2019 Compliance & Ethics Institute (CEI)

101. Effective E&C Risk Management - Part 1: Framework, Program Essentials, and Core Practice Considerations

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Greg Triguba, James M. Urso  | September 15, 2019 

     • 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 real-world examples and scenarios that set the stage for identifying an organization’s risk universe, prioritization efforts, and next steps for effective management and mitigation

102. Ethics & Leadership: More than Slogans & Sayings

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Don Mullinax  | September 15, 2019 

     • Managing partner of accounting firm sentenced to 20 years for theft of $500,000 from his own company. Despite policies and codes of ethics, lapses in ethics like this occur every day. You will take an interesting look into the mindset of these fraudsters.

     • Would commit a felony to pay for needed surgery for your child? How do you rate yourself when it comes to ethics? What would you do? You will test your Ethics IQ using real-world cases to determine what you “would” do versus what you “should” do.

     • Leaders must set the proper tone within their organizations and that means more than just a bunch of slogans and sayings -- they must change behaviors. Where do you begin?

103. Effective E&C Risk Management - Part 2: Operationalizing Risk Management and Taking Your Practice to the Next Level

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): James M. Urso, Greg Triguba  | September 15, 2019 

     • This session takes a deeper dive into effective risk management/mitigation strategies to include addressing challenges of maturing the Risk Management function and ensuring Risk Management concepts are encompassed as a part of day-to-day operations.

     • Examine the pitfalls of an unincorporated Risk Management function, and how periodic “check the box” risk management exercises are the real risk to organizational success.

     • Discuss methods to successfully mature Risk Management functions, engage all levels of staff and leadership, and foster a Risk-conscious organization.

104. Ethics and Compliance as a Start Up - 20 Steps to Up and Running

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Charlotte D. Young, Grace C. Wu de Plaza  | September 15, 2019 

     • Starting a compliance office? Here is a handy checklist of how to get started and what not to forget

     • Intended for new programs but also would enhance a mid-mature program.

     • Providing tested practical tips and tools to leverage your resources to build an effective program.

105. Ethical Leadership Doesn't Happen Overnight, or Does it? I Was an Employee Yesterday...Leader Today, but Am I an Ethical Leader?

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Lisa A. Gross, Darren Hill  | September 15, 2019 

     • The difference between a leader and a manager and why this distinction is important to building and maintaining an ethical environment

     • Discuss and share assimilation techniques to foster ethical culture and leadership

     • Review case scenarios demonstrating good and bad ethical leadership and its impact to the company

106. How to Dribble Corruption Risks in Latin America: Learn How to Avoid Faults, Penalty Kicks, and Score Compliance Goals

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Patricia Colombo, Emanuel Batista, Isabel Simmerman  | September 15, 2019 

     • 2019 Corruption Risks in Brazil, Argentina, Colombia, and Mexico: Gain insight into recent corruption headlines and their impact on local anti-corruption laws and the overall culture of compliance.

     • 365 Days Later - The role of new governments and their influence in compliance and Anti-Corruption and Bribery regulations and trends in Brazil, Argentina, Colombia, and Mexico and their impact to corporate governance. What you need to know to navigate.

     • Think Globally and Act Locally: What you need to know about your third parties in the region and the significance of due diligence in identifying and mitigating risks.

107. Investigations Workshop: Part III: Revealing and Evaluating Documents

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Latour (LT) Lafferty  | September 15, 2019 

     • Part 3: This session will explore the critical role of document in the investigation process. Internal investigators should be able to identify and explain the purpose of documentary evidence.

108. Move the Needle - Active Agent Approach to Cyber Security and Data Protection Compliance

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Brian Novack, Oleg Vasilyev  | September 15, 2019 

     • Core products and processes at each company are dependent on IT. Active threats continue to evolve and drain resources. This limits a company’s ability to reinvest, develop products, expand offerings to drive the next wave of growth, or to remain viable.

     • To help, compliance must become an active partner supporting all facets of a company to establish the expectation for compliance, plan for compliance upfront, and drive compliance through strategic resource investment that is balanced with the risk.

     • We will discuss an approach to help move companies towards active compliance, enabling each of us to build a solid foundation on which to reduce the threat opportunity and most importantly: Move the Needle.

109. Investigations Workshop: Part IV: Taking Effective Interviews, Part V: Preparing the Investigation Report

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Albert G. Gagne, Meric Bloch  | September 15, 2019 

     • Part 4: Taking Effective Interviews: This session will focus on the difference between an interview and an interrogation. Attendees will also gain a better understanding of the importance for documenting your interviews.

