The Ethical Climate Survey: A
First Timer’s Lessons Learned
Eric F. Hinton, Chief Ethics & Compliance Officer,
7-Eleven, Inc.
Monday, 11:00 am – 12:00 pm
Lance Lanciault, Vice President of eCommerce
Regulatory Compliance, Walmart, Inc.
–– Hear from ethics and compliance leaders on key
challenges related to business in the retail industry.
–– Determine best practices on dealing with retailer third
parties including suppliers, franchisees, and licensees.
–– Discuss challenges related to sale of goods and services
to consumers, AML, privacy, security, and advertising.
Greg Triguba, Senior Practice Leader, Ethics, Compliance
and Risk, Affiliated Monitors, Inc.
Ann D. E. Fraser, Executive Director VICR, Canadian Food
Inspection Agency
–– In 2014 our organization implemented its first Ethical
Climate Survey (ECS). What we had originally thought
would be a relatively straightforward process was more
complex than we had anticipated.
–– We will discuss why we considered the ECS as critical
to our understanding of our ethical culture, how we
developed and designed it, the approach we took to
launch it, and how we carried out our analysis of the
results and comments.
–– We will share what we learned about our organization
as well as what we learned about the survey and survey
process themselves and what we will do differently next
time and why.
Monday, 11:00 am – 12:00 pm
GENERAL COMPLIANCE/HOT TOPICS TRACK
108 Global Expectation for Addressing
Fraud Risk & The Investigative Process
Monday, 11:00 am – 12:00 pm
Waheed H. Alkahtani, CFE, CCEP-I, Accounting
Specialist, Internal Audit, Saudi Aramco
–– Overview of the key components of the fraud risk
management (FRM) module introduced by Saudi Aramco
Internal Auditing, which introduce the essential elements
for building an effective anti-fraud/compliance program
that consider various sources of risks
–– Provides the key elements and a strategic approach –
undertaken by Saudi Aramco – in the implementation of a
risk based anti-fraud program build on recommendations
from international bodies such as IIA, ACFE, AICPA and
SCCE that reflects the company global presence
–– Discusses two basic approaches for developing an
effective compliance program and exams three critical
stages: planning, deployment and administration.
ADVANCED DISCUSSION GROUPS
AD1 Changing Organizational Culture
Monday, 11:00 am – 12:00 pm
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
John Falcetano, Managing Director, Action
Compliance Services, LLC
–– Discuss why people cover up or fail to report issues.
–– Explore who is responsible for setting and changing culture.
–– Discuss ways to influence organizational culture in a
positive way.
22
Agenda subject to change
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
Amii L. Barnard-Bahn, Chief Administrative Officer,
California Dental Association
–– Survey and explore some major challenges
and frustrations that E&C leaders can face in
day-to-day practice.
–– Navigate through real-world scenarios that illustrate
systemic challenges and the impact to ethics and
compliance program effectiveness.
–– Collaborate and discuss practical strategies and solutions
for addressing big picture challenges and leading
successful change in the organization.
12:00 – 1:00
pm
Networking Lunch
1:00 – 1:30
pm
Dessert and Networking
Break in Exhibit Hall
1:30 – 2:30
pm
Concurrent Breakout Sessions
RISK TRACK
201 Conflicts of Interest Risk:
Business, Law, Compliance
and Social Science
Monday, 1:30 – 2:30 pm
Jeffrey M. Kaplan, Partner, Kaplan & Walker LLP
–– What are the most common types of conflicts in business
organizations? What are the most dangerous kinds?
–– How can all the elements of a compliance and ethics
program be best deployed to address conflict of
interest risks?
–– What can we learn from psychology and economics that
can help identify and mitigate conflicts?
Monday, 1:30 – 2:30 pm
CASE STUDY TRACK
203 A Tale of Two Assessments:
How to Plan, Implement and Leverage
Compliance Program Assessments
Monday, 1:30 – 2:30 pm
Eric O. Morehead, Head of Advisory Services,
NYSE Governance Services
–– During this session we will examine two different
organizations who undertake compliance program
assessment projects and how they handle planning,
project management and next steps at the conclusion of
the assessments.
–– Topics that will be discussed will include outsourcing
versus an internal process, developing a repeatable
methodology, scoping the project, internal marketing
and engagement (including at the board level), resource
allocation, common processes and methods, certification,
common data sources (including surveys), successful
reporting and common (and uncommon) next steps.
–– Benchmarking data on organizational assessments will
be discussed (including helpful data from the 2014 SCCE
CEPE Report), as well as best practices in designing,
implementing and successfully leveraging assessment
results to improve an organization’s compliance program.
INTERNATIONAL/MULTI-NATIONAL TRACK
204 Conducting Effective Third
Party Due Diligence in China
Monday, 1:30 – 2:30 pm
Allan Matheson, Managing Director, Blue Umbrella
–– An analysis of existing third party information available to
risk professionals, demonstrating how it can be utilized to
support due diligence processes.
–– Common frustrations and misconceptions relating to
conducting due diligence in China.
–– A review of legal and regulatory challenges pertaining to
conducting third party due diligence in China.
www.complianceethicsinstitute.org
AGENDA
COMPLIANCE LAWYER
GENERAL COMPLIANCE/HOT TOPICS TRACK
205 Peer-to-Peer Compliance: Are
Your Contract Clauses Running
Offense and Defense For Your
Ethics and Compliance Program?
208 Using Top Sales Techniques to
Sell the Compliance Programme
to Your Internal Audience
Monday, 1:30 – 2:30 pm
Kristy Grant-Hart, Chief Compliance Officer, United
International Pictures
–– Use the motivational techniques and ideas of Zig Ziglar
and other sales pioneers to create a buzz and get your
internal prospects (board members, employees, mid-level
managers) to buy into the compliance programme.
–– Use the four primary motivators to excite and challenge
your audience during training and committee meetings,
and how to use the Sandler 70/30 principle, active
listening and mirroring to make the company believe you
are the solution to their problems.
–– Learn techniques of closing the sale, and how to apply
those to your conversations with your internal audience
so that you get genuine commitment and buy-in for your
initiatives and your programme. Learn how to create a
shared vision for success.
Jason B. Meyer, President, LeadGood, LLC
Amy E. Hutchens, President, CLEAResources, LLC
–– Discover how to play offense and defense for your E&C
program using contract clauses – in drafting and in
negotiations. What will you say to the lawyers next time?
–– From mock negotiations and in-the-trenches
commentary, you’ll learn about common limitations in
contract clauses that could tie your hands if something
goes wrong, and about contractual opportunities to boost
your program that you don’t want to miss.
–– One of the 2014 CEI’s liveliest sessions is back, focusing
on new contractual challenges – and this year, you’re
invited to bring the clauses that were your biggest
headaches (or victories), and share them with the panel
and your colleagues.
Monday, 1:30 – 2:30 pm
ADVANCED DISCUSSION GROUPS
IT COMPLIANCE
206 Did You Hear That Alarm? The
Impacts of Hitting the Information
Security Snooze Button
Monday, 1:30 – 2:30 pm
Pamela Ringenberg, Leadership Development Associate,
State Farm
Dave Muxfeld, Staff Compliance Analyst, State Farm
–– A look at Information Security considerations that could
impact an organization’s ability to detect and respond to
a breach incident.
–– Explore how a compromise could occur and how
individuals and organizations can assess how controls
and risk evaluation techniques work together to address
Information Security risk.
–– Discuss how an organization should prepare for the
inevitable event by maintaining a written and regularly
tested breach response plan to identify, before an
incident occurs, any gaps, and gain an understanding of
the impacts to business.
GENERAL COMPLIANCE/HOT TOPICS TRACK
207 Consistent Compliance Answers
Monday, 1:30 – 2:30 pm
Gene Stavrou, Associate Director, Business Integrity,
Mondelez International
–– Flowchart and automate complex compliance answers,
such as “may I accept this gift?
–– Help your team answer questions consistently.
–– Save time and effort, reduce risk.
www.complianceethicsinstitute.org
AD3 What Are You Doing to
Engage Supervisors? Middle
Manager Engagement
Monday, 1:30 – 2:30 pm
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
Al Gagne, Former Director, Ethics & Compliance, Textron
Systems Corporation (retired)
ADVANCED DISCUSSION GROUPS
AD4 Metrics: Advanced
Techniques for Evaluating Your
Compliance & Ethics Program
Monday, 1:30 – 2:30 pm
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
Marjorie W. Doyle, Marjorie Doyle & Associates
2:30 – 3:00
pm
Networking Break in Exhibit Hall
3:00
pm – 4:00 pm
Concurrent Breakout Sessions
RISK TRACK
301 Global Antitrust & Competition
Law Risk: Real Challenges Facing
Organizations and Strategies
for Effective Management
Monday, 3:00 – 4:00 pm
Joseph E. Murphy, Senior Advisor,
Compliance Strategists
–– Identify and understand antitrust and competition law
risks facing your organization globally.
–– Explore strategies, tools, and resources, including
the USSGs elements, for effective management of
antitrustrisk.
–– Understand the global enforcement environment and
how your compliance efforts can make a difference.
ETHICS TRACK
302 Breaking Bad: Creating a Culture
of Civility and Professionalism
Monday, 3:00 – 4:00 pm
Tucker Miller, Regional Director, ELI
–– Correcting and preventing negative behaviors to minimize
business, safety and legal risks.
–– Developing a cultural perspective for promoting and
sustaining civility and professionalism.
–– Understanding the specific elements that define
workplace culture and develop a plan of action to create
a culture that welcomes concerns and discourages
bad behavior.
CASE STUDY TRACK
303 You Think Your Boardroom
is Political? A Case Study from
the City of Brotherly Love
Monday, 3:00 – 4:00 pm
Stephanie F. Tipton, Chief Integrity Officer,
City of Philadelphia
Hope Caldwell, Associate Director, Compliance,
Princeton University
–– Implementing an ethics and compliance program in a
government or non-profit setting presents its own set of
unique challenges - what can we learn from corporate
best practice and vice versa?
