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
Networking Break

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
Networking Luncheon

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
Networking Break

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
Networking Reception



Agenda is subject to change.


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