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REGISTER AT CONFERENCE.COMPLIANCEWEEK.COM
ETHICS
INTERNAL CONTROL
COMPLIANCE PROGRAMS
PRIVACY
FINANCIAL REPORTING
INTERNATIONAL REGULATIONS
INVESTIGATIONS
AUDIT COMMITTEES
See agenda pages 5-9
TOPICS
Earn 19 CPE credits | CLE credits also available
2015MAY 18-20 2015 MAYFLOWER HOTEL WASHINGTON DC
COMPLIANCE WEEK CELEBRATING 10 YEARS
POWERFUL INSIGHTS, PRACTICAL IDEAS, REAL SOLUTIONS
COMPLIANCE WEEK2015
@ CW_2015
2 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news.
First, the particulars about the conference itself. The conference will run from Monday, May 18,
through noon Wednesday, May 20, at the Mayflower Hotel in Washington, D.C. Hundreds of risk,
audit, and compliance professionals from corporations across the globe will be there, and our agenda
will span the whole range of issues you face.
Who will be speaking? Regulators from all the important agencies you worry about, certainly. More
important, however, are the dozens of compliance, ethics, and audit professionals who will be on
stage. These are your peers—practicing, in-house executives—talking about the most pressing issues
you all face.
We could not be more pleased with the range of organizations participating: Tyco, GE Capital, ITT,
Columbia Sportswear, LinkedIn, Kraft, Ford Motor, Continental AG, Kaiser Permanente, RockTenn,
21st Century Fox, MoneyGram, TD Bank, PepsiCo, Walmart, Northrop Grumman, Haier Group, 3M,
and many more. And that does not include the hundreds of others participating in the audience, with
peer networking at every turn.
Why attend? Either the jam-packed agenda (listed in detail on the following pages) or the high-quality
peer networking alone would justify your time and resources. The intangible combination of both,
however, is what really makes the Compliance Week annual conference so useful to attendees: a
chance to pause and see the larger picture of your profession and to share that experience with your
peers in this very fluid field. We’ve had a long history of achieving that over the last 10 years, and we
hope you’ll participate this year as well and make Compliance Week 2015 another success.
Your participation is always the heart of the Compliance Week conference, and we want you there.
Thank you, and we look forward to seeing you in Washington.
Join us in D.C. and help us celebrate our 10th anniversary!
Matt Kelly, Editor & Publisher
editor@complianceweek.com
WELCOME
KEYNOTE SPEAKERS
Justice Department Views
on Corporate Accountability
Leslie Caldwell
Assistant Attorney General
Criminal Division
U.S. Department of Justice
Donnie Smith
President & CEO
Tyson Foods
Leading Organizations to
Higher Standards
See Page 10 for a special discount
»
COMPLIANCE WEEK2015
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3 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news.
SOME OF OUR SPEAKERS
Bruce Anderson
Chief Ethics Officer
Health Net Inc.
Dan Demeritt
Director, Corporate
Responsibility & Quality
ITT Corp.
Katherine Kelton
VP, Compliance
Aramark
Stasia Kelly
Co-Managing Partner
(Americas)
DLA Piper
Ann E. Drew
Legal Director,
Corporate Compliance
WEX Inc.
Ronnie Kann
Managing Director
CEB
Marita Janiga
Executive Director,
Investigations
Kaiser Permanente
Robert Biskup
Director, Deloitte Forensic
Deloitte Financial Advisory
Services
Tim Bridgeford
Senior Corporate Counsel –
FCPA, Antitrust,
Investigations
Tyco
Carole Bovard
First Vice President,
Compliance
Options Clearing Corp.
Wayne Brody
Senior Member of the E&C
Advisory Practice
LRN
Ben Bard
VP, Global Chief
Compliance Officer
Archer Daniels Midland Co.
Ellen Hunt
Director, Ethics
& Compliance
AARP
Nilisha Agrawal
GRC Program Manager
Equinix
Matthew D’Ambrosio
SVP, Chief Compliance
and Ethics Officer
Sunovion Pharmaceuticals
Diane Brown
Vice President and Head of
Operations
NAVEX Global
Timur Khasanov-Batirov
Chief Compliance Officer
DTEK Corp.
