2022 San Francisco Regional Compliance & Ethics Conference

1. Investigating a Fishy Business

   2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

   In this session, we will take you on a virtual ride through an entire fraud investigation - from first allegations to report finalization and handover to the FBI. Key takeaways include:

   • Learn to navigate the legal battlefield when investigating an officer/owner of an organization

   • Discover new techniques to leverage cloud-based systems for evidence gathering

   • Leverage technology solutions to import thousands of pages of data for analysis

   • How to connect multiple embezzlement schemes into one cohesive report

   • The advantages and disadvantages of pursuing civil vs. criminal restitution

2. A Multi-faceted Approach to Diversity, Equity, and Inclusion

   2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

   • Compliance & DEI: A Changing View

   • Cross-Functional Alignment to Improve DEI

   • Building Belonging

3. Navigating the Challenges of Incident Response

   2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

   This presentation will discuss challenges and issues that Legal and Cybersecurity may face while identifying, investigating and reporting an incident. We will cover the basics of incident response, as well as provide advanced-level tips. Some of the questions we will address include:

   • What's a normal workflow for incident response?

   • What is a security incident, and when does it meet the threshold of a data breach?

   • What occurs during a technical investigation? How does that contrast with the legal investigation?

   • When should a company bring in third-party vendors to assist?

   • How do you close out an incident report?

4. ESG Compliance from All Sides Now

   2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

   ESG compliance arises from many directions. Some are now widely reported, and others are more under the radar. This session will describe ESG compliance requirements that arise from several channels, including:

   • Capital markets, Government entities, Customer requirements, Other business partners, Voluntary Commitments

   • The session will highlight common challenges in managing ESG compliance that arise from many different directions, including getting accurate and reliable information, managing audits, and the potential for fraud.

   • Compliance professionals will be better prepared to identify, evaluate, build, or monitor ESG compliance provisions that arise in ways obvious and not so obvious.
     

5. Listening for Risk While Training for Compliance

   2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

   • Learn new training techniques created when learning went remote in 2020

   • Surface leading indicators of risk with targeted questions

   • Measure strengths and weaknesses in preparation for compliance program evaluation

6. Ethics and Compliance Careers

   2022 San Francisco Regional Compliance & Ethics Conference  | May 13, 2022 

   • How it started - seize new opportunities

   • Big Picture - Zoom Out combined with Going Deep in Certain Substantive Areas

   • Build an Ethical Brand, Have Vision, Pragmatism, Flexibility, Operational Excellence, Flexibility, and Risk Mitigation