–– Using the City of Philadelphia as a case study, the
presenters will discuss the growing pains, successes,
and lessons learned in building the City’s nascent ethics
and compliance program since 2008.
–– The session will also be an opportunity to bring together
ethics and compliance officials in government and publicsector settings for networking and idea-sharing.
Agenda subject to change
23
AGENDA
INTERNATIONAL/MULTI-NATIONAL TRACK
IT COMPLIANCE
304 Implementing a Unified
Compliance Program Covering Multiple
Global and Local Requirements - The
Local Distributor/Agent Perspective
306 IT Compliance in the Las
Vegas Gaming Industry: Lessons
for Every Compliance Officer from
the Gaming Capital of the World
Monday, 3:00 – 4:00 pm
Monday, 3:00 – 4:00 pm
Segev Shani, VP Medical & Regulatory Affairs,
Neopharm Ltd.
–– Structuring a unified local ethics and compliance program
to ensure consistency with multiple global corporate values
as well as local laws and culture, instead of implementing
several different global programs.
–– Negotiation and agreement with global corporate
compliance department on the local ethics and compliance
program to be implemented locally while solving conflicts
between global and local laws and regulations.
–– Implementation of an ethics and compliance program as
an organizational change - creating an easily understood
and meaningful program in local language while capturing
the global (“foreign”) corporate’s objectives.
Ralph Villanueva, IT Systems and Compliance Analyst,
Westgate Las Vegas Resort and Casino
–– Attendees will learn the importance of a strong IT
compliance component in overall compliance work.
–– This presentation will share lessons from the IT
compliance efforts of the Las Vegas gaming industry,
and enable attendees to learn the various regulatory and
industry requirements influencing IT compliance work in
Las Vegas.
–– Attendees will learn how to harness the benefits of
regulatory and industry requirements in their state and
industry in setting up effective IT compliance measures
in support of their compliance efforts and avoid the huge
costs of non-compliance.
COMPLIANCE LAWYER
305 Brace Yourself! Get Ready for the
New Legal Landmines in Background
Check Compliance: EEOC Guidance,
FCRA Class Action Litigation, Ban
the Box Law, and State Issues
Monday, 3:00 – 4:00 pm
Angela Preston, General Counsel, EmployeeScreenIQ
–– Attendees will learn about the recent wave of class
action cases alleging FCRA violations in the background
screening process. The session will cover the specific
sections of the FCRA where employers are at risk, and
learn tips and best practices.
–– Participants will learn how to update their policies and
procedures to be in compliance with the 2012 EEOC
Guidance and avoid being the next enforcement target.
The session will cover recent litigation and offer practical
solutions and templates
–– This session will identify cities and states with ban
the box laws and jurisdictions with new restrictions on
criminal background checks. Learn how to update your
applications, policies and procedures to comply with ban
the box and other state laws
GENERAL COMPLIANCE/HOT TOPICS TRACK
307 Leveraging Your Social Capital
for Influence and Engagement
Monday, 3:00 – 4:00 pm
Megan Hess, Washington & Lee University
–– We will explore how ECOs can optimize their social
connections to influence the ethical culture of
their organizations.
–– We will also discuss positive networking behaviors that
can increase energy and foster employee engagement.
–– As part of this session, participants will have the
opportunity to assess their own networking strengths and
areas of improvement.
GENERAL COMPLIANCE/HOT TOPICS TRACK
308 Building the Ship While
Sailing: Building a High Performing
Compliance and Ethics Team
Monday, 3:00 – 4:00 pm
Donna Boehme, Principal, Compliance Strategists LLC
Stephen Naughton, VP – Chief Ethics and Compliance
Officer, Kimberly-Clark Corporation
Judith Nocito, Former Director – Global Compliance,
Alcoa (Retired); Senior Advisory, Compliance
Strategists LLC
Janice Innis-Thompson, Senior Managing Director and
Chief Ethics & Compliance officer, TIAA-CREF
–– Creating a common context: Compliance 101 for the
team – level playing field
–– Creating a common vision: Tasks vs. Responsibilities
–– Identifying unique, core competencies and levels
of expertise. Developing a training architecture and
professional development opportunities.
24
Agenda subject to change
ADVANCED DISCUSSION GROUPS
AD5 Suppliers and Other
Third Party Engagement
Monday, 3:00 – 4:00 pm
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
Eric Lisann, Senior Advisor to JTI, Inc.
ADVANCED DISCUSSION GROUPS
AD6 Tools for Enhancing Employee
Participation in Training
Monday, 3:00 – 4:00 pm
Art Weiss, Chief Compliance & Ethics Officer, TAMKO
Building Products
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
4:00 – 4:30
pm
Networking Break in Exhibit Hall
4:30
pm – 5:30 pm
Concurrent Breakout Sessions
RISK TRACK
401 Global Privacy and Data
Protection Risks: Protecting
Corporate Digital Assets
Monday, 4:30 – 5:30 pm
Pamela Passman, President and CEO, Center for
Responsible Enterprise and Trade – CREATe.org
David J. Heller, Enterprise Risk Management and General
Auditor, Edison International
–– Cyber threats and data breaches: Top risks, vulnerabilities
and implications for compliance professionals.
–– Challenges and case studies: Insiders, competitors, third
parties and supply chains – who poses the greatest risk?
Target’s data breach was via a vendor – how do you close
security gaps?
–– Cross-organization solutions: Aligning teams, asking
key questions and investing in people, processes
and technology to mitigate risks internally and with
third parties.
www.complianceethicsinstitute.org
AGENDA
ETHICS TRACK
402 The Power of Story: Insights for
Communicating Ethics & Compliance
Monday, 4:30 – 5:30 pm
Ronnie Feldman, Product Director, RealBiz Shorts,
The Second City Works
–– Learn how the philosophies of improvisation can help
compliance professionals communicate difficult subjects
in a positive way while building a culture of collaboration
and trust.
–– Learn the latest informal learning techniques as a way to
draw attention and reinforce policies, trainings and key
messaging in a positive way.
–– Learn how to blend entertainment with learning
to improve engagement with a multicultural,
global workforce.
COMPLIANCE LAWYER
405 “U North or True North?”- The
Challenges of Ethical DecisionMaking for In-House Counsel
Monday, 4:30 – 5:30 pm
Chris Osborn, Assistant Professor, Charlotte School of
Law; ReelTime CLE
–– Identify the unique opportunities and challenges that
in-house counsel and chief compliance officers have in
overseeing and managing ethics and compliance efforts.
–– Understand how stress and outside pressures impact
ethical decision-making.
–– Explore practical steps to maintaining ethical
commitments.
IT COMPLIANCE
CASE STUDY TRACK
403 Training or Learning? Ensuring
Your Compliance Training Addresses
Your Organization’s Needs
Monday, 4:30 – 5:30 pm
Charlotte D. Young, Chief Ethics and Compliance Officer,
The Nature Conservancy
Grace C. Wu de Plaza, Deputy Ethics & Compliance
Officer, The Nature Conservancy
–– This session will discuss The Nature Conservancy’s
multi-tiered training program.
–– Discussion will include what to think about when crafting
training programs for different target audiences, including
Board of Directors and volunteers.
–– It will also provide useful tools for marketing the training
to obtain high completion rates.
INTERNATIONAL/MULTI-NATIONAL TRACK
404 Adequate Procedures:
An International Overview
Monday, 4:30 – 5:30 pm
Rossana Buzzi, Assistant General Counsel, Compliance
Leader South Europe, Invensys PLC
–– Europe & the United States: A status report on effective
compliance programs and adequate procedures.
–– New laws in Italy require adequate budgets for
compliance programs – are they on the right track?
–– A multinational evaluation of new legislation and
enforcement from the US and Europe with perspective
from working in Italy, Switzerland and Germany.
www.complianceethicsinstitute.org
406 IT Professionals: Train Me
Now or Pay For it Later
Monday, 4:30 – 5:30 pm
E. Bonnie Becker, Compliance Officer,
National Security Agency
–– Technical professionals need more than a list of
requirements to build internal controls into systems –
they need to learn what questions to ask up front to
ensure they have the right compliance requirements.
–– Explore the evolution and development of “Mission
Compliance for Technical Professionals”, an online
training program designed for individuals who are
building privacy compliance into systems, software, tools,
and analytics.
–– Learn about the challenges of incorporating subject
matter experts appropriate to each of the various
technical roles; training topics and key messages;
recognizing and mitigating errors throughout the IT
lifecycle: building, maintaining, and updating.
GENERAL COMPLIANCE/HOT TOPICS TRACK
407 The First 100: How To Build
A World-Class Compliance
Team and Accomplish Critical
Goals in the First 100 Days
Monday, 4:30 – 5:30 pm
Victoria McKenney, Associate GC-Regulatory and
Compliance and Deputy Chief Compliance Officer, United
States Steel Corporation
Suzanne Rich Folsom, General Counsel, Chief
Compliance Officer, and Senior Vice President –
Government Affairs, United States Steel Corporation
–– The first 100 days of leading a compliance department
are crucial. Find out what tasks to tackle, the goals to
set, and what is realistically achievable during these first
critical days to set you on the path to success from the
initial get-go
–– Building a world-class compliance team is a skill that can
be mastered. Discuss what subject matter experts you
must have, how to make positions attractive to potential
candidates, and the core elements of a top notch
compliance department
–– Learn how to get support from the Board of Directors,
senior management, your clients/business units, and
your staff on your vision and goals
GENERAL COMPLIANCE/HOT TOPICS TRACK
408 Office of Foreign National Control
Data: A Mandatory Compliance
Tool in Many Industries and a
Powerful Mechanism to Mitigate
Risk in All Industry Sectors
Monday, 4:30 – 5:30 pm
Kenneth H. Coronel, Chief Legal Officer,
Verisys Corporation
–– Learn which industries are required to utilize OFAC, how
OFAC should be integrated into compliance programs,
and how to access and validate OFAC data.
