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 Allen & Overy. 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.
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
- Strengthen the Board’s effectiveness
- Understand Environmental, Social and Governance (ESG) disclosure and compliance requirements
- Implement best practices for managing helplines and conducting internal investigations
- Deploy tangible and intangible incentives to promote compliance
- Perform effective compliance audits
- 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
Lecture Topics [Total time 00:10:45]
Segments with an asterisk (*) are available only with the purchase of the entire program.
- Opening Remarks and Introductions* [00:11:12]
Julian J. Moore, Rebecca Walker - Program Structure and Reporting to the Board: Program Authority and Independence [00:58:04]
Rebecca Walker, Tracey Gilliam, Gina Tatsios Saviola - Compliance Codes, Training and Communications [01:00:19]
Michael Koenig, Michael R. Levin - Compliance Program Auditing, Metrics and Assessment [01:00:33]
Paul Carlesimo, Don Willis, CCEP-I, CECI, CCIP - Luncheon Segment: Government Perspectives [00:45:32]
Kenneth A. Polite, Jr., Nicole Argentieri - Compliance and Ethics Risk Assessments: The Foundation of Effective Programs [00:58:34]
Vanessa De Simone, Karen Moore - Environmental, Social, and Corporate Governance (ESG) and Compliance [00:59:34]
Jonathan Chibafa - Hot Topics in Compliance & Ethics: Conflicts of Interest Compliance and Artificial Intelligence (AI) [01:00:10]
Claire Rajan, Stephen C. King - Helplines, Investigations and Responding to Misconduct [01:00:42]
Jonathan Cohen, Julian J. Moore, Joellen Valentine - Anti-Corruption Compliance [00:58:09]
Asha Muldro, Colleen M. O'Brien - Ethics for Compliance Lawyers and Compliance Officers [01:00:22]
Paul E. Fiorelli, Shamina D. Sneed
The purchase price of this Web Program includes the following articles from the Course Handbook available online:
- Complete Course Handbook
- The Evolution of the Law of Corporate Compliance in the United States: An Overview (February 2023)
Rebecca Walker - Rebecca Walker and Jeffrey M. Kaplan, Our Third Rail: Compliance within the Legal Department, CEP Magazine (March 2022)
Rebecca Walker - An Opportunity to Assess and Strengthen Board Oversight, CEP Magazine (June 2022)
Rebecca Walker - Using Liaisons to Extend the Reach and Influence of Your Program, Ethikos, Vol. 37, No. 1 (January 2, 2023)
Rebecca Walker - Leadership Oversight of Compliance and Ethics Programs, Ethikos, Vol. 37, No. 2 (April 1, 2023)
Rebecca Walker - Rebecca Walker and Jeffrey M. Kaplan, Compliance Program Assessment Blog, Assessing Codes of Conduct (August 19, 2020)
Rebecca Walker - Training the Board (April 24, 2023)
Rebecca Walker - The Value of a C&E Week or Month or Even Just a Day (June 5, 2023)
Rebecca Walker - Rebecca Walker and Adam Turtelaub, Meet Rebecca Walker, The Progression of Compliance, CEP Magazine (April 2022)
Rebecca Walker - U.S. Securities and Exchange Commission, Questions Advisers Should Ask While Establishing or Reviewing Their Compliance Programs (May 2006; Updated February 5, 2009)
Vanessa De Simone - 2006 CCOutreach Regional Seminars Investment Adviser Case Study Discussion Guide
Vanessa De Simone - U.S. Securities and Exchange Commission, Risk Alert, Office of Compliance Inspections and Examinations, OCIE Observations: Investment Adviser Compliance Programs (November 19, 2020)
Vanessa De Simone - Squire Patton Boggs, ESG Laws Across the World, Global (July 2023)
Jonathan Chibafa - Allen & Overy, Supply Chains Must Evolve to Keep Pace with Drive to Net Zero (November 28, 2022)
Julian Moore - U.S. Securities and Exchange Commission, Climate-Related Disclosures/ESG Investing (Updated July 6, 2023)
Julian Moore - Marriage, Blood, and Romance: Managing Conflicts of Interest Involving Personal Relationships, Ethikos, Vol. 33, No. 201906 (June 2019)
