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Agenda

Welcome and Introduction 8:55 – 9:00 SGT
Intro and Background to C&E Programs
• History and evolution of compliance and ethics programs
• Introduction to the required elements of a compliance and ethics program
• Expectations of enforcement and regulators
9:00 – 10:15 SGT
Conference Break 10:15 – 10:30 SGT
Governance, Oversight, Authority
• Compliance responsibilities at each level of an organization
• Positioning and structure of the compliance function
• Relationship with the board of directors
10:30 – 12:00 SGT
Mid-Conference Break 12:00 – 12:45 SGT
Standards and Procedures
• Understanding the importance of written standards including policies, procedures, and the code of conduct
• Form, function, and maintenance of written standards of conduct to support the compliance program
• Types and purposes of written standards and procedures
12:45 – 14:15 SGT

 

Communication and Training
• Risk-based identification of training needs
• Development and delivery of compliance training
• Compliance and ethics-related communications
9:00 – 10:15 SGT
Conference Break 10:15 – 10:30 SGT
Risk Assessment: Part 1
• Performing compliance risk assessments
• Risk criteria to consider
• Design and implementation of risk responses
10:30 – 11:30 SGT
Mid-Conference Break 11:30 – 11:45 SGT
Risk Assessment: Part 2
• Performing compliance risk assessments
• Risk criteria to consider
• Design and implementation of risk responses
11:45 – 12:30 SGT
Conference Break 12:30 – 13:15 SGT
Due Diligence in Delegation of Authority
• Identifying who has important compliance responsibilities
• Issues with employee background checks
• Due diligence for vendors and other third parties
13:15 – 14:30 SGT
Optional Networking Hour
Use this hour to interact and engage with fellow attendees and instructors. Recap the last two days, ask questions, and make connections.
8:00 – 9:00 SGT
Investigations
• Key steps in performing compliance investigations
• Conducting effective interviews and gathering evidence
• Concluding and reporting on investigations
9:00 – 10:15 SGT
Conference Break 10:15 – 10:30 SGT
Monitoring, Auditing, and Reporting Systems: Part 1
• Understanding the essential aspects of auditing and monitoring
• Developing the compliance auditing and monitoring plan
• Techniques and approaches to auditing and monitoring
10:30 – 11:30 SGT
Mid-Conference Break 11:30 – 12:15 SGT
Monitoring, Auditing, and Reporting Systems: Part 2
• Understanding the essential aspects of auditing and monitoring
• Developing the compliance auditing and monitoring plan
• Techniques and approaches to auditing and monitoring
12:15 – 13:15 SGT
Conference Break 13:15 – 13:30 SGT
Incentives and Enforcement
• Active promotion of the compliance and ethics program
• Use of incentives to encourage compliance
• Discipline for identified wrongdoing
13:30 – 14:45 SGT
Response to Wrongdoing
• Actions to take when wrongdoing is discovered
• Performing root cause analysis
• Designing and implementing remediation actions
9:00 – 10:15 SGT
Conference Break 10:15 – 10:30 SGT
Hot/Common Compliance Issues
• Overview of FCPA, UK Bribery, and other anticorruption laws
• Privacy and data security issues, including cybersecurity
• Conflicts of interest
10:30 – 11:30 SGT
Mid-Conference Break 11:30 – 11:45 SGT
Program Improvement
• Methods of assessing performance of the compliance and ethics program
• Focus on continuous improvement of the program
• Internal vs. third party assessments
11:45 – 12:30 SGT
Conference Break 12:30 – 13:15 SGT
What is Next for Me and My Program?
• Key skills necessary for compliance professionals
• Taking action to have a successful career in compliance
• Applying what you have learned to your compliance program
13:15 – 14:30 SGT

All sessions for the Compliance & Ethics Essentials Workshop are Basic knowledge level:

Basic Program knowledge level is most beneficial to Compliance Professionals new to a skill or an attribute. These individuals are often at the staff or entry level in organizations, although such programs may also benefit a seasoned professional with limited exposure to the area.