–– Understand why OFAC should be a go-to screening
process to protect the full spectrum of businesses - even
those that are not required to use it - to avoid employing
or doing business with “Specially Designated Nationals”
(really bad people and entities).
–– Recognize the consequences for failing to use OFAC. The
law has some real teeth, ranging from civil penalties to
potentially long jail sentences.
Agenda subject to change
25
AGENDA
ADVANCED DISCUSSION GROUPS
AD7 Getting the Most Out of
Your Compliance Committee
TUESDAY, OCTOBER 6
6:30 – 7:30
am
Monday, 4:30 – 5:30 pm
Yoga (Pre-registration required)
Adelle Elia, CCEP, VP, Chief Ethics & Compliance Officer,
US Investigations Services
7:00
Paige Shannon, Esq., CCEP, Senior Associate General
Counsel, Kforce, Inc.
–– Hear about successful practices (and pitfalls) in working
with your Compliance Committees
–– Get feedback and ideas from your peers on addressing
your specific challenges
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions
ADVANCED DISCUSSION GROUPS
AD8 From Bangkok to Bogotá and
Boston to Brussels, Global ABC and
FCPA Benchmarks, Best Practices and
Bootcamps – One Size Does Not Fit All
Monday, 4:30 – 5:30 pm
Jay Rosen, Vice President, Legal & Corporate Language
Solutions, Merrill Brink International
–– How do companies choose to communicate their antibribery values to their global workforce?
–– If your compliance program is starting at 0, how to resist
the urge to go straight to 60mph? How to ease yourself
out onto the anti-bribery and anti-corruption road.
–– What are specific FCPA/Global Compliance risks that
keep you challenged?
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
5:30 – 7:00
pm
Networking Reception in Exhibit Hall
Sponsored by Compliance Science
7:00 – 9:00
pm
International Compliance & Ethics
Awards Dinner
am – 5:30 pm
Registration Open
7:00 – 8:15
am
Continental Breakfast in Exhibit Hall
Sponsored by Broad & Cassel
8:15 – 8:30
am
Opening Remarks
8:30 – 9:30
am
General Session – The U.S.
Department of Commerce and The
Fight Against International Corruption
Kelly R. Welsh, General Counsel, U.S. Department
of Commerce
–– The role of the Commerce Department in promoting the
rule of law in international commerce.
–– How a strong commercial rule of law can level the playing
field for U.S. companies operating throughout the world.
–– How the Commerce Department can help companies
confronted with bribe solicitation or other corruption
related issues overseas.
9:30 – 10:30
am
General Session –
NextGen Compliance
(Moderator) Roy Snell, CEO, SCCE/HCCA
Marjorie W. Doyle, Marjorie Doyle & Associates, LLC
Odell Guyton, Vice President, Global Compliance, Jabil
Circuit, Inc.
Debbie Troklus, Managing Director, Aegis Compliance
and Ethics Center
Art Weiss, Chief Compliance & Ethics Officer, TAMKO
Building Products
–– The international compliance movement.
–– Interpersonal skills - beyond the 7 elements.
–– Myths and facts about compliance programs and the
compliance officers role.
10:30 – 11:00
am
Networking Break in Exhibit Hall
11:00
am – 12:00 pm
Concurrent Breakout Sessions
26
Agenda subject to change
RISK TRACK
501 Keeping Up With Social
Media Risks: Policy, Flexibility,
& Common Sense
Tuesday, 11:00 am – 12:00 pm
Matt Kelly, Editor and Publisher, Compliance Week
Chris Fedrow, Executive Director, Ethics and
Compliance, Yahoo
Sheila Fischer Kiernan, Chief Compliance Officer,
Corporate Functions, McKesson Corporation
–– Policy and regulation go only so far to address social
media risks; they cannot be ‘managed’ in a traditional
compliance sense.
–– Strong social media risk management depends on
training employees to think more smartly, and to
understand what the company wants its values to be.
–– Beyond training and communication, managing social
media risks depends on a tag team of legal or policy
experts, teamed with audit experts who can measure
progress toward risk management goals.
ETHICS TRACK
502 Fostering an Ethical
Culture Through Leadership
Tuesday, 11:00 am – 12:00 pm
Rick L. Crosser, Professor of Accounting, Metropolitan
State University of Denver
–– Benefit from a series of case study videos which amplify
barriers to ethical behavior and leadership.
–– Explore why good people sometimes do evil and assess ways
to change moral reasoning.
–– Identify leadership challenges when ethical dilemmas surface.
CASE STUDY TRACK
503 Compliance Mitigation
through Collaboration
Tuesday, 11:00 am – 12:00 pm
Marcia N. Gonzales, Chief Compliance Officer,
Indiana University
–– Foundational Elements-Establish/reinforce organization’s
defining compliance message or document (Code of
Conduct); at times Compliance is not truly established until
a defining compliance event occurs (government audit,
breach, lawsuit, etc).
–– Internal Partnerships & Shared Goals -data driven decisions
and risk identification; establish internal relationships before
a compliance investigation or audit occurs; understand role
of key operational units; ask right questions and get relevant
information.
–– Highlight Resources, Not Rules - the “how to’s” versus the
“don’t do’s”; communication based on defining compliance
message; reinforce non-retaliation, access to info to promote
transparency and self-governing culture; ethics versus rule
driven initiative.
www.complianceethicsinstitute.org
AGENDA
INTERNATIONAL/MULTI-NATIONAL TRACK
GENERAL COMPLIANCE/HOT TOPICS TRACK
504 Establishing a Foreign Trade
Law Compliance Management
System in a Multi-National Enterprise
- a European Perspective
507 Creating a Compliance Playbook
- How to Evidence Compliance
Tuesday, 11:00 am – 12:00 pm
Dr. Christina Moeller, Senior Director Ethics &
Compliance, Bertelsmann SE & Co. KG aA
–– Due to the global political situation foreign trade law
compliance obligations become increasingly complex
and challenging.
–– A look at the legal and organizational challenges posed by
EU and US foreign trade law.
–– Insight into the Trade law compliance management system
re-launched at Bertelsmann SE in 2014/2015 and open
discussion on different approaches how to tackle this
complex compliance topic successfully in global enterprises.
COMPLIANCE LAWYER
505 Legal Dos and Don’ts of
Internal Workplace Investigations
Tuesday, 11:00 am – 12:00 pm
Judy S. Kalisker, Principal, Compliance Plus
–– How does attorney-client privilege apply (or not) in the
internal investigation?
–– Legal issues around maintaining investigation documents,
including drafts and interview notes.
–– The role of the lawyer in an internal investigation.
IT COMPLIANCE
506 Top 10 Tips and Tools for
Meeting Regulatory Requirements
and Managing Cloud Computing
Providers in the United States
and Around the World
Tuesday, 11:00 am – 12:00 pm
Web Hull, Privacy, Data Protection, & Compliance Advisor
–– Identifying, assessing, and assuring adequate data
protection policies and controls for your third party
cloud providers.
–– Successfully contracting with third party cloud providers.
–– Auditing, monitoring, and remediating shortcomings with
third party cloud providers.
www.complianceethicsinstitute.org
ADVANCED DISCUSSION GROUPS
Tuesday, 11:00 am – 12:00 pm
AD3B What Are You Doing to
Engage Supervisors? Middle
Manager Engagement
Scott Hilsen, Director, KPMG Forensic
Tuesday, 11:00 am – 12:00 pm
Jean-Paul Durand, Chief Ethics & Compliance Officer,
Tech Data
–– Discuss leading practices and strategies to evidence
and measure compliance through documentation of (i)
risk assessments; (ii) policies, procedures, controls; (iii)
the players (i.e. compliance organization, reporting);
and–importantly- (iv) compliance metrics that can be
measured, monitored, and reported.
–– Learn how to adequately document compliance while
also considering legal privileges and the protection of the
company’s interests.
–– Understand why creating and having a compliance
playbook in hand can best position a company to
efficiently and effectively demonstrate compliance to key
stakeholders and regulators.
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
GENERAL COMPLIANCE/HOT TOPICS TRACK
Al Gagne, Former Director, Ethics & Compliance, Textron
Systems Corporation (retired)
12:00 – 1:30
pm
Networking Lunch
1:30 – 2:30
pm
Concurrent Breakout Sessions
RISK TRACK
508 Role of the Data Protection Officer 601 Don’t Buy Trouble in M&A
Transactions: Effectively Managing
Tuesday, 11:00 am – 12:00 pm
Ethics and Compliance Risk
Robert Bond, Partner and Notary Public, Charles Russell
Speechlys LLP
–– Understand the current role of the Data Protection Officer
in EU, Asia and South America.
–– Analyze the duties and risks for the Data Protection
Officer as a Compliance professional.
–– Review the future role of the Data Protection Officer in
the EU and its impact on multinationals.
ADVANCED DISCUSSION GROUPS
AD1B Changing Organizational Culture
Tuesday, 11:00 am – 12:00 pm
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
John Falcetano, Managing Director, Action
Compliance Services, LLC
–– Discuss why people cover up or fail to report issues.
–– Explore who is responsible for setting and
changing culture.
–– Discuss ways to influence organizational culture in a
positive way.
Tuesday, 1:30– 2:30 pm
Kasey T. Ingram, General Counsel, ISK
Americas Incorporated
Daniel Harper, Assistant General Counsel,
CTS Corporation
–– Overview of the challenges, considerations and risks that
arise during the M&A Transaction process.
–– Share practical tips and solutions for effectively conducting
pre-acquisition due diligence and mitigating associated risk.