Marie Blake
EVP & Chief Compliance
Officer
BankUnited
Cameron Jackson
GRC Manager
Columbia Sportswear Co.
Brett Ingerman
Partner
DLA Piper
Mike Lamberth
Managing Vice President,
Senior Compliance Officer
Capital One Financial
Carlos Garcia Jimenez
Compliance Counsel
Americas
TE Connectivity
Karen Griffin
Group Executive and Chief
Compliance Officer
MasterCard
Tim Hediger
Lead GRC Program
Administrator
GM Financial
Jim Halpert
Partner
DLA Piper
Donna Epps
Partner, Forensic & Dispute
Services
Deloitte Financial Advisory
Services
Luke Brussel
Anti-Corruption
Compliance Leader
GE Capital
Kevin Lane
Principal
Deloitte & Touche
COMPLIANCE WEEK2015
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4 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news.
SOME OF OUR SPEAKERS
Steve Liccione
Americas Director
of Compliance
Continental AG
Andrew Reisman
Senior Manager,
Fraud Investigation
& Dispute Services
EY
Daniel Trujillo
SVP & International Chief
Compliance Officer
Walmart International
Debra Torres
Chief Ethics & Compliance
Officer
PepsiCo
Raphael Richmond
Global Director
of Compliance
Ford Motor Co.
Dan Torpey
Partner
EY
Jennifer Tocci
SVP, Senior Compliance
Group Manager
TD Bank
Kirsten Liston
Vice President,
Learning Content Strategy
SAI Global
Julie Moriarty
General Manager, Training
& Communications Strategy
The Network Inc.
Maureen Mohlenkamp
Principal, Enterprise
Compliance Services
Deloitte
Page Motes
Director, Strategic Programs
Office - Global Ethics &
Compliance
Dell Corp.
Jimmy Lin
VP of Product Management
& Corporate Development
The Network Inc.
Mary Spencer
Director of Financial
Compliance
RockTenn Corp.
Steve Meadows
Chief Accounting Officer
RockTenn Corp.
Ricardo Pellafone
Assoc. GC and Director,
Global Investigations
Western Digital Corp.
Michelle Nichols
Senior Program Consultant
The Network Inc.
Courtney Wallize
Corporate Director,
Ethics and Business Conduct
Northrop Grumman Corp.
Brian Michael
Group Chief Compliance
Officer, Fox Networks
Group, and Deputy GC
21st Century Fox
Amyn Thawer
Head of Global
Compliance
LinkedIn Corp.
Christine Stickler
Asst. GC and Chief Ethics &
Compliance Officer
TE Connectivity
Jeffrey Wu
Director of Global Internal
Control & Audit
Haier Group
Diana Sands
SVP, Office of Internal
Governance
The Boeing Co.
Martha Sarra
VP & Chief Ethics and
Compliance Officer
The Kroger Co.
Phyllis Skene-Stimac
EVP and Chief Compliance
Officer
MoneyGram
Jim Savina
VP, Assoc. GC and Chief
Compliance Officer
Kraft Foods Group Inc.
Nicole Sandford
National Practice Leader of
Governance and Enterprise
Compliance Services
Deloitte & Touche
Thomas O’Reilly
Director of Internal Audit
Analog Devices Inc.
Jim Zappa
VP, Assoc. GC and
Chief Compliance Officer
3M Co.
COMPLIANCE WEEK2015
5 To see the latest Compliance Week 2015 agenda, visit our website at CONFERENCE.COMPLIANCEWEEK.COM
AGENDA
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8:30 - 9:30 AM
KEYNOTE PANEL | 10 Years On: Are We Defining ‘Effectiveness’ Correctly?
Effectiveness is a cornerstone of modern corporate compliance. Yet nobody is entirely sure that we
define it correctly, and arguments exist that we do not. Do we have the right standards? Are all our
program efforts actually working?
9:45 - 10:45 AM	
SESSION | Compliance Officer’s Role in Investigations and Discipline	
Take an in-depth look at your role in the investigation process: determining facts and culpability,
working with other departments to enforce any necessary discipline, and helping to ensure that busi-
ness operations continue after an incident has been closed.
9:45 - 10:45 AM	
SESSION | Developing the Right Strategy for GRC Implementation	
Oh, joy: The company has decided it needs an enterprise-wide GRC software system. Now what?