     • Part 5: Preparing the Investigation Report. This session will focus on the importance for documenting key facts in the investigation report.

110. Investigations Workshop: Part V: Preparing the Investigation Report (continued) Part VI: Q&A Panel

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Albert G. Gagne, LT Lafferty, Meric Bloch  | September 15, 2019 

     • Part 5: Preparing the Investigation Report (continued). This session will focus on the importance for documenting key facts in the investigation report.

     • Part 6: Question & Answer Panel. This final session provides an opportunity for attendees to leave no stones unturned by asking any questions on conducting internal investigations. This session is lively and highly engaging.

111. Investigations Workshops: Part I: Beginning the Investigation and Interviewing the Reporter, Part II: Planning the Investigation

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Albert G. Gagne, Latour (LT) Lafferty, Meric Bloch  | September 15, 2019 

     • Part 1: Beginning the Investigation and Interviewing the Reporter. This session addresses the importance for a formal Investigations Policy and focuses on intake fundamentals for getting as much information as possible from the reporter.

     • Part 2: Planning the Investigation. This session will focus on determining the precise allegation and making the investigation plan and strategy for conducting the investigation.

112. Is There a Doctor in the House? Diagnosing and Treating Your Program Ills with Data Analytics

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Krista Muszak, Louis J. Perold  | September 15, 2019 

     • With access to so much data, where do you begin? How do you make sense of it all? How can you leverage the data to reveal gaps, mitigate risks and grow your compliance program?

     • Are you wrestling with how to manage and monitor your data to make sure you are in compliance with the ever-changing rules?

     • Answer these questions and discuss how you can use data analytics for risk assessments and to address other elements of an effective compliance program.

113. Operationalizing Compliance

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Grace C. Wu de Plaza, Hillah Culman, Farmer Mac  | September 15, 2019 

     • Congratulations! The CEO agreed to implement your compliance initiative across the enterprise. Now what?

     • In this session, compliance officers who have never developed a project management plan, found the thought of developing a plan overwhelming, or is interested in refining their project management skills will walk away with insights and next steps

     • The speakers will take attendees through a case study of how Farmer Mac's compliance department partnered with a project manager and leveraged a project management plan to implement its GRC system and to overhaul its policies and procedures framework

114. Lessons from The Accidental Compliance Professional

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Roy Snell, Jenny O'Brien  | September 15, 2019 

     • How to Handle “The Big One”

     • A Guide to Being Delightfully Honest

     • Compliance Activism Belongs in a Rodeo

     • Study Your Failures to Find a Better Way

115. Leveraging Political Risk Analysis to Help Reveal Local Compliance Risks and Right Size Program Design

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Oliver Wack, Paul Dudzinski  | September 15, 2019 

     • Understanding how bribery and corruption actually work in order to design programs that better ensure compliance across disparate operational markets.

     • Developing and leveraging nuanced risk indicators and benchmarks based on aggregated understanding of actual local distinctions for corruption in specific markets, sectors or industries.

     • Using local insight and an understanding of stakeholder connections and government to anticipate antagonistic developments and manage investigations intelligently.

116. Navigating the Minefield: Complying with a Patchwork of Lobbying and Ethics Laws

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Mitchell Pawluk, Joan Sullivan  | September 15, 2019 

     • When does meeting or communicating with government officials constitute reportable “lobbying”? And do I or my organization have to register as a “lobbyist”? Find out answers to these questions and how to best protect your organization.

     • You’re telling me lunch with a public official can be an illegal gift? What about attendance at a charitable event? When “that’s how business is done” is no longer how business can be done. Learn more about the impact of government ethics laws.

     • How to navigate the minefield that is the patchwork of federal, state, and local lobbying and ethics laws, and incorporate best practices in your organization.

117. Managing an Investigations Docket in Asia: Key Regional Regulatory Issues and Top Tips for Conducting Cross-Border Investigations

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Jimmy Chatsuthiphan, Jason Chang  | September 15, 2019 

     • Exploration of recent hot regulatory issues affecting the Asia region.

     • Effectively manage investigations in Asia, particularly for multinational organizations.

     • How to build an effective cross-border investigations team and key components.

118. Navigating the Murky (and Sometimes Treacherous) Waters of Conflicts of Interest

     2019 Compliance & Ethics Institute (CEI)  | Presenter(s): Rebecca Walker, Christopher Miller  | September 15, 2019 

     • Overview of conflicts of interest risk, its impact on organizations and compliance controls, including policies, questionnaires and approval methodologies.

     • Explore real-world fact patterns that require difficult judgment calls and balancing of interests.

     • Consider how to make decisions that can enhance the culture of integrity and sense of organizational justice