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Agenda

Welcome and Introduction 11:55 – 12:00 CET

Intro & Background to C&E Programs

  • History and evolution of compliance and ethics programs
  • Introduction to the required elements of a compliance & ethics program
  • Expectations of enforcement and regulators

12:00 – 13:15 CET

Conference Break

13:15 – 13:30 CET

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

13:30 – 15:00 CET

Mid-Conference Break

15:00 – 15:30 CET

Risk Assessment: Part 1

  • Performing compliance risk assessments
  • Risk criteria to consider
  • Design and implementation of risk responses

15:30 – 16:15 CET

Conference Break

16:15 – 16:30 CET

Risk Assessment: Part 2

  • Performing compliance risk assessments
  • Risk criteria to consider
  • Design and implementation of risk responses
16:30 – 17:30 CET

 

Communication & Training

  • Risk-based identification of training needs
  • Development and delivery of compliance training
  • Compliance and ethics-related communications

12:00 – 13:15 CET

Conference Break

13:15 – 13:30 CET

Governance, Oversight, and Authority

13:30 – 15:00 CET

Conference Break

15:00 – 15:15 CET

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

15:15 – 16:30 CET

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.

16:30 – 17:30 CET

Incentives and Enforcement

  • Active promotion of the compliance and ethics program
  • Use of incentives to encourage compliance
  • Discipline for identified wrongdoing

12:00 – 13:15 CET

Conference Break

13:15 – 13:30 CET

Investigations

  • Key steps in performing compliance investigations
  • Conducting effective interviews and gathering evidence
  • Concluding and reporting on investigations

13:30 – 14:45 CET

Mid-Conference Break

14:45 – 15:15 CET

Monitoring, Auditing & 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

15:15 – 16:15 CET

Conference Break

16:15 -16:30 CET

 

16:30 – 17:30 CET

Monitoring, Auditing & 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
16:30 – 17:30 CET