The Society of Corporate Compliance & Ethics 14th Annual ...€¦ · and analysts ·Consultants ·...

October 4–7, 2015

ARIA in Las Vegas

Las Vegas, NV

Compliance & Ethics Institute

The Society of Corporate Compliance & Ethics 14th Annual

GENERAL SESSION SPEAKERS ANNOUNCED

Art Weiss Chief Compliance & Ethics Officer, TAMKO Building Products

Odell Guyton Vice President, Global Compliance, Jabil Circuit, Inc.

Kelly R. Welsh General Counsel, U.S. Department of Commerce

Cam Marston Author, Generational Insights

Roy Snell CEO, Society of Corporate Compliance & Ethics

Dr. Garrett Reisman STS-132; Crewmember, International Space Station

Debbie Troklus Managing Director, Aegis Compliance and Ethics Center

Marjorie W. Doyle Marjorie Doyle & Associates, LLC

Learn more and register at complianceethicsinstitute.org

Questions?: [email protected]

2 www.complianceethicsinstitute.org

Marjorie W. Doyle, JD, CCEP-F, CCEP-I, Case Study Track Program Chair; Marjorie Doyle & Associates, LLC

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

SCCE would like to thank the 2015 Compliance & Ethics Institute Planning Committee

Odell Guyton, CCEP, CCEP-I, SCCE Co-Chair, Vice President, Global Compliance, Jabil Circuit, Inc.

Al Gagne, MBA CCEP, Advanced Discussion Group Track Program Chair; Former Director, Ethics and Compliance, Textron Systems Corporation (retired)

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

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.

Adam Turteltaub, CHC, CCEP, Vice President of Membership Development, Society of Corporate Compliance and Ethics

Rebecca Walker, JD, Compliance Lawyer Track Program Co-Chair; Partner, Kaplan & Walker LLP

Art Weiss, JD, CCEP-F, CCEP-I, Ethics Track Program Chair; Chief Compliance and Ethics Officer, TAMKO Building Products

About the Compliance & Ethics Institute

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.

Learning Objectives · 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 pro-grams to address potential corporate regulatory problems

· Address compliance, internal audit, and ethics issues common to all industries and professions

· Obtain insight on how to develop and implement compliance and ethics pro-grams that reflect current trends and guidance from broad industry segments

Who Should AttendThe Compliance & Ethics Institute is designed for compliance and ethics profes-sionals and those who work with them in either an advisory or partnership capacity, including (but not limited to):

· 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 · Information officers · In-house and outside counsel · Privacy officers · Regulators and other government

personnel · Researchers and policy makers · Risk managers · Staff educators and trainers

www.complianceethicsinstitute.org 3

Don’t Let Your Learning Get Derailed at the Compliance & Ethics Institute

GENERAL COMPLIANCE/ HOT TOPICSEverything from Compliance 101 to hot topics like detecting identity theft and privacy breachesThis 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.

ETHICSImmerse yourself in ethicsThere 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.

RISKEffectively Managing Risk Across Your OrganizationRisk 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 STUDIESJust the facts: Case studies in ethics and complianceIt’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 LAWYERFor the in-house and outside counselThis 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 COMPLIANCEThis track is designed to meet the specific needs of the IT community on the hot compliance topics.

MULTI-NATIONAL/ INTERNATIONALGlobal compliance and ethics programmes face added and fast changing complexitiesChaired 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 GROUPSBeen there, done that? Join an advanced discussion group and share what you knowIf 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.

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.


Don’t miss SCCE’s 9th Annual Volunteer ProjectSaturday, October 3, 2015

For more information about volunteering, contact Lizza Catalano at |[email protected] of volunteer project subject to change.

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

the project location. Register now.

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.


Interested in sponsorship? Visit

complianceethicsinstitute.org/SponsorExhibit

SCCE would like to thank our Conference Sponsors

SILVER

®

PLATINUM

GOLD


RISK ETHICS CASE STUDIES MULTI-NATIONAL/ INTERNATIONAL

COMPLIANCE LAWYER IT COMPLIANCE GENERAL COMPLIANCE/

HOT TOPICSINVESTIGATIONS

WORKSHOPADVANCED

DISCUSSION GROUPS

Agenda subject to change

PROGRAM AT A GLANCE

Saturday, October 311:00 am – 3:30 pm Volunteer Project

3:00 – 7:00 pm Registration Open

Sunday, October 47:30 – 8:30 am SpeedNetworking – Registration required www.complianceethicsinstitute.org/speedmentors

7:30 am – 6:00 pm Registration Open

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k) 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 The 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 How 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/Anti-Corruption 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 The 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

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.

12:00 – 1:00 pm SpeedMentoring– Registration required www.complianceethicsinstitute.org/speedmentors

12:00 – 1:30 pm Lunch (on your own)

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k) 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 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 – 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 & HCCAP18 Investigations Workshop (continued from P9)

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

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 PwC6:00 – 7:00 pm Vendor SpeedMeetings





WORKSHOPADVANCED

DISCUSSION GROUPS


PROGRAM AT A GLANCE

Monday, October 56:30 – 7:30 am Yoga (Pre-registration required)


7:00 – 8:15 am Continental Breakfast in Exhibit Hall Sponsored by The Red Flag Group 8:15 – 8:30 am Opening Remarks

8:30 – 9:30 am General Session - Four Generations in the Workplace and What it Means for Your Compliance Program – Cam Marston, Author, Generational Insights

9:30 – 10:30 amGeneral 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

10:30 – 11:00 am Networking Break in Exhibit Hall Sponsored by Loyola University Chicago School of Law

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ONS 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 Company102 Hearing 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 Hartford104 Anti-Corruption Update for Europe – Sally March, Director, Drummond March & Co; Charles Duross, Partner, Morrison & Foerster LLP105 What to Do When the Government Comes Knocking – Gabriel L. Imperato, Managing Partner, Broad & Cassel106 Privacy Compliance in the Digital Age – Dan Oseran, Senior Director of Global Privacy Compliance, eBay107 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 AramcoAD1* 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.

AD2* Big 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.

