Monday |
|
Registration and Continental Breakfast (provided) |
8:00 – 8:30 am |
Welcome/Introduction |
8:30 – 8:35 am |
Organizational Ethics
- What it is
- Legal and business value
- Practice steps to create and maintain
|
8:35 – 10:20 am |
Break |
10:20 – 10:50 am |
Introduction to Compliance
- High level overview of the seven elements of a compliance program
- Practice and problems for the compliance professional are discussed
- Highlight of areas of key importance to compliance programs
|
10:50 am – 12:20 pm |
Lunch (provided) |
12:20 – 1:20 pm |
Compliance Infrastructure
- An understanding of what is included in the CP infrastructure
- Positions vital to the CP's infrastructure
- Staffing the compliance program and reporting structures
|
1:20 – 3:05 pm |
Break |
3:05 – 3:35 pm |
Creating and Reviewing Compliance Policies and Procedures
- Definitions of standards of conduct, policies, procedures, guidelines
- Elements of policies and procedures
- Ownership and reviewing policies and procedures
|
3:35 – 5:20 pm |
|
|
Tuesday |
|
Continental Breakfast (provided) |
7:30 – 8:00 am |
Compliance Risk Assessment
- Define compliance risk and how to assist with role clarity
- Discuss the rationale and key cultural and management variables important to conducting a risk assessment
- Identify common methodologies and processes for conducting a risk assessment
|
8:00 – 9:45 am |
Break |
9:45 – 10:15 am |
CCEP Exam Discussion |
10:15 – 10:30 am |
Privacy and Information Security
- Overview of US Privacy Law
- Overview of key cybersecurity issues
- Privacy and cybersecurity standards and industry practices/benchmarking
|
10:30 am – 12:15 pm |
Lunch (provided) |
12:15 – 1:15 pm |
Discipline and Program Improvement
- Importance of discipline
- Responsibilities in discipline process
- Elements of program improvement
|
1:15 – 2:30 pm |
Legal Issues, Risk Factors, & Disclosure Issues
- Lessons learned; the red flags
- Overlooked; the need to identify red flags
- Dangers hidden in investigations, our own policies, and how we react
- We created it; now it's coming back to hurt us
- Disclosure to regulators and law enforcement
|
2:30 – 3:30 pm |
Break |
3:30 – 4:00 pm |
Ethics & Compliance Programs: Best Practices and Perspectives
- Interactive session that explores core considerations for establishing a best practices program, to include strategies and insights on the path to get you there
- Explore the value and importance of benchmarking, and discuss opportunities to leverage this essential information to take your program to the next level
- Engage and collaborate with colleagues as part of an interactive networking opportunity, and learn about available resources that help support effective practice
|
4:00– 5:30 pm |
|
|
Wednesday |
|
Continental Breakfast (provided) |
7:30 – 8:00 am |
Education and Training
- The need for compliance and ethics training
- The difference between training and education
- Different types and methods of training
- Targeted training
- Demonstrating training effectiveness
|
8:00 – 9:45 am |
Break |
9:45 – 10:15 am |
Auditing and Monitoring
- Role of auditing and monitoring in the compliance program
- Development of monitoring/auditing plans for effective assurance
- The future of compliance program auditing and monitoring
|
10:15 am – 12:00 pm |
Lunch (provided) |
12:00 – 1:00 pm |
Investigations
- Understand the investigations management process
- Learn important investigation techniques
- Know the key steps of every workplace investigation
|
1:00 – 2:45 pm |
Break |
2:45 – 3:15 pm |
Ethics & Compliance Programs: Evaluation and Effectiveness
- Overview of essential components of E&C program effectiveness to include core elements of program design, implementation, and effective management, among other key areas
- Explore effectiveness considerations across program elements to include value proposition, organizational impact, global standards, stakeholder expectations, and best practices
- Consider methods, tools, and resources for evaluating effectiveness, and suggested steps for managing program risks and taking your program to the next level
|
3:15 – 5:00 pm |
|
|
Thursday |
|
Continental Breakfast (provided) |
7:30 – 8:00 am |
Conflicts of Interest
- Conflicts of interesty are some of the most common and challenging issues for compliance and ethics programs
- This session is designed to assist compliance professionals in understanding ethical and organizational risks that result from conflicts of interest
- This session will review the many kinds of conflicts of interest and how they occur; case studies; and best practices
|
8:00 – 9:45 am |
Break |
9:45 – 10:15 am |
FCPA Anti-Corruption and Bribery
- Global law enforcement efforts
- Practical hands-on approach
- Effective compliance remediation approaches
|
10:15 – 12:00 pm |
Boxed Lunch (provided) |
12:00 pm |
Exam Check-In Time
The exam is optional. You must apply and be approved to sit for the CCEP exam by CCB separately from your academy registration.
|
12:45 pm |
Exam Time – Certified Compliance and Ethics Professional (CCEP)® Exam
|
1:00 – 4:00 pm |