See Credit Details Below
Overview
Why You Should Attend
Effective compliance and ethics programs are essential to companies of all kinds and are widely expected of companies wishing to be viewed as “good corporate citizens.” Such programs help organizations prevent, detect, and respond in an effective manner to misconduct. Compliance and ethics (“C&E”) programs are a necessary tool for managing the substantial risks that can be posed by employee and third-party misconduct, as well as assisting organizations in mitigating the harm from violations when they do occur. Companies with robust C&E programs minimize the likelihood of devastating criminal and regulatory actions — and also reap the rewards of employee loyalty and customer and shareholder trust.
At this unique Workshop, experienced compliance officers and in-house and law firm attorneys working in the compliance field will learn about best C&E practices from the exceptional team of Rebecca Walker of Kaplan & Walker and Julian J. Moore of A&O Shearman. These remarkable Co-Chairs will be joined by a distinguished faculty drawn from prominent corporate organizations, influential law firms, academia, and key government agencies to provide you with the tools you need to enhance your program, protect your company and further your professional development.
NOTE: The luncheon segment with Deputy U.S. Attorney Edward Y. Kim, SDNY, will only be available to in-person attendees and live webcast viewers. This segment will not be recorded or available on-demand.
What You Will Learn
After completing this program, participants will be able to:
- Design, conduct, and utilize the results of C&E risk assessments
- Ethically utilize artificial intelligence (AI) in compliance programs
- Draft workable conflicts of interest policies, procedures, and training
- Work hand-in-hand with or as the Chief Compliance Officer
- Strengthen the Board’s effectiveness
- Implement best practices for managing helplines and conducting internal investigations
- Deploy tangible and intangible incentives to promote compliance
- Perform effective compliance audits
- Create and enforce anti-corruption measures
- Conduct and track meaningful compliance training
- Above all, you will learn how to develop and maintain a “culture of compliance” at your company
Who Should Attend
Compliance professionals, in-house and outside counsel, human resources professionals, internal auditors, board members, and company managers with a background and interest in creating and maintaining effective compliance and ethics programs.
Special Features
- In-person attendees will enjoy a luncheon with a keynote speaker
- Each segment includes interactive polling designed to support compliance benchmarking.
Program Level: Intermediate
Prerequisites: Participants with a foundation in corporate compliance programs would most benefit from this program.
Advanced Preparation: None
Topics
Credit Details
Credit Details For All Jurisdictions For This Program
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Program Structure and Reporting to the Board: Program Authority and Independence
Seth M. Cohen, Rebecca Walker1:00:54This segment will explore the key elements of an effective compliance program structure. Upon completing this session, participants will be able to:
- Effectively position the Chief Compliance & Ethics Officer
- Empower compliance professionals throughout the organization
- Facilitate relationships with law, HR, internal audit and other functions
- Determine the appropriate scope of the program
- Strengthen the relationship between the Chief Compliance & Ethics Officer and the Board
- Facilitate robust Board oversight of the compliance program
Rebecca Walker, Seth M. Cohen
Compliance Codes and Policies
Kari Mcculloch, Karen Moore0:59:45This panel will explore best practices in compliance codes and policies. After completing this session, participants will be able to:
- Implement best practice codes of conduct
- Develop compliance policy governance procedures and practices
- Consider how to make compliance policies accessible and understandable
Kari McCulloch, Karen Moore
Compliance Training & Communications Best Practices
Angie McPhail, Randi Roberts1:04:35This panel will explore best practices in training and communications, including discussing creating a risk-based compliance training and communications plan. After completing this session, participants will be able to:
- Create risk-based compliance training and communications plans
- Conduct effective and efficient compliance training
- Impact corporate culture with C&E training and communications
- Test the efficacy of compliance training
Angie McPhail, Randi Roberts
Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
Heena Arora, Kimberly Pittman1:00:23This segment will provide practical instruction on conducting effective compliance risk assessments and utilizing the results of those assessments to improve a compliance program. After completing this session, participants will be able to:
- Implement effective methodologies for identifying and assessing legal and compliance risks.
- Use risk assessment to achieve program enhancement
- Report on your risk assessment
- Avoid risks related to compliance risk assessment: avoiding those things that can go wrong
No legal ethics credit for this panel
Heena Arora, Kimberly Pittman
Evolving Role of the CCO and Conflicts of Interest Compliance
Michael Koenig, Shamina D. Sneed0:59:07This segment will explain the evolving role of the Chief Compliance Officer. It will also explore the topic conflicts of interest risks and controls and the legal, reputational, and business risks that might arise as a result of a conflict. After completing this session, participants will be able to:
- Consider how to address common challenges and obstacles that compliance officers face
- Identify the risks created by conflicts of interest
- Identify appropriate conflicts of interest controls
- Consider how compliance officers can be effective across functions and throughout the enterprise
Michael Koenig, Shamina Sneed
Hot Topics in Compliance & Ethics: High-Tech Fraud & Cybersecurity
Florence Hugenholtz, Francesca Lulgjuraj, Anna Rudawski1:00:29This session will cover the risks of high-tech fraud and effective controls to bolster cybersecurity and protect private data. After completing this session, participants will be able to:
- Assess the risk of high-tech fraud at your organization
- Learn about effective tools to safeguard private data and mitigate high-tech fraud risks
- Draft and implement workable anti-fraud policies, procedures, and training to strengthen cybersecurity
No legal ethics credit for this panel
Florence Hugenholtz, Francesca Lulgjuraj, Anna Rudawski
Helplines, Investigations and Responding to Misconduct
Stephen C. King, Joellen Valentine0:59:40This segment will provide practical instruction on reducing employee misconduct and encouraging ethical standards. After completing this session, participants will be able to:
- Manage helplines and effectively respond to reports
- Combat the fear of retaliation and futility in reporting
- Implement best practices in conducting internal investigations
- Protect whistleblowers and maintain confidentiality
Stephen C. King, Joellen Valentine
Anti-Corruption Compliance: Strategies and Insights
Andrea DeShazo, Andrew Dunbar0:59:30This panel will analyze different compliance protocols to identify the risk of and prevent potential corruption. After completing this session, participants will be able to:
- Identify and assess your organization’s corruption risks
- Prepare and effectuate necessary policies, training, and communications
- Perform thorough due diligence and work with other third-party controls
Andrea DeShazo, Andrew Dunbar
Ethics for Compliance Lawyers and Compliance Officers
Joe Mack, Asha Muldro1:00:31This segment will explore the ethical obligations of compliance lawyers and compliance professionals. After completing this session, participants will be able to:
- Understand Model Rule of Professional Conduct 1.6 regarding an attorney’s duty of confidentiality and Rule 1.13 regarding organizations as clients
- Know the boundaries of attorney-client privilege in risk assessments, program assessments, and audits
- Ensure compliance with both legal ethics and business ethics
- Identify which compliance program communications can (and should) be privileged
- Avoid conflicts of interest in compliance work
Joe Mack, Asha Muldro