12:00 – 1:00 pm Networking Lunch

1:00 – 1:30 pm Networking Break in Exhibit Hall Dessert

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ONS 201 Conflicts 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 Agency203 A Tale of Two Assessments: How to Plan, Implement and Leverage Compliance Program Assessments – Eric O. Morehead, Head of Advisory Services,

NYSE Governance Servicesn204 Conducting Effective Third Party Due Diligence in China – Allan Matheson, Managing Director, Blue Umbrella205 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, LLC206 Did 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 Farm207 Consistent Compliance Answers – Gene Stavrou, Associate Director, Business Integrity, Mondelez International208 Using Top Sales Techniques to Sell the Compliance Programme to Your Internal Audience – Kristy Grant-Hart, Chief Compliance Officer, United

International PicturesAD3* 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.

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.





WORKSHOPADVANCED

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PROGRAM AT A GLANCE

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S 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, ELI303 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 University304 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, EmployeeScreenIQ306 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 Casino307 Leveraging Your Social Capital for Influence and Engagement – Megan Hess, Washington & Lee University308 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 first-come, 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 Networking Break in Exhibit Hall

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ONS 401 Global 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 International402 The Power of Story: Insights for Communicating Ethics & Compliance – Ronnie Feldman, Product Director, RealBiz Shorts, The Second City Works403 Training 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 Conservancy404 Adequate Procedures: An International Overview – Rossana Buzzi, Assistant General Counsel, Compliance Leader South Europe, Invensys PLC405 “U North or True North?”- The Challenges of Ethical Decision-Making for In-House Counsel – Chris Osborn, Assistant Professor, Charlotte School of Law;

ReelTime CLE406 IT Professionals: Train Me Now or Pay For it Later – E. Bonnie Becker, Compliance Officer, Deptartment of Defense407 The First 100: How To Build A World-Class Compliance Team and Accomplish Critical Goals in the First 100 Days – 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

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 Networking Reception in Exhibit Hall – Sponsored by Compliance Science7:00 – 9:00 pm International Compliance & Ethics Awards Dinner

Tuesday, October 66:30 – 7:30 am Yoga (Pre-registration required)


7:00 – 8:15 am Continental Breakfast in Exhibit Hall Sponsored by Broad & Cassel8:15 – 8:30 am Opening Remarks

8:30 – 9:30 amGeneral Session - The U.S. Department of Commerce and The Fight Against International Corruption – Kelly R. Welsh, General Counsel, U.S. Department of Commerce

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

10:30 – 11:00 am Networking Break in Exhibit Hall






WORKSHOPADVANCED

DISCUSSION GROUPS


PROGRAM AT A GLANCE

Tuesday, October 611

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S 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 Denver503 Compliance Mitigation through Collaboration – Marcia N. Gonzales, Chief Compliance Officer, Indiana University504 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 aA505 Legal Dos and Don’ts of Internal Workplace Investigations – Judy S. Kalisker, Principal, Compliance Plus506 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 Advisor507 Creating a Compliance Playbook - How to Evidence Compliance – Scott Hilsen, Director, KPMG Forensic; Jean-Paul Durand, Chief Ethics & Compliance

Officer, Tech Data508 Role of the Data Protection Officer – Robert Bond, Partner and Notary Public, Charles Russell Speechlys LLPAD1B* 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.

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ONS 601 Don’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 Corporation602 Values, Conduct and Ethics: Making it real for employees – Ula Ubani, Chief Ethics Officer, BMO Financial Group603 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 Corporation604 Best Practices for Addressing Corruption-Related Risks Presented by International Third Party Intermediaries – Randi J. Roberts, Vice President,

Compliance, NBC Universal605 From Paranoia to Pollyanna: Bad News and Good News about Compliance Officer Liability – Scott Killingsworth, Partner, Bryan Cave LLP606 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 LTDA607 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 CenterAD4B* 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* Suppliers and Other Third Party Engagement – Eric Lisann, Senior Advisor to JTI, 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.

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ONS 701 Records 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, LLC703 Leveraging Managers to Drive Culture – Cindy Yanasak, Compliance & Ethics Program Manager, Progressive Corporation; Eileen M. Xenarios, Business

Process Consultant, Progressive Corporation704 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 & Villeda705 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 LLC706 Compromising Remote Access: A Live Hack Demonstration – Gary Glover, Director of Security Assessment, SecurityMetrics707 Learning from CEOs: How Modeling Trumps Every Other Part of a Compliance Program – Theodore L. Banks, President, Compliance & Competition

Consultants, LLC708 Building Predictive Monitoring Capabilities – Jennifer Kugler, Principal Executive Advisor, CEBAD9* 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.






WORKSHOPADVANCED

DISCUSSION GROUPS


PROGRAM AT A GLANCE

Tuesday, October 64:00 – 4:15 pm Networking Break

4:15

pm –

5:15

pmBR

EAKO

UT S

ESSI

ONS 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 Company802 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 LLP805 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 LLP806 Compliance in Key Capabilities is the Foundation of Effective Risk Management – Charles L. Hunt, Operational Risk Consultant, ISO, VP,

Wells Fargo Securities807 Entertainment and Travel Fraud Schemes – Kathleen K. Edmond, Partner, Robins Kaplan LLP; Lisa Beth Lentini, Vice President, Global Compliance, Carlson

Wagonlit Travel808 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 78:00 am – 12:30 pm Registration Open

8:00

am –

9:45

amPO

ST-C

ONFE

RENC

E B

REAK

OUT

SESS

IONS W1 Advanced Trade Compliance Practice: Global Programs and Risk Management Strategies – Gwendolyn L. Hassan, Managing Attorney - Compliance &

Regulatory, CNH Industrial America LLC; Peter Bradford, Managing Director, KPMGW2 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 GlobalW3 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 CorporationW5 Prosecution Declined: One Company’s Investigation, Disclosure & Remediation of FCPA Issues – Russ Berland, Partner, Dentons U.S. LLPW6 Big Data, Big Issues: Global Challenges and Effective Solutions – Jonathan P. Armstrong, Partner, Cordery; Thomas M. Obermaier, Chief Executive Officer,

Regulatory DataCorp (RDC)W7 Working 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 CommunicationsW8 Investigations: Strategy and Eliciting the Most Important Information – Michele Yaroma, Special Agent, FBI

9:45 – 10:00 am Networking Break

10:0

0 am

– 11

:45

amPO

ST-C

ONFE

RENC

E B

REAK

OUT

SESS

IONS W9 Managing 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 Retaliation: 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 LLPW14 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 MacW16 Reporting Mechanisms and Infrastructures: Risks, Challenges and Effective Management – 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

1:00 – 1:30 pm Exam Check-In: Certified Compliance & Ethics Professional (CCEP)® and International Certified Compliance & Ethics Professional (CCEP-I)™

1:30 – 4:30 pm Certified Compliance & Ethics Professional (CCEP)® Exam (optional)

1:30 – 5:30 pm Certified Compliance & Ethics Professional - International (CCEP-I)™ Exam (optional)


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

EARN 1.5 CEUs*

*A maximum of 1.5 CCB credits for networking may be awarded per year

We welcome all attendees of the 14th 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.