Rebecca Walker - U.S. Securities and Exchange Commission, Strategic Plan—Fiscal Years 2022–2026
Claire Rajan - U.S. Department of Justice, Deputy Assistant Attorney General Matthew S. Miner Delivers Remarks at the 6th Annual Government Enforcement Institute (September 12, 2019)
Claire Rajan - U.S. Department of Justice, Criminal Division, Evaluation of Corporate Compliance Programs (Updated March 2023)
Claire Rajan - Complaint for Damages, Han v. Pfizer Inc., Case No. 323-cv-03908 (Cal. Super. Ct. 2023)
Claire Rajan - Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order, In the Matter of Stephen J. Easterbrook and McDonald’s Corp., Securities Act Release No. 11144, Exchange Act Release No. 96610, Admin. Proc. File No. 3-21269 (January 9, 2023)
Claire Rajan - Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order, In the Matter of United Continental Holdings, Inc., Exchange Act Release No. 79454, AAER No. 3833, Admin. Proc. File No. 3-17705 (December 2, 2016)
Claire Rajan - Deferred Prosecution Agreement, United States v. Illinois Bell Telephone Co., LLC (N.D. Ill. 2022)
Claire Rajan - U.S. Securities and Exchange Commission, 17 CFR Parts 240 and 275, [Release Nos. 34-97990; IA-6353; File No. S7-12-23], RIN 3235-AN00; 3235-AN14, Proposed Rule, Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers
Claire Rajan - It’s Time to Assess Your Reporting and Investigations Protocols, CEP Magazine (December 2021)
Rebecca Walker - Allen & Overy, Organisational Culture in Financial Services, A Global Study into How the Sector is Approaching Purpose, Values and Behaviour in the Workplace (June 2023)
Julian Moore - Allen & Overy, Culture, Compliance and Corporate Governance in the New Decade (February 7, 2020)
Julian Moore - Allen & Overy, DOJ Announces New Policies on Corporate Prosecution (September 16, 2022)
Julian Moore - Allen & Overy, Cross-Border White Collar Crime and Investigations Review (2023)
Julian Moore - Partnering with Partners: Extending Compliance to Third Parties, CEP Magazine (June 2023)
Rebecca Walker - Society of Corporate Compliance and Ethics, Code of Ethics for Compliance and Ethics Professionals, available at: www.corporatecompliance.org
Rebecca Walker
Presentation Material
- Program Chair Opening Remarks and Introductions
Julian J. Moore, Rebecca Walker - Segment PowerPoint: Program Structure and Reporting to the Board: Program Authority and Independence
Tracey Gilliam, Gina Tatsios Saviola, Rebecca Walker - Handout 1: The Freddie Mac Code of Conduct: How We Make Home Possible
Michael R. Levin - Handout 2: Under Our Roof - Tales About Ethics at Freddie Mac
Michael R. Levin - Segment PowerPoint: Compliance Codes, Training and Communications
Michael Koenig, Michael R. Levin - Segment PowerPoint: Compliance Program Auditing, Metrics and Assessment
Paul Carlesimo, Don Willis, CCEP-I, CECI, CCIP - Segment PowerPoint: Compliance and Ethics Risk Assessments: The Foundation of Effective Programs
Vanessa De Simone, Karen Moore - Segment PowerPoint: Hot Topics in Compliance & Ethics: Conflicts of Interest Compliance and Artificial Intelligence (AI)
Stephen C. King, Claire Rajan - Segment PowerPoint: Helplines, Investigations and Responding to Misconduct
Jonathan Cohen, Julian J. Moore, Joellen Valentine - Segment PowerPoint: Anti-Corruption Compliance
Asha Muldro, Colleen M. O'Brien - Article: The Client - Ethical Considerations
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 Allen & Overy. 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.
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
- Strengthen the Board’s effectiveness
- Understand Environmental, Social and Governance (ESG) disclosure and compliance requirements
- Implement best practices for managing helplines and conducting internal investigations
- Deploy tangible and intangible incentives to promote compliance
- Perform effective compliance audits
- 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