What input do you need from business unit leaders? What’s the working relationship between the
CCO and the IT department? What’s the strategy to accommodate future growth?
9:45 - 10:45 AM	
SESSION | Game On: The Future of e-Learning	
This session will explore how gamification and adaptive learning get employees to “pull” compli-
ance messages, rather than you “pushing.” Gamification builds on the brain’s natural tendency to
seek rewards, while adaptive learning addresses the needs and capacities of the individual learner.
The result: popular, participatory, individualized training.
9:45 - 10:45 AM	
CONVERSATION | FCPA Casework Update
Looking to get lost in the weeds of the Foreign Corrupt Practices Act? Join a small-room discussion
with your peers to dissect the latest FCPA enforcement cases: arguments prosecutors put forth, de-
fenses used, guidance cited, settlements reached, and courtroom battles fought.
9:45 - 10:45 AM
CONVERSATION	 | Global Track: Russia & Central Asia
Interested in what laws and regulations are in the works? What training tactics work best for local
workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions
and more are prime fodder for this conversation session focused on Russia and Central Asia.
11:05 AM - 12:05 PM
SESSION | Compliance Program and Effectiveness Assessment	
This session will give practical examples of how to measure and document your progress on various
compliance goals, both to prepare for regulators who may ask about effectiveness and to help a
compliance leader better allocate staff, budget, and other resources. This session will also discuss
relevant communications on effectiveness to the audit committee and other interested stakeholders.
11:05 AM - 12:05 PM
SESSION | Making Three Lines of Defense Work as a Compliance Strategy
The three lines of defense—business unit, compliance team, audit function—is all the rage these
days as a means to build compliance throughout a large enterprise. So how might that really work
in practice? This panel will look at how to assign responsibilities to each line of defense, create a
comprehensive view of risks, and develop an integrated management plan.
11:05 AM - 12:05 PM
SESSION | Working With the Sales Operation
This session will look at the compliance officer’s proper love and care for the sales function. What
input can you have for compensation and incentive programs? How do you investigate possible
misconduct, especially for top performers? How do you assess training needs and deliver curriculum
to match?
11:05 AM - 12:05 PM
CONVERSATION | Difficult Decisions in Investigations and Discipline
In a small group setting, continue the discussion begun in the earlier session and tackle the difficult
questions: What are the challenges with investigations involving high-level employees? How can
you reconcile varying privacy laws while conducting investigations outside the United States? When
it is appropriate to publicize disciplinary actions?
11:05 AM - 12:05 PM
DEMONSTRATION | E-Learning In Action
In this follow-up demonstration session, experience the next generation of E&C training: gamifica-
tion, adaptive learning, mobile, blended, and more. Discover new ways to reach your audience
that goes way beyond online training modules and PowerPoint presentations.
11:05 AM - 12:05 PM
CONVERSATION	 | Global Track: Africa & Middle East
Interested in what laws and regulations are in the works? What training tactics work best for local
workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions
and more are prime fodder for this conversation session focused on Africa and the Middle East.
M ON D AY, M AY 1 8 , 2 0 1 5
COMPLIANCE WEEK2015
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AGENDA
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1:45 - 2:45 PM	
SESSION | Assessing Your Risks in Antitrust
Antitrust compliance is a rapidly rising concern, and not just for one industry behemoth merging
with another. How do you digest international antitrust regulations and the conflicting legal concepts
behind them? How do you assemble an enterprise-wide sense of your exposure?
1:45 - 2:45 PM
SESSION | Effective Incident Reporting Systems
If designed without care, incident reporting systems can become cumbersome and ineffective. In this
session, explore how to implement a reporting system that’s both user-friendly and versatile enough
to accommodate various types of reports: hotline calls, e-mails, even knocks on the manager’s door.
1:45 - 2:45 PM
SESSION | A Tale of Cyber-Security Gone Awry
Attend this film screening of a fictional corporate drama that follows one company as it discovers how a seem-
ingly harmless, unsecured laptop leads to spiraling stock prices and a federal investigation—with lessons aplen-
ty for compliance executives, company leadership, and others with a stake in effective information security.