Learn more at www.complianceethicsinstitute.org/speedmentors

Take advantage of the live SpeedMentoring and SpeedNetworking sessions at the Compliance & Ethics Institute

SUNDAY, OCTOBER 4SpeedNetworking: 7:30–8:30 amSpeedMentoring: 12:00–1:00 pm

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.


SPEAKERS

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 & Young, Secaucus, NJ

Waheed Alkhatani, [108], CFE, CCEP-I, Accounting Specialist, Internal Audit, Saudi Aramco, Dhahran, Saudi Arabia

Bruce R. Anderson, [W3], Chief Ethics Officer, Health Net, Inc., Los Angeles, CA

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

Theodore L. Banks, [707], President, Compliance & Competition Consultants, LLC, Chicago, IL

Amii L. Barnard-Bahn [AD2], JD, CCEP, CCEP-I, CHC, Chief Administrative Officer, California Dental Association,

E. Bonnie Becker, [406], Compliance Officer, National Security Agency, Fort Meade, MD

Mary A. Bennett, [W2], VP, Advisory Services, NAVEX Global

Russ Berland, [W5], Partner, Dentons U.S. LLP

Peter Bradford, [W1], Managing Director, KPMG, Chicago, IL

Martin T. Biegelman, [803], Director, Forensic Investigations, Deloitte Financial Advisory Services LLP

Donna C. Boehme, [P14, 308], Principal, Compliance Strategists LLC, New Providence, NJ

Christine A. Butler, [W11], Assistant General Counsel, ChildNet, Miami, FL

Robert Bond, [P14, 508] Partner and Notary Public, Charles Russell Speechlys LLP, London, UK

Frank Brown, [P4], Value Chain/Anti-Corruption Program Team Leader, Center for International Private Enterprise, Washington, DC

Meric C. Bloch, [P9, P18], CCEP-F, JD, CFE, Principal, Winter Compliance LLC., St. Petersburg, FL

Emily Bone, [701], Global Records Manager, Molson Coors Brewing Company, Denver, CO

Patrick Burns, [804], Senior Director, Internal Audit, Walmart, Walmart, Bentonville, AR

Rossana Buzzi, [104], Assistant General Counsel, Compliance Leader South Europe, Invensys PLC., London, UK

Hope Caldwell, [303], Hope Caldwell, Associate Director, Compliance, Princeton University, Princeton, NJ

Maria Calvet, [808], Executive Counsel, GE Energy Management & GE Latin America

Mona M. Clayton, [W9], Forensic Services Partner, PricewaterhouseCoopers, Miami, FL

Robert E. Connolly [805], Partner, Geyergorey LLP, Washington, D.C.

Kenneth H. Coronel, [408], Chief Legal Officer, Verisys Corporation, South Jordan, UT

Marcelo X. Crespo, [606], Lawyer and Professor, Crespo & Santos Law Firm, Bridgeport, Connecticut

Rick L. Crosser, [502], Professor of Accounting, Metropolitan State University of Denver, Denver, CO

Liana Irani A. Cunha, [606], Compliance Coordinator, Abbott Laboratories do Brasil LTDA, São Paulo, Brazil

Ellen Daly [W10], CCEP, Ethics Analysis Senior Manager, Lockheed Martin, Marlton, NJ

James A. Donaldson, [W14], Director, Corporate Compliance/Privacy & Security Officer, Baptist Health, Pensacola, FL

Marjorie W. Doyle, [GS, AD4, AD4B],JD, CCEP-F, CCEP-I, Marjorie Doyle & Associates, LLC, Landenberg, PA

Jean-Paul Durand, [507], Chief Ethics & Compliance Officer, Tech Data, Tampa, FL

Charles E. Duross [404], Partner, Morrison & Foerster LLP, Washington, D.C.

Kathleen K. Edmond, [807], Partner, Robins Kaplan LLP, Minneapolis, MN

Nathaniel Edmonds [808], Partner, Paul Hastings LLP, Former Assistant Chief (FCPA Unit), Criminal Division, Fraud Section, US DOJ, Washington, D.C.

Adelle Elia, [AD7], CCEP, VP, Chief Ethics & Compliance Officer, US Investigations Services

Steve Epstein [801], Chief Counsel, Ethics and Compliance, The Boeing Company

Marsha H. Ershaghi Hames, [603], Ph.D., CCEP, Sr. Leader, Education Advisory Services, LRN, Falls Church, VA

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


SPEAKERS

Ronnie Feldman, [402], Product Director, RealBiz Shorts, The Second City Works, Chicago, IL

Tod Ferran, [706], Security Analyst, SecurityMetrics, Salt Lake City, UT

Paul Fiorelli, [P11], JD, CCEP, Professor of Legal Studies and Co-Director, Cintas Institute, Xavier University, Cincinnati, OH

Sheila Fischer Kiernan [501], Chief Compliance Officer, Corporate Functions, McKesson Corporation, San Francisco, CA

Thomas R. Fox [P5], Principal, Tomfoxlaw.com, Houston, TX

Ann D. E. Fraser [202], Ph.D., Executive Director, VICR, Canadian Food Inspection Agency, Ottawa, ON

Kira A. Fuller [P6], Kira A. Fuller, MBA, CCEP, Compliance Skill Community Director, National Security Agency, Fort Meade, MD

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

Gary Glover, [706], Director of Security Assessment, SecurityMetrics, Provo, UT

Patrick Gnazzo, [P14], Principal, Better Business Practices, McLean, VA

Marcia N. Gonzales, [503], Chief Compliance Officer, Indiana University, Indianapolis, IN