–– Discuss strategies for effectively integrating ethics and
compliance programs and related infrastructure after the
deal closes.
ETHICS TRACK
602 Values, Conduct and Ethics:
Making it real for employees
Tuesday, 1:30– 2:30 pm
Ula Ubani, Chief Ethics Officer, BMO Financial Group
–– Basing your Code of Conduct on company values
is the right thing to do but how does it translate for
your employees?
–– What happens if your employees’ value set differs from
that of your company?
–– How can you ensure that the company’s expectations of
behaviour are well understood and clear to all employees,
contributing to proper conduct and high ethical standards?
Agenda subject to change
27
AGENDA
CASE STUDY TRACK
IT COMPLIANCE
GENERAL COMPLIANCE/HOT TOPICS TRACK
603 Choosing to Lean on
Culture: Bluegreen Corporation’s
Share Happiness
606 Compliance, the Digital Environment 608 Get To The Root Cause To Design
and Data Protection: Why and How
Effective Corrective Action Plans
Your Business Must Be Prepared
Tuesday, 1:30– 2:30 pm
Tuesday, 1:30– 2:30 pm
Tuesday, 1:30– 2:30 pm
Marsha H. Ershaghi Hames, Sr Leader Education
Advisory Services, LRN
Marcelo X. Crespo, Lawyer and Professor, Crespo &
Santos Law Firm
Stephen Wilke, Director, Talent Development,
Bluegreen Corporation
–– Scaling culture transformation by empowering the soul of
your workforce: Share Happiness Case Profile.
–– Role of leadership as culture change agents.
–– Why sticky learning takes effort: Learn the science
behind successful blended learning strategies.
Liana Irani A. Cunha, Compliance Coordinator, Abbott
Laboratories do Brasil LTDA
–– What is sensitive data? How to know what kind of data can
be considered sensitive? Disclosing data. Individual rights
and ways of obtaining data. Data obtained from third parties
–– Making the board take decisions on database. BYOD and
responsibilities.
–– Security, accuracy, availability: do’s and dont’s.
INTERNATIONAL/MULTI-NATIONAL TRACK
604 Best Practices for Addressing
Corruption-Related Risks
Presented by International
Third Party Intermediaries
Tuesday, 1:30– 2:30 pm
Randi J. Roberts, Vice President, Compliance,
NBC Universal
–– Identifying Third Party Intermediary Types Used By Your
Business To Assess Risk Level.
–– Assessing Risk Level: Reviewing Territory Risk, Deal
Risks & Other Key Deal Factors.
–– Due Diligence, Contractual Safeguards, Training,
Approvals, Monitoring & Auditing Based Level of
Risk Assessed.
COMPLIANCE LAWYER
605 From Paranoia to Pollyanna:
Bad News and Good News about
Compliance Officer Liability
Tuesday, 1:30– 2:30 pm
Scott Killingsworth, Partner, Bryan Cave LLP
–– Compliance officers and in-house counsel have become
the ironic targets of the post-financial crisis push to punish
individuals for corporate violations. Is CO paranoia justified
or are these aberrant cases based on bad facts that
needn’t worry most COs?
–– Learn about triggers for indirect liability such as the
responsible corporate officer doctrine, failure to supervise,
failure to establish appropriate controls, and aiding and
abetting - and how to stay out of these lines of fire.
–– Hear the latest from policymakers in the enforcement
community on the tension between empowering and
protecting COs acting in good faith versus punishing
those who shirk their duties or participate in misconduct
or cover-ups.
28
Agenda subject to change
GENERAL COMPLIANCE/HOT TOPICS TRACK
607 Managing Conflicts of Interest:
A Compliance Officer’s Challenge
Tuesday, 1:30– 2:30 pm
Vernon M. Speshock, Associate Director of Policy and
Ethics and Compliance Operations, Apollo Education
Group Inc.
Jennie Watts, Ethics & Compliance Program Manager,
Apollo Education Group Inc.
–– An overview of conflicts of interest is provided that
describes what they are, why they are important to the
ethical governance within an organization, and examples
of what happens when they are improperly managed
within a company.
–– A process to manage conflicts of interest is introduced
that includes a discussion of frequency of requesting
disclosures from employees and others, who needs to
disclose and the use that technology can play to make
this process efficient and effective.
–– Lessons Learned at Apollo Education Group includes
a discussion of data and analysis following its
recent experiences, implications for training and
communications, and reporting to the Board of Directors.
Deann Baker, Sutter Care at Home Compliance Officer,
Sutter Health
Debbie Troklus, Managing Director, Aegis Compliance
and Ethics Center
–– Factor 1: Simple Tools, Available Resources and Techniques
(START) - Engage participants in a discussion regarding
Root Cause Analysis techniques and complete an exercise
to evaluate a compliance opportunity. Discuss policies and
procedure development.
–– Factor 2: Safe Environment and Ethical Treatment (SET)
- Cover the importance of creating a safe environment for
transparent and confidential dialogue and fair treatment
including consistent disciplinary actions when necessary.
–– Factor 3: Accountability - Incentives - Metrics (AIM)
- Discuss the importance of metrics to incentivize
accountability for timely implementation of Corrective Action
Plans and establishing reporting and monitoring timelines.
ADVANCED DISCUSSION GROUPS
AD4B Metrics: Advanced
Techniques for Evaluating Your
Compliance & Ethics Program
Tuesday, 1:30– 2:30 pm
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
Marjorie W. Doyle, Marjorie Doyle & Associates
ADVANCED DISCUSSION GROUPS
AD5B Suppliers and Other
Third Party Engagement
Tuesday, 1:30– 2:30 pm
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
Eric Lisann, Senior Advisor to JTI, Inc.
2:30 – 3:00
pm
Networking Break
3:00 – 4:00
pm
Concurrent Breakout Sessions
www.complianceethicsinstitute.org
AGENDA
RISK TRACK
701 Records and Information
Management Risk: The 4 C’s
of Information Governance
Tuesday, 3:00– 4:00 pm
Emily Bone, Global Records Manager, Molson Coors
Brewing Company
–– The 4 C’s of an Information Governance Program:
Classify, Categorize, Control, and Cultivate.
–– Each “C” will go into detail of how to manage Risk in
Records, Information Management, and IT as well as
collaboration for each stage, which departments needs to
be involved, what data to look out for, and what business
practices are needed to be implemented.
–– Review in detail the applicable regulations, standards,
best practices, and continued awareness the entire
IG program needs in order to maintain credibility and
compliance and reduce risk.
ETHICS TRACK
702 How to Attract, Empower
and Retain Ethical Employees
Tuesday, 3:00– 4:00 pm
Lorrie Bamford, Director of Compliance/General Counsel,
Gaming Capital Group, LLC
–– Attract ethical employees by identifying and defining
your company values, ethical employee traits, and risk/
compliance obligations.
–– Empower ethical employees with specific tools for
empowerment and relationship building.
–– Retain ethical employees with specific compliance
program initiatives.
CASE STUDY TRACK
703 Leveraging Managers
to Drive Culture
Tuesday, 3:00– 4:00 pm
Cindy Yanasak, Compliance & Ethics Program Manager,
Progressive Corporation
Eileen M. Xenarios, Business Process Consultant,
Progressive Corporation
–– Learn how Progressive enables their managers to use
their influence as leaders to make the culture live on by
embracing ethical leadership and facilitating an ethical
decision making workshop for their teams.
–– Learn how to take advantage of the direct impact
managers can have on increasing employee willingness
to raise concerns, welcoming disagreement, embracing
diversity and encouraging inclusive team dynamics.
–– Participate in a sample interactive video-based training
session and experience first-hand how managers are
called to action in our ethical workshop.
www.complianceethicsinstitute.org
INTERNATIONAL/MULTI-NATIONAL TRACK
GENERAL COMPLIANCE/HOT TOPICS TRACK
704 Brazil, Colombia and Mexico:
Trade with the Major Latin
America Economies without
Generating Corruption Liability
707 Learning from CEOs: How
Modeling Trumps Every Other
Part of a Compliance Program
Tuesday, 3:00– 4:00 pm
Theodore L. Banks, President, Compliance &
Competition Consultants, LLC
–– Learning from the prosecution of Apple and
other companies.
–– Why using rewards suggested by the Federal
Sentencing Guidelines can backfire.
–– What can be done with an ambivalent or
oppositional CEO.
Alexandre Lira, Partner, Lira & Associates Law Firm
José F. Mafla, Partner, Brigard & Urrutia Law Firm
Alejandro G. Seimandi, Partner, Garcia Seimandi
Flores & Villeda
–– Customs Compliance. Honest mistakes may be used against
the company’s integrity. Avoid bribery threats ensuring
compliance under regulations and quality maintenance.
–– Fighting cultural drift through effective core-value
enforcement. Raising awareness of local representatives.
Risks deriving from customs brokers and logistics operators’
performance. Preventing customs misconducts.
–– Facing Customs Officials. Setting up procedures to prevent
or to handle abuses during Customs clearance. Establishing
protocols. Identifying legal measures and understanding the
chain of command.
COMPLIANCE LAWYER
705 Compliance 3.0: Reflections on
the Future of C&E, Drawing on the
RAND Corporation Symposium Series
Tuesday, 3:00– 4:00 pm
Michael Greenberg, Director, RAND Center for Corporate
Compliance, Ethics and Governance
Michael Volkov, CEO, Volkov Law Group LLC
–– How might the empowered CECO model lead to
increasing professionalization of compliance as a
discipline, independent of the general counsel?
–– How will the functional role of the CECO evolve, given
increasing responsibility, engagement at the C-Suite
level, and the shifting nature of the compliance burden?
–– What will some of the key organizational partners be
for empowered CECOs in the future, and how can the
CECOs better support those partners while carrying out
their own roles?
