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Compliance and Ethics Agenda
8:30am – 9:00am
Continental Breakfast and Registration
9:00am – 9:30am
Session 1: Introductions and Polling the Audience
- What are your pain points, biggest issues?
- What is your role in the organization?
- What do you want to get out of this seminar?
9:30am – 10:30am
Session 2: Identifying and Mitigating Risk
- Identifying Risks
- How to assess risk?
- How often to assess risk?
- Should risk assessments be done under privilege?
- Using automation tools as part of the risk assessment
- Looking at reputational injury as a consequence
- Differentiating between mitigated and unmitigated risks
- Mitigating Risks
- Developing methods to prioritize risk mitigation
- What are practical uses for a business’ risk assessment?
- Interface with ERM programs
- Who should own the mitigation plan?
- Designing the compliance program based on your risk assessment
- How can a risk assessment and mitigation plan add value to a business?
- What does the government expect in mitigation?
10:30am – 10:45am
10:45am – 11:45am
Session 3: The Compliance, Governance, Structure and Culture
- Engaging the C-Suite, Board and business leaders in an ethics and compliance program
- Fostering a culture of ethics and compliance
- DOJ’s Yates Memo and current policy: Implications of DOJ’s policy to pursue individuals for corporate crimes
- Can ethics and compliance be a competitive advantage?
- Convincing the CEO that he is smart to support a robust compliance program
- Roles, responsibilities and reporting structure: CCO, GC, Internal Audit, HR, compliance champions, ombudsmen
- Global (centralized) versus country or division (decentralized) models.
- What are the options for a small or solo in-house legal department?
11:45pm – 12:45pm
12:45pm – 1:30pm
Session 4: Best Practices in Compliance Monitoring and Auditing
- Tracking delivery of the compliance program
- Using hotline data to
- Identify risks
- Assess trends
- Monitor compliance and ethics
- Audit Procedures
- Auditing as part of the business controls in a compliance program
- How to define the scope of an audit to determine compliance program effectiveness?
- Who should conduct the audit?
- Methods to resolve audit findings
- When should third parties be audited?
- Using employee surveys and certifications to monitor compliance program effectiveness
- Compliance Reporting
- What information should the CEO, board, and audit committee receive?
- Developing reports on audits; hotline data; investigations
Session 5: Best Practices for Internal Investigations
- When is an internal investigation necessary?
- How to define the scope of the investigation
- Who should conduct the investigation – outside counsel, in-house lawyers?
- Identifying, interviewing and managing witnesses
- Identifying and managing documents
- Can an internal investigation impinge on a suspect’s 5th Amendment rights?
- Managing confidentiality in light of Dodd-Frank’s whistleblower protections
- Closing the investigation –
- Considerations in determining if you should disclose to the government;
- When to draft a report
- When does the board need to know
2:15pm – 2:45pm
2:45pm – 3:30pm
Session 6: Developing Policies, Communications, and Training
- How to determine your policy, communications and training needs
- Do you need a policy on policies?
- A policy on values, ethics and integrity?
- What goes into the Code of Conduct?
- What subjects need separate policies?
- Is a policy different than a procedure?
- Messaging your policies
- Who should get trained?
- How should you train and communicate – live, webinar, external vendor or in-house?
- Engaging leadership or business functions to conduct training
- Training agents or other 3rd parties
3:30pm – 4:30pm
Session 7: When Your Client Won’t Take Your Advice – What Do the Rules of Ethics Require?
- What are an attorney’s ethical obligations beyond “compliance with law?”
- Who is your client and how do you maintain client confidences when the client is an organization?
- What are your ethical responsibilities when your client will not follow the law?
- When must you terminate the relationship?
4:30pm – 5:30pm
Agenda is subject to change.