Kristy Grant-Hart, [208], Chief Compliance Officer, United International Pictures, London, UK

Michael Greenberg [705], JD, Director, RAND Center for Corporate Compliance, Ethics and Governance, Pittsburg, PA

Samantha E. Greves, [P3], Compliance & Ethics Professional

Lisa A. Gross [W5], MBA, CCEP, CCEP-I, Ethics Analysis Senior Manager, Lockheed Martin, Owego, NY

Odell Guyton [GS, AD9], CCEP, CCEP-I, SCCE Co-Chair, Vice President, Global Compliance, Jabil Circuit, Inc., Saftey Harbor, FL

Daniel Harper, [601], Assistant General Counsel, CTS Corporation, Chicago, IL

Anne R. Harris [P3], MBA, CCEP, Principal, Ethics Works, LLC., Great Falls, VA

Stephen B. Harris, [103], VP- Chief Compliance Officer, The Hartford, Hartford, CT

Gwendolyn L. Hassan, [W1], JD, CCEP, Managing Attorney - Compliance & Regulatory, CNH Industrial America LLC, Oak Park, IL

David J. Heller, [401], Management and General Auditor, Edison International, Rosemead, CA

Megan Hess, [307], Washington & Lee University, Lexington City, VA

Darren Hill, [W10], Ethics Analysis Senior Manager, Lockheed Martin

Scott Hilsen, [507], Director, KPMG Forensic

Eric F. Hinton, [107], Chief Ethics & Compliance Officer, 7-Eleven, Inc., Dallas, TX

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

Web Hull, [506], CIPP, CIPP/A, Privacy, Data Protection & Compliance Advisor, Barrington, RI

Charles L. Hunt, [806], CIPP, CIPP/A, Operational Risk Consultant, ISO, VP, Wells Fargo Securities, Minneapolis, MN

Amy E. Hutchens, [205], CCEP, President, CLEAResources, LLC, Leesburg, VA

Gabriel L. Imperato [105], Esq., CHC, Managing Partner, Broad & Cassel, Fort Lauderdale, FL

Kasey T. Ingram, [601], JD, CCEP, General Counsel, ISK Americas Incorporated, Cleveland, OH

Janice Innis-Thompson [308], Senior Managing Director and Chief Ethics & Compliance Officer, TIAA-CREF

Shin Jae Kim, [W9], Partner, Compliance Practice Group, TozziniFreire Advogados, São Paulo, Brazil

Saira Jesrai, [P12], Senior Compliance Officer, Marsh & McLennan Companies, New York, NY

Judy S. Kalisker, [505], Principal, Compliance Plus, Natick, MA

Michael Kallens, [P3], Associate General Counsel & Manager of Corporate Ethics and Compliance, Booz Allen Hamilton, Washington, D.C.

Jeffrey M. Kaplan, [201], Jeffrey M. Kaplan, Partner, Kaplan & Walker LLP, Princeton, NJ

Matt Kelly, [501], Editor and Publisher, Compliance Week, Boston, MA

Barbara H. Kipp, [W7], Partner, 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

Latour (LT) Lafferty, [P9, P18], Esq., CCEP, CHC, Partner, Holland & Knight LLP, Tampa, FL

Lance Lanciault [107], Vice President of eCommerce Regulatory Compliance, Walmart, Inc., Bentonville, AR


SPEAKERS

Lisa Beth Lentini, [807], Vice President, Global Compliance, Carlson Wagonlit Travel, Minneapolis, MN

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, Senior Advisor to JTI, Inc., Great Falls, VA

Kirsten E. Liston [W15], CCEP, Associate Vice President, SAI Global, Westminster, CO

José F. Mafla, [704], Partner, Brigard & Urrutia Law Firm, Bogotá, Colombia

Sally March [404], JD,CCEP, CCEP-I, Director, Drummond March & Co, London, UK

Cam Marston [GS], Author, Generational Insights, Mobile, AL

Marcy J. Maslov, [P2], CPA, CEO, e-Factor!® - educational board games for business ethics, Phoenix, AZ

Allan Matheson, [204], Managing 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

Caroline McMichen, [P1], CCEP, Chief Ethics & Compliance Officer, Molson Coors Brewing Company, Denver, CO

Jason B. Meyer, [205], JD, President, LeadGood, LLC, Pennington, NJ

Tucker Miller, [302], Regional Director, ELI®, Atlanta, GA

Dr. Christina Moeller, [504], Senior Director Ethics & Compliance, Bertelsmann SE & Co. KGaA, Gütersloh, Germany

Renata Moreti, [P13], Director of Compliance LATAM, Carlson Wagonlit Travel, São Paulo, Brazil

Eric O. Morehead, [203], Head of Advisory Services, NYSE Governance Services, Austin, TX

Joseph E. Murphy, [301], JD, CCEP, CCEP-I, Senior Advisor, Compliance Strategists, Haddonfield, NJ

Dave Muxfeld, [206], Staff Compliance Analyst, State Farm, Bloomington, IL

Renata Muzzi Almedia, [W9], Partner, Compliance Practice Group, TozziniFreire Advogados, São Paulo, Brazil

Anna Nadgrodkiewicz, [P4], Director, Multiregional Programs, Center for International Private Enterprise, Washington, D.C.

Stephen Naughton [308], VP-Chief Ethics and Compliance Officer, Kimberly-Clark Corporation

Judith Nocito, [P14, 308], Former Director – Global Compliance, Alcoa (Retired); Senior Advisory, Compliance Strategists LLC

Kortney Q. Nordrum, [P17], Esq., Project Manager & Social Media Expert, SCCE & HCCA, Minneapolis, MN

Phyllis Nordstrom, [804], Director, PricewaterhouseCoopers, Dallas, TX

Alan Norquist, [P15], CEO & Founder, Veriphyr, Inc., Los Altos, CA

Thomas M. Obermaier, [W6], Chief Executive Officer, Regulatory DataCorp (RDC)

Joe Oringel [P5], Managing Director, Visual Risk IQ, Charlotte, NC

Chris Osborn, [405], Assistant Professor, Charlotte School of Law; ReelTime CLE, Charlotte, NC

Dan Oseran, [106], Senior Director of Global Privacy Compliance, eBay, Phoenix, AZ

Stephen M. Paskoff, [P8], President & CEO, ELI®, Inc., Atlanta, GA

Pamela Passman [401], President and CEO, Center for Responsible Enterprise and Trade – CREATe.org, Washington, D.C.