IT COMPLIANCE
Tuesday, 3:00– 4:00 pm
GENERAL COMPLIANCE/HOT TOPICS TRACK
708 Building Predictive
Monitoring Capabilities
Tuesday, 3:00– 4:00 pm
Jennifer Kugler, Principal Executive Advisor, CEB
–– Understand and consistently categorize root causes
of risk, and translate those causes into measurable
risk indicators.
–– Embed risk indicators into existing workflows.
–– Drive business accountability for risk mitigation
and monitoring.
ADVANCED DISCUSSION GROUPS
AD9 The Non Financial
Consequences of Non-Compliance
Tuesday, 3:00– 4:00 pm
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
Odell Guyton, Vice President, Global Compliance,
Jabil Circuit, Inc.
–– Communicating with the C-Suite
–– Moving your program forward.
–– Leveraging the message.
706 Compromising Remote Access:
A Live Hack Demonstration
Tuesday, 3:00– 4:00 pm
Gary Glover, Director of Security Assessment, SecurityMetrics
–– Study recent hacking history and why POS malware is
such an attractive tool for attackers.
–– Watch how attackers breach insecure remote access with
an assortment of publicly available tools to gain complete
system access to valuable patient and organizational data.
–– Develop a plan to secure remote desktop software,
thwart cyber-attacks with multi-layer security, and
promote a culture of data security at your organization.
Agenda subject to change
29
AGENDA
ADVANCED DISCUSSION GROUPS
AD10 Elevating Your E&C Program
Through Board Engagement
Tuesday, 3:00– 4:00 pm
NEW THIS YEAR: Advanced Discussion Groups
will be filled on a first-come, first-served basis.
Attendance is limited to the first 50 attendees.
Pre-registration is not available for these sessions.
Randall H. Stephens, Vice President, Advisory Services,
NAVEX Global
Managing Director, Ethics & Compliance, Duke Energy
–– Discover criteria for benchmarking your current board
reporting protocol against best practices.
–– Learn five keys to creating memorable and effective
board reports (including what not to do).
–– Receive sample content and metrics to consider using in
your own reports.
4:00 – 4:15
pm
Networking Break
4:15 – 5:15
pm
Concurrent Breakout Sessions
RISK TRACK
801 Government Contracts
and Relationship Risk: What
Every Compliance and Ethics
Officer Should Know
Tuesday, 4:15 – 5:15 pm
Deborah L. Adleman, Director, Ernst & Young
Steve Epstein, Chief Counsel, Ethics and Compliance,
The Boeing Company
–– Explore Congressional and Executive initiatives that could
affect the way your company addresses government
contracts and relationships - Is there a new storm forming
on the horizon?
–– Discuss challenges and blind spots that often escape
detection during the risk assessment process that can put
your government contracts and relationships in jeopardy.
–– Share real-world examples of compliance failures and
breakdowns that have resulted in government penalties
and enforcement action and explore strategies for avoiding
these pitfalls and minimizing organizational impact.
30
Agenda subject to change
ETHICS TRACK
COMPLIANCE LAWYER
802 It’s Not Just Tone At the Top:
How Companies Can Build an Ethical
Culture to Improve Compliance and
Remain Focused on the Bottom Line
805 CEO’s (and salespeople too) Say
The Darndest Things: How an IllAdvised Statement or Email Can Start
an Antitrust Investigation or Lawsuit
Tuesday, 4:15 – 5:15 pm
Tuesday, 4:15 – 5:15 pm
Eric R. Feldman, Managing Director Corporate Ethics and
Compliance, Affiliated Monitors, Inc.
–– Learn how to assess the state of your corporate ethical
culture and identify weaknesses that can put your
company at risk.
–– Identify practical steps that companies can take to
strengthen their ethical culture and demonstrate due
diligence to government regulators and law enforcement.
–– Demonstrate the return on investment of compliance
programs and be able to compete for attention and
resources from corporate leadership. CASE STUDY TRACK
Robert E. Connolly, Partner, Geyergorey LLP
803 Compliance by Design: How
Integrated Compliance Drives
Business Accountability
Tuesday, 4:15 – 5:15 pm
Martin T. Biegelman, Director, Forensic Investigations,
Deloitte Financial Advisory Services LLP
Dale Skivington, Executive Director, Compliance & Chief
Privacy Officer, Dell, Inc.
–– Hear how Dell is leveraging its companywide compliance
resources in a coordinated way to design an effective,
integrated and efficient accountability framework to meet its
most critical and emerging compliance challenges.
–– Learn how Dell and other organizations implement and
evaluate end-to-end compliance programs to deploy new
and enhanced strategies such as third party risk and audits.
–– Discover how companies build controls for high risk
compliance programs (such as anti-corruption and data
privacy) which are owned and managed by the business to
maximize effectiveness and accountability.
INTERNATIONAL/MULTI-NATIONAL TRACK
804 Collaboration Between Internal
Audit and Compliance – Leveraging
the Three Lines of Defense to
Manage Compliance Risk
Barbara T. Sicalides, Partner, Pepper Hamilton LLP
–– Every CEO and salesperson would like to “crush the
competition” and “dominate the market.” But please,
don’t say this publicly or in an email. This presentation
will use humorous but actual and costly examples to
educate on antitrust compliance issues.
–– Mr. Connolly was a prosecutor for 33 years with the
Antitrust Division and will speak on how careless
statements can lead to investigations. You will also learn
how the government monitors trade press and SEC filings
to find leads for investigations.
–– Ms. Sicalides is an experienced antitrust counselor with a
wealth of compliance experience including advising how
to present information to the public and customers. Both
panelists will use actual statements and emails that have
had serious consequences.
IT COMPLIANCE
806 Compliance in Key
Capabilities is the Foundation of
Effective Risk Management
Tuesday, 4:15 – 5:15 pm
–– Information
security depends on a thoughtful balance
of risk and compliance that reflects an organization’s
values and business realities.
–– Approaching decisions from a risk perspective is
appropriate outside of core and critical capabilities that
call for compliance.
–– Three of the most critical capabilities that affect almost
every organization address access management,
accountability and change management – understanding
what is needed to build these into a firm foundation for
information security, information technology and the
larger organization is crucial to success.
GENERAL COMPLIANCE/HOT TOPICS TRACK
Tuesday, 4:15 – 5:15 pm
807 Entertainment and
Travel Fraud Schemes
Patrick Burns, Senior Director, Internal Audit, Walmart
Tuesday, 4:15 – 5:15 pm
Phyllis Nordstrom, Director, PricewaterhouseCoopers LLP
–– This session will provide an overview of Walmart
Internal Audit’s approach to compliance auditing and
the advantages of three lines of defense to managing
compliance risk across the globe.
–– We will explore strategies, benefits and challenges with
this approach in a global organization.
–– We hope to provide ideas for organizations of all sizes to
strengthen their own third line of defense and enhance
the collaboration between Internal Audit and Compliance.
Kathleen K. Edmond, Partner, Robins Kaplan LLP
Lisa Beth Lentini, Vice President, Global Compliance,
Carlson Wagonlit Travel
–– In this session we will discuss how these schemes work.
–– Propose internal controls that you can implement in
partnership with your business people to detect and avoid
being victim to such fraud.
–– How to react if indeed, despite your best efforts you find
that it has happened.
www.complianceethicsinstitute.org
AGENDA
GENERAL COMPLIANCE/HOT TOPICS TRACK
ETHICS TRACK
808 From FCPA Prosecutors to
Company Protectors: Lessons from
Former DOJ FCPA Unit Prosecutors
on How to Best Protect Your Company
from the Risks of Corruption
W2 Is That What They Really
Think? Seven E&C Program
Deal Breakers Your Employees
Aren’t Telling You About
Tuesday, 4:15 – 5:15 pm
Ed Petry, VP, Advisory Services, NAVEX Global
Nathaniel Edmonds, Partner, Paul Hastings LLP
Mary A. Bennett, VP, Advisory Services, NAVEX Global
–– Learn what ethical issues employees struggle with the
most (but aren’t even on your list)
–– Discover employees most-cited reason for not reporting
wrongdoing (it’s not what you think)
–– Understand the unfortunate, unintended consequences of
commonly-used training techniques
Maria Calvet, Executive Counsel, GE Energy Management
& GE Latin America
–– Overview of new anti-corruption legislation, risks,
challenges, and enforcement trends in global hot spots
around the world from Asia to Africa and the Americas.
–– Discuss how to interpret past U.S. FCPA enforcement
actions and incorporate those lessons into your
anti-corruption policies, internal audit program and
investigative responses.
–– Engage in real-world exercises and scenarios that
take a deep dive into global anti-corruption program
design, risk identification and assessment, and effective
investigative strategies.
Wednesday, 8:00– 9:45 am
CASE STUDY TRACK
W3 How to Create a Film Festival
for Compliance Awareness Week
Wednesday, 8:00– 9:45 am
Bruce R. Anderson, Chief Ethics Officer, Health Net, Inc.
WEDNESDAY, OCTOBER 7
8:00
am – 12:30 pm
Registration Open
8:00 – 9:45
Mike J. Spasoff, Manager, Communications,
Health Net, Inc.
–– Learn how to increase Compliance Awareness Week
engagement with your own Film Festival!
–– This will be a fun session, where you view films as well as
festival project plans, so you may plug and play.
–– Discover some pitfalls to avoid and strategies to
overcome as you create your own Film Festival.
am
Post-Conference Breakout Sessions
RISK TRACK
W1 Advanced Trade Compliance
Practice: Global Programs and
Risk Management Strategies
Wednesday, 8:00– 9:45 am
Gwendolyn L. Hassan, Managing Attorney - Compliance
& Regulatory, CNH Industrial America LLC
Peter Bradford, Managing Director, KPMG
–– Overview of global trade compliance risks, challenges
and enforcement trends with a deep dive into realworld scenarios to discuss compliance program design,
investigation strategies and attorney-client privilege issues.