Ed Petry, [W2], VP, Advisory Services, NAVEX Global

Angela Preston, [305], General Counsel, EmployeeScreenIQ, Columbus, OH

Steven Priest, [P12], President, Integrity Insight International, Evanston, IL

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 Speechlys, London, UK

Dr. Garrett Reisman, [GS], Mission Specialist, STS-132; Crewmember, International Space Station; Twitter: @astro_g_dogg, Hawthorne, CA

Suzanne Rich Folsom, [407], General Counsel, Chief Compliance Officer, and Senior Vice President – Government Affairs, United States Steel Corporation, McLean, VA

Pamela Ringenberg, [206], Leadership Development Associate, State Farm, Bloomington, IL

Randi J. Roberts, [604], Vice President, Compliance, NBC Universal, New York, NY

Jay Rosen, [AD8], 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


SPEAKERS

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

Paige Shannon [AD7], Esq., CCEP, 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

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

Gene Stavrou, [207], Associate Director, Business Integrity, Mondelez International, Deerfield, IL

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

Johan Thorell, [P13], Director of Compliance, EMEA, Carlson Wagonlit Travel, London, UK

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, CCEP-I, CHC-F, CHRC, CHPC, Managing Director, Aegis Compliance and Ethics Center, Louisville, KY

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

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, Compliance Lawyer Track Program Chair; Partner, Kaplan & Walker LLP, Santa Monica, CA

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.

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

Christine Watzke-Ulbert, [W16], Manager, Hotline Program, Walgreens Boot Alliance, Deerfield, IL

Art R. Weiss [GS, AD6], JD, CCEP-F, CCEP-I, Chief Compliance & Ethics Officer, TAMKO Building Products, Joplin, MO

Kelly R. Welsh, [GS], General Counsel, U.S. Department of Commerce, Washington, D.C.

Stephen Wilke, [603], Director, Talent Development, Bluegreen Corporation, Boca Raton, FL

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

Eileen M. Xenarios, [703], Business Process Consultant, Progressive Corporation

Michele A. Yaroma [W8], Special Agent, FBI, Washington, D.C.

Cindy Yanasak, [703], Compliance & Ethics Program Manager, Progressive Corporation, Mayfield Village, OH

Charlotte D. Young, [403], Chief Ethics and Compliance Officer, The Nature Conservancy, Arlingtion, VA

Find the Solution Providers You Want Quickly and EasySign up for our NEW Vendor SpeedMeetings Exclusively at the Compliance and Ethics Institute

Want to know what the vendors

are offering new in compliance

training? Or maybe want to try a

new helpline provider? Sign up for

VendorSpeedMeetings.

Just indicate what types of solutions

you’re looking for, and we’ll set up a

schedule for you of short, one-on-one

meetings with vendors. In one hour,

you could meet six or more.

It ’s the fast, fun and easy way to get to

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

Ethics Institute.

Learn more at bit.ly/vendor-speedmeetings

SUNDAY, OCTOBER 4

Vendor SpeedMeetings

6:00–7:00 pm

CEI2015

RSVP REQUESTEDAdmission 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.

Monday, October 5, 2015, 7:00–9:00 pm,

Pinyon Ballroom, Convention Level One, ARIA Las Vegas

The Society of Corporate Compliance and Ethics invites you to attend the

11th Annual International

Compliance & Ethics Awards Dinner

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

18 www.complianceethicsinstitute.orgAgenda subject to change

AGENDA

SATURDAY, OCTOBER 3

11:30 am– 3:30 pm

Volunteer ProjectCome 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.

3:00 – 7:00 pm

Registration OpenArriving 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

SpeedNetworkingRegistration 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 PracticeSunday, 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.

ETHICS TRACK

P2 The Dollars and Sense of Ethics - Using Games to Build Accountability Sunday, 9:00 am – 12:00 pm

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.

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 MannerSunday, 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 ProgramsSunday, 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 ProgramSunday, 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 19Agenda subject to change

AGENDA

- PRELIMINARY SELECTIONS (Remaining sessions are in progress and will be filled by submissions already received during our call for speakers.)

IT COMPLIANCE

P6 The Seven Essential Elements: Tailoring Your Compliance Program for an IT-Centric IndustrySunday, 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 – industrial-strength 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 101Sunday, 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.


P8 Bringing Big Shots Back to EarthSunday, 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.

INVESTIGATIONS WORKSHOP

P9 Investigations WorkshopSunday, 9:00 am – 12:00 pm

Part I (9:00-10:00 am): Beginning the Investigation and Interviewing the ReporterAl 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 InvestigationMeric 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 InterviewsMeric 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 pm

SpeedMentoringRegistration required www.complianceethicsinstitute.org/ speedmentors

12:00 – 1:30 pm

Lunch (on your own)

1:30 – 4:30 pm (includes 15 minute break)

Pre-Conference Afternoon Breakout Sessions

RISK TRACK

P10 Advanced Risk Management Practice: Risk Impact, Benchmarking, and the Psychology of RiskSunday, 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 PowerpointSunday, 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.

CASE STUDY TRACK

P12 Strengthening Culture Through Innovative TrainingSunday, 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


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 CompanySunday, 1:30 – 4:30 pm

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

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.

IT COMPLIANCE

P15 Immediately Address IT Access Compliance Challenges with These Techniques, Using Tools You Already HaveSunday, 1:30 – 4:30 pm

John Vastano, CSO, Veriphyr, Inc.

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.


P16 Ethics and Compliance Training from A to Z: How to Create Outstanding Training ProgramsSunday, 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.


P17 Social Media: Behind the CurtainSunday, 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 WorkshopSunday, 1:30 – 4:30 pm

Part IV (1:30-2:30 pm): Revealing and Analyzing DocumentsLatour (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 ReportAl 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 PanelMeric 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


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 am

General Session – Four Generations in the Workplace and What it Means for Your Compliance ProgramCam 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 ProgramDr. 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

11:00 am – 12:00 pm

Concurrent Breakout Sessions

RISK TRACK

101 Global Anti-Corruption Programs: Advanced Practice and Effectively Managing RiskMonday, 11:00 am – 12:00 pm

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.

ETHICS TRACK

102 Hearing the Whistleblower: Building and Maintaining an Effective Ethics Reporting ProgramMonday, 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 StrategyMonday, 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.


104 Anti-Corruption Update for EuropeMonday, 11:00 am – 12:00 pm

Sally March, Director, Drummond March & Co

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.

COMPLIANCE LAWYER

105 What to Do When the Government Comes KnockingMonday, 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 AgeMonday, 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.


AGENDA


107 Compliance and Ethics Issues in the Retail IndustryMonday, 11:00 am – 12:00 pm

Eric F. Hinton, Chief Ethics & Compliance Officer, 7-Eleven, Inc.

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.


108 Global Expectation for Addressing Fraud Risk & The Investigative ProcessMonday, 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 CultureMonday, 11:00 am – 12:00 pm


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.


AD2 Addressing Big Picture E&C Program Challenges: A Day in the Life of the Successful Compliance OfficerMonday, 11:00 am – 12:00 pm


Greg Triguba, Senior Practice Leader, Ethics, Compliance and Risk, Affiliated Monitors, Inc.

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


RISK TRACK

201 Conflicts of Interest Risk: Business, Law, Compliance and Social ScienceMonday, 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?

ETHICS TRACK

202 The Ethical Climate Survey: A First Timer’s Lessons LearnedMonday, 1:30 – 2:30 pm

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.

CASE STUDY TRACK

203 A Tale of Two Assessments: How to Plan, Implement and Leverage Compliance Program AssessmentsMonday, 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.


204 Conducting Effective Third Party Due Diligence in ChinaMonday, 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.


AGENDA


COMPLIANCE LAWYER

205 Peer-to-Peer Compliance: Are Your Contract Clauses Running Offense and Defense For Your Ethics and Compliance Program?Monday, 1:30 – 2:30 pm

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.

IT COMPLIANCE

206 Did You Hear That Alarm? The Impacts of Hitting the Information Security Snooze ButtonMonday, 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.


207 Consistent Compliance AnswersMonday, 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.


208 Using Top Sales Techniques to Sell the Compliance Programme to Your Internal AudienceMonday, 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.


AD3 What Are You Doing to Engage Supervisors? Middle Manager EngagementMonday, 1:30 – 2:30 pm




AD4 Metrics: Advanced Techniques for Evaluating Your Compliance & Ethics ProgramMonday, 1:30 – 2:30 pm


Marjorie W. Doyle, Marjorie Doyle & Associates

2:30 – 3:00 pm

Networking Break in Exhibit Hall

3:00 pm – 4:00 pm


RISK TRACK

301 Global Antitrust & Competition Law Risk: Real Challenges Facing Organizations and Strategies for Effective ManagementMonday, 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 ProfessionalismMonday, 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 LoveMonday, 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 public-sector settings for networking and idea-sharing.


AGENDA


304 Implementing a Unified Compliance Program Covering Multiple Global and Local Requirements - The Local Distributor/Agent PerspectiveMonday, 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.

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 IssuesMonday, 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

IT COMPLIANCE

306 IT Compliance in the Las Vegas Gaming Industry: Lessons for Every Compliance Officer from the Gaming Capital of the WorldMonday, 3:00 – 4:00 pm

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.


307 Leveraging Your Social Capital for Influence and EngagementMonday, 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.


308 Building the Ship While Sailing: Building a High Performing Compliance and Ethics TeamMonday, 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.


AD5 Suppliers and Other Third Party EngagementMonday, 3:00 – 4:00 pm


Eric Lisann, Senior Advisor to JTI, Inc.


AD6 Tools for Enhancing Employee Participation in TrainingMonday, 3:00 – 4:00 pm

Art Weiss, Chief Compliance & Ethics Officer, TAMKO Building Products


4:00 – 4:30 pm


4:30 pm – 5:30 pm


RISK TRACK

401 Global Privacy and Data Protection Risks: Protecting Corporate Digital AssetsMonday, 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.


AGENDA


ETHICS TRACK

402 The Power of Story: Insights for Communicating Ethics & ComplianceMonday, 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.

CASE STUDY TRACK

403 Training or Learning? Ensuring Your Compliance Training Addresses Your Organization’s NeedsMonday, 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.


404 Adequate Procedures: An International OverviewMonday, 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.

COMPLIANCE LAWYER

405 “U North or True North?”- The Challenges of Ethical Decision-Making for In-House CounselMonday, 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

406 IT Professionals: Train Me Now or Pay For it LaterMonday, 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.


407 The First 100: How To Build A World-Class Compliance Team and Accomplish Critical Goals in the First 100 DaysMonday, 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


408 Office of Foreign National Control Data: A Mandatory Compliance Tool in Many Industries and a Powerful Mechanism to Mitigate Risk in All Industry SectorsMonday, 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


AD7 Getting the Most Out of Your Compliance CommitteeMonday, 4:30 – 5:30 pm

Adelle Elia, CCEP, VP, Chief Ethics & Compliance Officer, US Investigations Services

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


AD8 From Bangkok to Bogotá and Boston to Brussels, Global ABC and FCPA Benchmarks, Best Practices and Bootcamps – One Size Does Not Fit AllMonday, 4:30 – 5:30 pm

Jay Rosen, Vice President, Legal & Corporate Language Solutions, Merrill Brink International

– How do companies choose to communicate their anti-bribery 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?


5:30 – 7:00 pm

Networking Reception in Exhibit Hall Sponsored by Compliance Science

7:00 – 9:00 pm

International Compliance & Ethics Awards Dinner

TUESDAY, OCTOBER 6

6:30 – 7:30 am

Yoga (Pre-registration required)

7:00 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 CorruptionKelly 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



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


11:00 am – 12:00 pm


RISK TRACK

501 Keeping Up With Social Media Risks: Policy, Flexibility, & Common SenseTuesday, 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 LeadershipTuesday, 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 CollaborationTuesday, 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.