–– In-depth examination of the intersection of import, export,
trade sanction, anti-boycott and anti-corruption risks.
–– Explore and share best practices in assessing global trade
compliance risk in multinational corporations and discuss
strategies, tools and technology for effective and costefficient mitigation.
INTERNATIONAL/MULTI-NATIONAL TRACK
W4 Promoting a Speak Up Culture
in a Multinational Company
Wednesday, 8:00– 9:45 am
Jannica Houben, Deputy Ethics & Compliance Officer,
Europe, Tech Data Europe GmbH
Andy Gaunce, Deputy Ethics and Compliance Officer,
Tech Data Corporation
–– Tools for evaluating the current culture at your company.
–– Ways to improve the Speak Up culture, including promoting
reporting options, interacting with employees, using
compliance liaisons in the business and Compliance Visits.
–– Overcoming cultural differences : practical examples like
engaging local management and fostering a Speak Up
culture; making compliance a process, not an event.
COMPLIANCE LAWYER
W5 Prosecution Declined: One
Company’s Investigation, Disclosure
& Remediation of FCPA Issues
Wednesday, 8:00– 9:45 am
Russ Berland, Partner, Dentons U.S. LLP
Layne Christensen disclosed its investigation into possible
FCPA violations in 2010. Four years later the DOJ declined
to prosecute and the SEC settled for very reasonable terms.
–– Both agencies stated that they treated Layne well because
of its early disclosure, extraordinary cooperation and
extensive remediation.
–– We will discuss why the company disclosed, what happened
during the investigation, how we cooperated with the DOJ
and SEC, and what steps the company took to remediate its
compliance program and internal controls.
––
IT COMPLIANCE
W6 Big Data, Big Issues: Global
Challenges and Effective Solutions
Wednesday, 8:00– 9:45 am
Jonathan P. Armstrong, Partner, Cordery
Thomas M. Obermaier, Chief Executive Officer,
Regulatory DataCorp (RDC)
–– Technology has a huge impact on compliance including
investigations & prevention.
–– Global rules have local impact & the law is changing
especially in Europe.
–– How can multinational businesses cope with the pace
of change?
GENERAL COMPLIANCE/HOT TOPICS TRACK
W7 Working Through Silos: Moving
from a Decentralized/Distributed
Approach to Compliance to an
Integrated/Federated Model
that is Efficient and Effective
Wednesday, 8:00– 9:45 am
Barbara H. Kipp, Partner, PricewaterhouseCoopers
Robin Sangston, Vice President, Chief Compliance
Officer, Cox Communications
–– Case study on how a large organization moved from BUspecific separate compliance programs to a centralized
“federated” compliance function operating model.
–– How they managed the turf and politics, leveraged
existing good practices/programs, garnered senior
management support and improved consistency
and efficiency.
–– Developing the compliance department of the future.
––
www.complianceethicsinstitute.org
Agenda subject to change
31
AGENDA
GENERAL COMPLIANCE/HOT TOPICS TRACK
ETHICS TRACK
W8 Investigations: Strategy
and Eliciting the Most
Important Information
W10 Retaliation: The
Antidote to Reporting
Wednesday, 8:00– 9:45 am
Lisa Gross, Ethics Analysis Senior Manager,
Lockheed Martin
Michele Yaroma, Special Agent, FBI
–– Discover how to develop a comprehensive strategy and
prepare an outline that can provide a roadmap to achieve
a more systematic and thorough investigation.
–– Learn how to prepare for interviews by developing and
posing appropriate questions in the proper sequence to
gain the most complete information.
–– Create an environment and employ time-tested
techniques which will prompt interviewees to provide
truthful and accurate information.
9:45 – 10:00
am
Networking Break
10:00– 11:45
am
Post-Conference Breakout Sessions
Wednesday, 10:00–11:45 am
Ellen Daly, Ethics Analysis Senior Manager,
Lockheed Martin
Darren Hill, Ethics Analysis Senior Manager,
Lockheed Martin
–– How Ethics Professionals Can Recognize
Retaliatory Behavior.
–– Discuss the Effect Retaliation has on the Work Place.
–– Learn Ways to Combat Retaliation - Discuss Tips
and Tools to Address and Educate the Workforce
about Retaliation.
CASE STUDY TRACK
W11 Core Values: From Conception
to Implementation and Beyond
Wednesday, 10:00–11:45 am
RISK TRACK
W9 Managing Global Risks in
South America: Challenges
and Effective Strategies
Wednesday, 10:00–11:45 am
Shin Jae Kim, Partner, Compliance Practice Group,
TozziniFreire Advogados
Renata Muzzi Almedia, Partner, Compliance Practice
Group, TozziniFreire Advogados
Mona M. Clayton, Forensic Services Partner,
PricewaterhouseCoopers
–– Overview of Brazil anti-corruption legislation and
enforcement trends. Impact of recent high profile
investigations. This session will also cover the elements of an
effective compliance program under the Brazil legislation
–– Emerging and key risks affecting South American countries:
what are the major compliance risks your organization is
facing when doing business in South America. Targeting
compliance sensitive areas on the books and records and
focus areas for compliance controls.
–– Reviewing your anti-corruption compliance strategy for
South America. This workshop will share best practices
for effective risk mitigation and how to stay attentive and
proactive to risk vulnerabilities.
32
Agenda subject to change
Kitty Holt, Ethics & Compliance Officer, Plan
International USA
Christine A. Butler, Assistant General Counsel, ChildNet
–– The importance of having and following core values.
–– How two organizations implemented core values (on
a budget!), from development to roll out, and lessons
learned along the way.
–– Sustaining core values after roll-out.
INTERNATIONAL/MULTI-NATIONAL TRACK
W12 The Proposed EU Data Privacy
Regulation: Why Multinationals
Should Prepare Now
Wednesday, 10:00–11:45 am
Augusta Speiser, European Compliance Manager,
DENTSPLY International
Janine Regan, Solicitor, Charles Russell Speechlys
–– Overview of the proposed European Data Protection
regulation and how the regulation will affect
multinationals, putting data privacy compliance to the
attention of the board.
–– A practical insight on how a multinational company can
start preparing for the forthcoming changes, i.e. how to
build a data privacy compliance plan.
–– How a multinational company can overcome some of the
challenges in embedding data privacy awareness in to
the culture of organisations.
COMPLIANCE LAWYER
W13 C&E Legal Updates:
Understanding Recent
Developments and Using them
to Enhance Your Programs
Wednesday, 10:00–11:45 am
Rebecca Walker, Partner, Kaplan & Walker LLP
Making sense of recent NLRB guidance and decisions and
the lessons from C&E requirements in recent settlements.
–– Global/non-US C&E legal expectations of importance to
US organizations.
–– Important cases and guidance on whistleblower
protection.
––
IT COMPLIANCE
W14 Bring Your Own Device (BYOD)
– They are Everywhere in Your
Organization. Understanding the
Benefits, Risks and Establishing
a Strategy for the Personal
Devices in the Workplaces
Wednesday, 10:00–11:45 am
James A. Donaldson, Director, Corporate Compliance/
Privacy & Security Officer, Baptist Health
–– It’s not just smartphones anymore. Understanding the
different types of personally owned devices (PODs) and
their potential use in the workplace. You will be surprised
at what’s out there!
–– Are organizational benefits outweighed by the risks of
personal devices in the workplace? Why saying NO!
doesn’t equate to an effective policy.
–– Creating meaningful policies that address the true risks
of personal devices in the workforce with regulatory
requirements and best practices as a starting point.
GENERAL COMPLIANCE/HOT TOPICS TRACK
W15 Strengthening Tone from the
Middle without Breaking the Bank
Wednesday, 10:00–11:45 am
Kirsten E. Liston, Associate Vice President, SAI Global
Michael Levin, Senior Director of Compliance: Ethics &
Business Practices, Freddie Mac
–– Outline practical steps any compliance and
ethics program can take to build and reinforce a
comprehensive Tone from the Middle.
–– Discuss available tools, techniques, and resources
including case studies of successful programs at
other companies.
–– Workshop ideas that have worked and are working at
companies today.
www.complianceethicsinstitute.org
AGENDA
1:00
GENERAL COMPLIANCE/HOT TOPICS TRACK
W16 Reporting Mechanisms and
Infrastructures: Risks, Challenges
and Effective Management
Wednesday, 10:00–11:45 am
Christine Watzke-Ulbert, Manager, Hotline Program,
Walgreens Boot Alliance
Erica Salmon Byrne, Regular Columnist in The
Compliance and Ethics Professional; former EVP,
Compliance and Governance Solutions, NYSE
Governance Services
–– Building and Implementing an Effective Infrastructure.
–– Effectively Engaging the Organization.
–– Impact of Culture, Speaking-Up Program, and
Awareness Strategies.
pm
Exam Check-In
1:30 – 4:30
pm
Certified Compliance & Ethics
Professional (CCEP)™ Exam*
(Pre-registration required;
offered in English only)
1:30 – 5:30
pm
Certified Compliance &
Ethics Professional – International
(CCEP‑I)® Exam* (Pre-registration
required; offered in English only)
Taking the Certified Compliance & Ethics
Professional (CCEP)™ or the Certified Compliance
& Ethics Professional – International (CCEP-I)®
exams is optional. You must pre-register for
either exam separately from the Compliance
& Ethics Institute. To register for an exam,
download the PDF application for that exam
from the Compliance & Ethics Institute
website: www.complianceethicsinstitute.org
*If you are not present at the specified “Exam Time” as listed
above, and as determined by the exam proctor, you will not
be allowed to sit for the exam. Actual Exam Duration is 120
minutes for the CCEP and 150 minutes for the CCEP-I per their
respective Candidate Handbooks. Time range above includes
mandatory exam procedures and proctor instructions.
The Compliance & Ethics Institute and both exams are
conducted in English at this time. Agenda is subject to change.