AGENDA



504 Establishing a Foreign Trade Law Compliance Management System in a Multi-National Enterprise - a European PerspectiveTuesday, 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 InvestigationsTuesday, 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 WorldTuesday, 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.


507 Creating a Compliance Playbook - How to Evidence ComplianceTuesday, 11:00 am – 12:00 pm

Scott Hilsen, Director, KPMG Forensic

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.


508 Role of the Data Protection OfficerTuesday, 11:00 am – 12:00 pm

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.


AD1B Changing Organizational CultureTuesday, 11:00 am – 12:00 pm


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.


AD3B What Are You Doing to Engage Supervisors? Middle Manager EngagementTuesday, 11:00 am – 12:00 pm



12:00 – 1:30 pm

Networking Lunch

1:30 – 2:30 pm


RISK TRACK

601 Don’t Buy Trouble in M&A Transactions: Effectively Managing Ethics and Compliance RiskTuesday, 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 employeesTuesday, 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

CASE STUDY TRACK

603 Choosing to Lean on Culture: Bluegreen Corporation’s Share HappinessTuesday, 1:30– 2:30 pm

Marsha H. Ershaghi Hames, Sr Leader Education Advisory Services, LRN

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.


604 Best Practices for Addressing Corruption-Related Risks Presented by International Third Party IntermediariesTuesday, 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 LiabilityTuesday, 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.

IT COMPLIANCE

606 Compliance, the Digital Environment and Data Protection: Why and How Your Business Must Be PreparedTuesday, 1:30– 2:30 pm

Marcelo X. Crespo, Lawyer and Professor, Crespo & Santos Law Firm

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.


607 Managing Conflicts of Interest: A Compliance Officer’s ChallengeTuesday, 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.


608 Get To The Root Cause To Design Effective Corrective Action PlansTuesday, 1:30– 2:30 pm

Deann Baker, Sutter Care at Home Compliance Officer, Sutter Health


– 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.


AD4B Metrics: Advanced Techniques for Evaluating Your Compliance & Ethics ProgramTuesday, 1:30– 2:30 pm


Marjorie W. Doyle, Marjorie Doyle & Associates


AD5B Suppliers and Other Third Party EngagementTuesday, 1:30– 2:30 pm


Eric Lisann, Senior Advisor to JTI, Inc.

2:30 – 3:00 pm

Networking Break

3:00 – 4:00 pm



AGENDA


RISK TRACK

701 Records and Information Management Risk: The 4 C’s of Information GovernanceTuesday, 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 EmployeesTuesday, 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 CultureTuesday, 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.


704 Brazil, Colombia and Mexico: Trade with the Major Latin America Economies without Generating Corruption LiabilityTuesday, 3:00– 4:00 pm

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 SeriesTuesday, 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

706 Compromising Remote Access: A Live Hack DemonstrationTuesday, 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.


707 Learning from CEOs: How Modeling Trumps Every Other Part of a Compliance ProgramTuesday, 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.


708 Building Predictive Monitoring CapabilitiesTuesday, 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.


AD9 The Non Financial Consequences of Non-ComplianceTuesday, 3:00– 4:00 pm



– Communicating with the C-Suite

– Moving your program forward.

– Leveraging the message.


AGENDA


AD10 Elevating Your E&C Program Through Board EngagementTuesday, 3:00– 4:00 pm


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


RISK TRACK

801 Government Contracts and Relationship Risk: What Every Compliance and Ethics Officer Should KnowTuesday, 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.

ETHICS TRACK

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 LineTuesday, 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

803 Compliance by Design: How Integrated Compliance Drives Business AccountabilityTuesday, 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.


804 Collaboration Between Internal Audit and Compliance – Leveraging the Three Lines of Defense to Manage Compliance RiskTuesday, 4:15 – 5:15 pm

Patrick Burns, Senior Director, Internal Audit, Walmart

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.

COMPLIANCE LAWYER

805 CEO’s (and salespeople too) Say The Darndest Things: How an Ill-Advised Statement or Email Can Start an Antitrust Investigation or LawsuitTuesday, 4:15 – 5:15 pm

Robert E. Connolly, Partner, Geyergorey LLP

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 ManagementTuesday, 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.


807 Entertainment and Travel Fraud SchemesTuesday, 4:15 – 5:15 pm

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.


AGENDA



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 CorruptionTuesday, 4:15 – 5:15 pm

Nathaniel Edmonds, Partner, Paul Hastings LLP

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, OCTOBER 7

8:00 am – 12:30 pm

Registration Open

8:00 – 9:45 am

Post-Conference Breakout Sessions

RISK TRACK

W1 Advanced Trade Compliance Practice: Global Programs and Risk Management StrategiesWednesday, 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 real-world 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 cost-efficient mitigation.

–

ETHICS TRACK

W2 Is That What They Really Think? Seven E&C Program Deal Breakers Your Employees Aren’t Telling You AboutWednesday, 8:00– 9:45 am

Ed Petry, VP, Advisory Services, NAVEX Global

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

CASE STUDY TRACK

W3 How to Create a Film Festival for Compliance Awareness WeekWednesday, 8:00– 9:45 am

Bruce R. Anderson, Chief Ethics Officer, Health Net, Inc.

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.


W4 Promoting a Speak Up Culture in a Multinational CompanyWednesday, 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 IssuesWednesday, 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 SolutionsWednesday, 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?


W7 Working Through Silos: Moving from a Decentralized/Distributed Approach to Compliance to an Integrated/Federated Model that is Efficient and EffectiveWednesday, 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 BU-specific 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.


AGENDA


W8 Investigations: Strategy and Eliciting the Most Important InformationWednesday, 8:00– 9:45 am

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

RISK TRACK

W9 Managing Global Risks in South America: Challenges and Effective StrategiesWednesday, 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.

ETHICS TRACK

W10 Retaliation: The Antidote to ReportingWednesday, 10:00–11:45 am

Lisa Gross, Ethics Analysis Senior Manager, Lockheed Martin

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 BeyondWednesday, 10:00–11:45 am

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.


W12 The Proposed EU Data Privacy Regulation: Why Multinationals Should Prepare NowWednesday, 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 ProgramsWednesday, 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 WorkplacesWednesday, 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.


W15 Strengthening Tone from the Middle without Breaking the BankWednesday, 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.