Exhibitors at the 2015 Compliance & Ethics Institute
®
Meet with representatives from more than 60 companies with solutions for you
Aegis Compliance & Ethics
Center LLP
CRI Group
McGovern & Greene LLP
SAI Global
Datacert
MetricStream
Second City Communications
Assoc of Certified Fraud
Examiners (ACFE)
Emtrain
Modevity
SecurityMetrics
Ethisphere
Skillsoft
GovDocs, Inc.
National Assoc of Corp
Directors (NACD)
Hiperos
Navex Global
Steele CIS
Hitec Labs
The Network, Inc.
SurveilLens
Interactive Services
New England College of
Business
Syntrio Inc
Baker & McKenzie
Black Belt Compliance, LLC
Blue Umbrella
CEB
Charles Schwab
Click 4 Compliance, LLC
International Screening
Solutions
Compliance Insider
I-Sight
Novarete`
ComplianceLine, Inc.
Klink & Co, Inc
NYSE Governance Services
Compliance Science Inc
KPMG
Compliance Wave LLC
Kroll
Osprey Compliance
Software LLC
Compliance Week
LexisNexis
Complí
PwC, Pricewaterhouse
Coopers, LLP
Convercent
Loyola University School
of Law
The Red Flag Group
ConvergePoint
LRN
www.complianceethicsinstitute.org
Northeastern University
RISC Inc
SnapComms
TerraNua
Thomson Reuters Accelus
TRACE International
319 InSight Inc
Whistleblower Justice
Network, LLC
Widener University Delaware
Law School
WingSwept
Agenda subject to change
33
Be recognized
for your experience and knowledge
Become CCB certified in:
·· Certified Compliance & Ethics Professional (CCEP)®
·· Certified Compliance & Ethics Professional – International (CCEP-I)®
Earn the recognition you deserve. Demonstrate your knowledge
and expertise. Enhance your credibility.
learn more at
www.compliancecertification.org
Be a part of SCCE’s
SILENT AUCTION
to benefit America’s Fund
to be held October 4–7 at the
ARIA in Las Vegas during S
CCE’s
2015 Compliance & Ethics Institute®
SCCE is doing something new at the 2015 Compliance &
Ethics Institute. We will be hosting our first ever silent auction,
which will benefit America’s Fund, a charity created to provide
resources and financial support to critically injured members
of the U.S. Armed Forces.
America’s Fund was an easy choice after hearing how they
helped Compliance Officer, Kim Lansford, and her son, Staff
Sergeant (SSG) Justin Lansford. To read their remarkable
story, and what America’s Fund did for them, visit www.
complianceethicsinstitute.org/silentauction.
Please consider supporting our silent auction by donating
an auction item. As a donor, you’ll be helping continue
the important work America’s Fund does for our service
members. Your donation can be mailed to the SCCE Office
at 6500 Barrie Road, Suite 250, Minneapolis, MN 55435.
If you have any questions or would like to speak with someone
regarding the auction, please contact Kortney Nordrum at
952-405-7928 or Kortney.Nordrum@corporatecompliance.org.
GIVING
BACK TO VETERANS
WHO'VE GIVEN
SO MUCH
CONTINUING EDUCATION UNITS
CLE: The Society of Corporate Compliance and Ethics is a State Bar of California
Approved MCLE provider, a Pennsylvania Accredited Provider, and a Texas Accredited
Sponsor. An approximate maximum of 21 clock hours of CLE credit will be available
to attendees of this conference. All CLE credits will be awarded based on individual
attendance. SCCE is in the process of applying to ALL MCLE STATES for CLE approval
prior to the event. To view the current status of continuing legal education credits for this
conference, go to: www.complianceethicsinstitute.org > Certification (tab) > Continuing
Education Approved (drop-down menu) > CLE (link).
SCCE is in the process of applying for additional credits. If you do not see
information on your specific accreditation and would like to make a request,
please contact us at 952‑933-4977 or 888‑277‑4977. Visit SCCE’s website,
www.corporatecompliance.org, for up-to-date information.
ASIS: Participants completing this course may be eligible to receive Continuing
Professional Education credit or CPEs toward ASIS re-certification. Individuals
seeking re-certification credit should check with ASIS and review the filing process at
https://www.asisonline.org/Certification/Recertification/Pages/default.aspx. SCCE will
provide all supporting documentation required for participants to submit to ASIS for
credit approval.
Compliance Certification Board (CCB): CCB has awarded a maximum of 25.2 CEUs
for these accreditations: Certified Compliance & Ethics Professional (CCEP)®, Certified
Compliance & Ethics Professional–Fellow (CCEP-F), Certified Compliance & Ethics
Professional–International (CCEP-I); Certified in Healthcare Compliance (CHC)®, Certified
in Healthcare Compliance–Fellow (CHC-F), Certified in Healthcare Privacy Compliance
(CHPC)®, Certified in Healthcare Research Compliance (CHRC)®. Additional CCB credits
only may be earned for participation in the Speed Networking and/or Speed Mentoring
sessions at the Sunday Pre-conference. A limit of 1.5 CCB credits per year may be
earned by participating in SpeedNetworking or SpeedMentoring sessions.
STANDARD BREAKOUT SESSIONS
Sunday: 6.6 CCB
Monday: 7.2
Tuesday: 7.2
Wednesday: 4.2
CCB MAXIMUM TOTAL: 25.2 CEU
(ISC)2: The (ISC)2 does not endorse or “approve” any events or education in advance,
however any curriculum that falls within at least one of the 10 domains of knowledge
for the CISSP can be used by participants in continuing education activities to satisfy
their CPE credit needs. Portions of this event may qualify for CPE credits. All (ISC)2
members are responsible for validating CPE credit worthiness no matter what the
circumstances. SCCE will provide all supporting documentation required for members
to submit to (ISC)2 for credit approval. To view the (ISC)2 10 domains of knowledge visit
https://www.isc2.org/sscp/default.aspx and view the links within the Certifications tab
drop-down menu.
NASBA/CPE: The Society of Corporate Compliance and Ethics is registered with the
National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing
professional education on the National Registry of CPE sponsors, Sponsor Identification
No: 105638. State boards of accountancy have final authority on the acceptance of
individual courses for CPE credit and may not accept one-half credits. Complaints
regarding registered sponsors may be addressed to the National Registry of CPE Sponsors,
150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Website: www.nasba.org.
A recommended maximum of 25 credits based on a 50-minute hour will be granted for
the entire learning activity. This program addresses topics that are of a current concern in
the compliance environment. This is an update, group-live activity. For more information
regarding administrative policies such as complaints or refunds, call (888) 580-8373
or (952) 988-0141.
Affinity group meetings in 2015
Make the Compliance & Ethics Institute the site for your next off-site team meeting
®
We know it’s hard to meet with your team, especially at the office
with all the distractions. But what about using your time at the
2015 Compliance & Ethics Institute for an off-site meeting? SCCE
makes it easy for you to get your team together in one room.
We’ll reserve meeting space for you and even provide you with a
refreshment break at no charge. Additionally, all members from
your organization will receive the SCCE member rate to attend the
Compliance & Ethics Institute. It’s our way of making sure you get
the most out of your experience. So, as you plan your time at the
Compliance & Ethics Institute, don’t just think about all the great
sessions. Think about how you and your compliance team can put
that learning to work in an off-site session of your own.
Meeting space is limited, so act now to reserve yours before
we run out. Requests must be sent to Jennifer Parrucci at
jennifer.parrucci@corporatecompliance.org.
36
Affinity group meetings may be held:
• Saturday, October 3 • Wednesday, October 7,
Visit www.complianceethicsinstitute.org/affinitymeeting for details
and to complete an application.
Approved requests will receive complimentary meeting room space
at the conference hotel, ARIA Las Vegas, and your choice of one
of the following complimentary refreshment options: Continental
breakfast, morning snack/beverage break, or afternoon snack/
beverage break. (All additional food and beverage, decorating, or
audio visual orders must be arranged directly with the hotel and are
not part of the complimentary offer.)
Contact: Jennifer Parrucci at +1 952 405 7916 or
jennifer.parrucci@corporatecompliance.org
www.complianceethicsinstitute.org
REGISTRATION
Compliance & Ethics Institute | October 4–7, 2015 | ARIA | Las Vegas, NV
NAME
(please type or print)
1 Please fill out your demographic information
Thank you for taking a moment to share your demographic information with SCCE. It will help us create better networking opportunities for you.
What is your functional job title? Please select one.
Academic/Professor
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What best describes the industry you work for? Please select one.
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List others not listed here:
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List others not listed here:
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Utilities
Waste Management Services
Other (please indicate below)
List others not listed here:
Are you a first-time attendee of this conference?
This is my first Compliance & Ethics Institute
REGISTRATION CONTINUES ON NEXT PAGE (OVER)
37
REGISTRATION
Compliance & Ethics Institute | October 4–7, 2015 | ARIA | Las Vegas, NV
2 Please type or print your contact information
Mr.
Mrs.
Ms.
Dr.
Member ID
MI
First Name
Last Name
Credentials
Job Title
Name of Employer
4
Choose your registration options (Registration fees are as listed and considered net of any
local withholding taxes applicable in your country of residence.)
prices listed reflect savings
Street Address
Phone on/before 9/2/15
after 9/2/15
SCCE Members........................................................................................................ $1,149............. $1,199
Non-Members.......................................................................................................... $1,299............. $1,349
New Membership & Registration*.............................................................................. $1,349............. $1,399
Pre-Conference Registration Morning........................................................................... $175................ $175
Pre-Conference Registration Afternoon......................................................................... $175................ $175
Post-Conference Registration....................................................................................... $175................ $175
Discount: 5 or more from same company................................................................... ($100).............. ($100)
City/Town
State/Province/Country
Zip/Postal Code
Fax
* New members only. (Dues regularly $295 annually.)