AGENDA



W16 Reporting Mechanisms and Infrastructures: Risks, Challenges and Effective ManagementWednesday, 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.

1:00 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

Assoc of Certified Fraud Examiners (ACFE)

Baker & McKenzie

Black Belt Compliance, LLC

Blue Umbrella

CEB

Charles Schwab

Click 4 Compliance, LLC

Compliance Insider

ComplianceLine, Inc.

Compliance Science Inc

Compliance Wave LLC

Compliance Week

Complí

Convercent

ConvergePoint

CRI Group

Datacert

Emtrain

Ethisphere

GovDocs, Inc.

Hiperos

Hitec Labs

Interactive Services

International Screening Solutions

I-Sight

Klink & Co, Inc

KPMG

Kroll

LexisNexis

Loyola University School of Law

LRN

McGovern & Greene LLP

MetricStream

Modevity

National Assoc of Corp Directors (NACD)

Navex Global

The Network, Inc.

New England College of Business

Northeastern University

Novarete`

NYSE Governance Services

Osprey Compliance Software LLC

PwC, Pricewaterhouse Coopers, LLP

The Red Flag Group

RISC Inc

SAI Global

Second City Communications

SecurityMetrics

Skillsoft

SnapComms

Steele CIS

SurveilLens

Syntrio Inc

TerraNua

Thomson Reuters Accelus

TRACE International

319 InSight Inc

Whistleblower Justice Network, LLC

Widener University Delaware Law School

WingSwept

Become CCB certified in: · Certified Compliance & Ethics Professional (CCEP)® · Certified Compliance & Ethics Professional – International (CCEP-I)®

Be recognized for your experience and knowledge

learn more at www.compliancecertification.org

Earn the recognition you deserve. Demonstrate your knowledge and expertise. Enhance your credibility.

Become CCB certified in: · Certified Compliance & Ethics Professional (CCEP)® · Certified Compliance & Ethics Professional – International (CCEP-I)®

GIVINGBACK TO VETERANSWHO'VE GIVEN

SO MUCH

Be a part of SCCE’s

SILENT AUCTIONto benefit America’s Fundto be held October 4–7 at the

ARIA in Las Vegas during SCCE’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 [email protected].


CONTINUING EDUCATION UNITS

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

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).

(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 2015Make 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 [email protected].

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 [email protected]


REGISTRATION Compliance & Ethics Institute | October 4–7, 2015 | ARIA | Las Vegas, NV

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.

List others not listed here:

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This is my first Compliance & Ethics Institute

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MHA MPA MPH MS MSHA MSN MT NHA PCI

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NAME (please type or print)

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REGISTRATION CONTINUES ON NEXT PAGE (OVER)


REGISTRATION Compliance & Ethics Institute | October 4–7, 2015 | ARIA | Las Vegas, NV

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Due to PCI Compliance, please do not provide any credit card information via email. You may email this form to [email protected] (without credit card information) and call SCCE at 952.933.4977 or 888.277.4977 with your credit card information.

5 Choose your payment method

4 Choose your registration options (Registration fees are as listed and considered net of any local withholding taxes applicable in your country of residence.)

Session Audio Recordings PURCHASE on/before 10/7/15 after 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

*Need to purchase 1 multi-user licensing fee for every 1000 users.

TOTAL $

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3 Select your sessions

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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*

*Pre-registration required

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

WEDNESDAY, OCT 7 POST-CONFERENCE

Breakouts 8 – 9:45 am

W1 W2 W3 W4 W5 W6 W7 W8

Breakouts 10 – 11:45 am

W9 W10 W11 W12 W13 W14 W15 W16

TUESDAY, OCT 6

Yoga* 6:30 – 7:30 am

Breakouts 11 am – 12 pm

501 502 503 504 505 506 507 508

Breakouts 1:30 – 2:30 pm

601 602 603 604 605 606 607 608

Breakouts 3 – 4 pm

701 702 703 704 705 706 707 708


801 802 803 804 805 806 807 808

MONDAY, OCT 5

Yoga* 6:30 – 7:30 am

Breakouts 11 am – 12 pm

101 102 103 104 105 106 107 108


201 202 203 204 205 206 207 208

Breakouts 3 – 4 pm

301 302 303 304 305 306 307 308


401 402 403 404 405 406 407 408

International Compliance & Ethics Awards Dinner* 7:00–9:00 pm (FREE)

Gluten Free Kosher

Vegetarian Vegan Other

Special Request for Dietary Accommodation

prices listed reflect savings 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)

* New members only. (Dues regularly $295 annually.)


DETAILS

Ways to RegisterMAIL Include registration form with check payable to: SCCE, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435, United States

ONLINE Visit www.complianceethicsinstitute.org FAX Include billing information and fax to +1 952 988 0146

QUESTIONS? Call +1 952 933 4977 or 888 277 4977 or email helpteam @ corporatecompliance.org

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 [email protected] 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 ONLINEwww.complianceethicsinstitute.org

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

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 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.

Hotel Cancellation Policy: If you wish to cancel, please do so 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 [email protected]

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 Statesphone +1 952 933 4977 or 888 277 4977 | fax +1 952 988 0146www.corporatecompliance.org | helpteam @ corporatecompliance.org

Learn more and register at complianceethicsinstitute.org

October 4–7, 2015

ARIA in Las Vegas

Las Vegas, NV

Compliance & Ethics Institute

The Society of Corporate Compliance & Ethics 14th Annual

Society of Corporate Compliance and Ethics 6500 Barrie Road, Suite 250 Minneapolis, MN 55435

GENERAL SESSION SPEAKERS ANNOUNCED

Art Weiss Chief Compliance & Ethics Officer, TAMKO Building Products

Odell Guyton Vice President, Global Compliance, Jabil Circuit, Inc.

Kelly R. Welsh General Counsel, U.S. Department of Commerce

Cam Marston Author, Generational Insights

Roy Snell CEO, Society of Corporate Compliance & Ethics

Dr. Garrett Reisman STS-132; Crewmember, International Space Station

Debbie Troklus Managing Director, Aegis Compliance and Ethics Center

Marjorie W. Doyle Marjorie Doyle & Associates, LLC

The Society of Corporate Compliance & Ethics 14th Annual ...€¦ · and analysts ·Consultants ·...

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