Email (Required for confirmation and conference information)
Session Audio Recordings
3 Select your sessions
Please select ONE session per time slot. NEW THIS YEAR: Advanced Discussion
Groups will be filled on a first-come, first-served basis. Attendance is limited
to the first 50 attendees. Pre-registration is not available for these sessions.
SATURDAY, OCTOBER 3
Register me for the Volunteer Project*
SUNDAY, OCT 4
PRE-CONFERENCE
9 am – 12 pm
P1
P2
P3
P4
P5
P6
P7
P8
P9
1:30 – 4:30 pm
P10
P11
P12
P13
P14
P15
P16
P17
P18
MONDAY, OCT 5
Yoga*
6:30 – 7:30 am
Breakouts
11 am – 12 pm
101
102
103
104
105
106
107
108
Breakouts
1:30 – 2:30 pm
201
202
203
204
205
206
207
208
301
302
303
304
305
306
307
308
Breakouts
4:30 – 5:30 pm
401
402
403
404
405
406
407
408
International
Compliance & Ethics
Awards Dinner *
7:00–9:00 pm (FREE)
*Pre-registration required
38
after 10/7/15
*Need to purchase 1 multi-user licensing fee for every 1000 users.
Yoga*
6:30 – 7:30 am
Breakouts
3 – 4 pm
701
702
703
704
705
706
707
708
Breakouts
11 am – 12 pm
501
502
503
504
505
506
507
508
Breakouts
4:15 – 5:15 pm
801
802
803
804
805
806
807
808
Breakouts
1:30 – 2:30 pm
601
602
603
604
605
606
607
608
WEDNESDAY, OCT 7
W1
W2
W3
W4
W5
W6
W7
W8
Gluten Free
Kosher
Vegetarian
Vegan
Other
5
Choose your payment method
Check enclosed (payable to SCCE)
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I authorize SCCE to charge my credit card
Due to PCI Compliance, please do not provide any credit card information via email.
You may email this form to helpteam@hcca-info.org (without credit card information) and
call SCCE at 952.933.4977 or 888.277.4977 with your credit card information.
credit card:
American Express
MasterCard
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Discover
Credit Card Account Number
POST-CONFERENCE
Breakouts
8 – 9:45 am
TOTAL $
Special
Request for Dietary Accommodation
TUESDAY, OCT 6
Breakouts
3 – 4 pm
PURCHASE on/before 10/7/15
REGISTERED ATTENDEES: Online learning (All recorded sessions).........................$399............................ $499
REGISTERED ATTENDEES: DVDs (All recorded sessions).......................................$499............................ $599
REGISTERED ATTENDEES: Individual Sessions: online................................$20 each...................... $30 each
NON-ATTENDEES: Online learning (All recorded sessions).....................................$699............................ $799
NON-ATTENDEES: DVDs (All recorded sessions)...................................................$799............................ $899
NON-ATTENDEES: Individual Sessions: online...........................................$30 each...................... $40 each
Multi-user licensing fee*.............................................................................$199............................ $199
Credit Card Expiration Date
Breakouts
10 – 11:45 am
W9
W10
W11
W12
W13
W14
W15
W16
Cardholder’s Name
Cardholder’s Signature
CEI2015
www.complianceethicsinstitute.org
DETAILS
Conference Hotel
ARIA Las Vegas
3730 Las Vegas Boulevard
South Las Vegas, NV 89518
866.359.7757
www.arialasvegas.com
Make Hotel Reservations Online at https://aws.passkey.com/g/32110156 or
call +1 866 359 7757 or +1 702 590 7757
Ways to Register
MAIL Include registration form with check payable to:
SCCE, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435, United States
The group rate is $229 per night for Friday/Saturday nights and $199 per night for
Sunday/Monday/Tuesday and Wednesday. Rates are single/double occupancy plus
tax (currently at 12% per room per night and subject to change). In addition to the
guest room rate there is a mandatory daily resort fee of $25 plus taxes (currently
at 12%). Payment for the Resort Fee will be requested at the time of check in. The
daily resort fee includes the following: Internet Access (in Suite and Campus Wide
at City Center), Local and toll-free number phone calls, Access to The Spa at ARIA
Fitness Center, Daily newspaper and Airline Boarding Pass Printing When making
your reservation via telephone, please reference the group SCCE 2015 National
Conference to receive the special rate. These rates are good until Wednesday,
September 2nd, 2015 or when the group room block is full (whichever comes first).
Reservation requests received after this cut-off date or after the group block is
filled (whichever comes first) will be accepted on a space and rate availability basis
only. Hotel accommodations are not included in your conference registration fee.
Hotel Guarantee Policy:All reservations require a first night’s room/suite
ONLINE Visit www.complianceethicsinstitute.org FAX Include billing information and fax
to +1 952 988 0146
rate deposit, plus resort fee and tax at time that reservation is made. If you need
to cancel your reservation you must do so 48 hours in advance of your confirmed
arrival date to receive a refund of this deposit.
QUESTIONS? Call +1 952 933 4977 or 888 277 4977 or email
helpteam @ corporatecompliance.org
Hotel Cancellation Policy:If you wish to cancel, please do so
Registration Payment Terms:Checks are payable to SCCE. Credit cards accepted:
American Express, MasterCard, or Visa. SCCE will charge your credit card the correct amount
should your total be miscalculated.
Tax Deductibility:All expenses incurred to maintain or improve skills in your profession
may be tax deductible; including tuition, travel, lodging and meals. Please consult your
tax advisor.
Cancellations/Substitutions:You may send a substitute in your place or request a
conference credit. Conference credits are issued in the full amount of the registration fees paid
and are good for 12 months from the date of the cancelled event. Conference credits may be
used toward any SCCE service. If you need to cancel your participation, notify us prior to the
start date of the event by email at helpteam@corporatecompliance.org or by fax at +1 952
988 0146. Please note that if you are sending a substitute, an additional fee may apply.
Dress Code:Business casual dress is appropriate for conference attendees.
Meals:Continental breakfast, lunch, and refreshment breaks are provided on Monday and
Tuesday only. Coffee will be served on Sunday and Wednesday.
Prerequisites/Advanced Preparation:None.
Recording:No unathorized audio or video recording of SCCE conferences is allowed.
Agreements & Acknowledgements:I agree and acknowledge that I am
undertaking participation in SCCE events and activities as my own free and intentional act, and
I am fully aware that possible physical injury might occur to me as a result of my participation
in these events. I give this acknowledgement freely and knowingly and assert that I am, as
a result, able to participate in SCCE events, and I do hereby assume responsibility for my
own well-being. I agree and acknowledge that SCCE plans to take photographs at the SCCE
Compliance & Ethics Institute and reproduce them in SCCE educational, news, or promotional
material, whether in print, electronic, or other media, including the SCCE website. By
participating in the SCCE Compliance & Ethics Institute, I grant SCCE the right to use my name,
photograph, and biography for such purposes.
LEARN MORE & REGISTER ONLINE
www.complianceethicsinstitute.org
www.complianceethicsinstitute.org
48 hours prior to your scheduled arrival to avoid cancellation penalties.
Extra Person Charge:Rates are based on single or double occupancy. If
there are more than 2 people in the room, there will be a $35.00 USD additional
charge per person (regardless of age) per night. Maximum of four people per room.
ARIA Las Vegas is the official conference hotel for the 2015
Compliance & Ethics Institute. SCCE does not call or contact our
attendees to book hotel room reservations. If you receive a call or
email from a hotel booking service requesting that you book your
hotel reservation for the SCCE conference through them, please note
that the organization is not affiliated with or contracted by SCCE.
Any offers from other hotels and/or housing agencies are not endorsed by SCCE.
Beware of, and report any unauthorized solicitations to Jennifer Parrucci at jennifer.
parrucci@corporatecompliance.org
We do recommend that you book your hotel room early with the
ARIA Las Vegas directly either using the conference hotel booking
site or by calling +1 866 359 7757 or +1 702 590 7757
Group Discounts
5 or more: $100 discount for each registrant
10 or more: $150 discount for each registrant
Discounts take effect the day a group reaches the discount number of registrants.
Please send registration forms together to ensure that the discount is applied.
A separate registration form is required for each registrant. Note that discounts will
NOT be applied retroactively if more registrants are added at a later date, but new
registrants will receive the group discount.
Special Needs/Concerns:Prior to your arrival, please call
SCCE at +1 952 933 4977 or 888 277 4977 if you have a special
need and require accommodation to participate in the Compliance &
Ethics Institute.
SOCIETY OF CORPORATE COMPLIANCE AND ETHICS
6500 Barrie Road, Suite 250, Minneapolis, MN 55435 United States
phone +1 952 933 4977 or 888 277 4977 | fax +1 952 988 0146
www.corporatecompliance.org | helpteam @ corporatecompliance.org
39
Society of Corporate Compliance and Ethics
6500 Barrie Road, Suite 250
Minneapolis, MN 55435
The Society of Corporate Compliance & Ethics 14th Annual
Compliance &
Ethics Institute
October 4–7, 2015
ARIA in Las Vegas
Las Vegas, NV
GENERAL SESSION SPEAKERS ANNOUNCED
Marjorie W. Doyle
Debbie Troklus
Odell Guyton
Art Weiss
Dr. Garrett Reisman
Kelly R. Welsh
Cam Marston
Roy Snell
Marjorie Doyle &
Associates, LLC
STS-132; Crewmember,
International Space Station
Managing Director,
Aegis Compliance
and Ethics Center
General Counsel,
U.S. Department of
Commerce
Vice President,
Global Compliance,
Jabil Circuit, Inc.
Author,
Generational Insights
Learn more and register at complianceethicsinstitute.org
Chief Compliance &
Ethics Officer,
TAMKO Building Products
CEO, Society of Corporate
Compliance & Ethics