1:45 - 2:45 PM
CONVERSATION | Creating KPIs for Your Compliance Program
This small-room conversation session picks up where the morning’s panel discussion left off and
delves deeper into the practical aspects of assessing your program. Beyond measuring effective-
ness, what KPIs can help support the program? What specific metrics do your audit committee and
leadership need to see? What red flags should you be looking for in assessments?
1:45 - 2:45 PM
CONVERSATION | Nuts and Bolts of GRC Implementation
After attending the morning session on GRC implementation, take a deeper dive into the ins and outs
of the process. From creating work-flows and assigning tasks and responsibilities to creating KPIs
and measuring progress, share best practices and tips for a successful implementation.
1:45 - 2:45 PM
CONVERSATION | Second Lines, Third Lines, and Monitoring
This conversation session will consider where monitoring of third parties should fall in an effective
compliance program: with the compliance function? Internal audit? Using the Three Lines of Defense
model as a vehicle, we will examine this most elusive part of the compliance framework.
3:05 - 4:05 PM
SESSION | Globalizing Your Code of Conduct
This session will outline practical steps for implementing a global, enterprise-wide code, including
how to bring your code to life, creating an engaging awareness initiative, and best practices for
building broad organizational support.
3:05 - 4:05 PM
SESSION | Regulatory Change Management That Works
This session will consider not just how to track ever-changing regulations, but also how to assess their impact
on business processes, internal control, and employee training. What parts of regulatory change manage-
ment can you automate? How can you take an impact assessment and put a response plan into motion?
3:05 - 4:05 PM
SESSION | Assessing the ICFR Risks of Business Process Re-Engineering
Companies re-engineer business processes all the time: an enterprise-wide ERP installation, a con-
solidation of business units, a decision to outsource a function, and more. This session will walk
through the internal control implications and financial reporting risks.
3:05 - 4:05 PM
CONVERSATION | An In-Depth Look at Antitrust
Interested in a more extensive look at anti-trust issues companies face today as well as what looms
on the horizon? Join this small group follow-up to the session “Assessing Your Risks in Anti-Trust” for an
in-depth, closed door conversation. Come prepared to share your ideas as well as your concerns.
3:05 - 4:05 PM
DEMONSTRATION | Demystifying the Reporting Process
An employee sees misconduct and wants to report it anonymously. Does he or she know exactly what to
do—and what happens after a report is filed? This session will do a close walk-through of the best practices
in incident reporting, especially the role technology plays in capturing, cataloging, and investigating issues.
3:05 - 4:05 PM
CONVERSATION | Avoiding a Data Breach Meltdown for Business-Facing Companies
After screening of its fictional corporate drama, DLA Piper will host a follow-up discussion for busi-
ness-facing companies about how the chain of events portrayed in the film can be avoided. DLA
will explore what internal and third-party controls should be in place and how ethics & compliance
officers can train and educate stakeholders on the importance of data security before disaster strikes.
3:05 - 4:05 PM
CONVERSATION | Avoiding a Data Breach Meltdown for Consumer-Facing Companies
Compliance executives from consumer-facing companies have a chance to discuss the morning’s film
screening portraying the consequences of a data breach.
4:15 - 5:15 PM
KEYNOTE | Leading Organizations to Higher Standards
Donnie Smith, President & CEO, Tyson Foods
COMPLIANCE WEEK2015
7 To see the latest Compliance Week 2015 agenda, visit our website at CONFERENCE.COMPLIANCEWEEK.COM
AGENDA
@ CW_2015
TU ESD AY, M AY 1 9 , 2 0 1 5
8:45 - 9:30 AM
KEYNOTE | Justice Department Views on Corporate Accountability
Leslie Caldwell, Assistant Attorney General, Criminal Division, U.S. Department of Justice
9:45 - 10:45 AM	
SESSION | Moving From Compliance Programs to Enterprise Risk Management
How can you take the results of your standard annual compliance risk assessment and build a
stronger program of enterprise risk management? This session will discuss how you can move toward
ERM, in ways flexible enough to adapt with corporate strategy and measurable enough to let you
see progress.
9:45 - 10:45 AM	
SESSION | Case-Study in Case Management: Kaiser Permanente	
A systematic approach to managing issues at large organizations serves two purposes: It demon-
strates competence to regulators, auditors, and business partners, and it provides valuable insights
to help chief compliance officers improve their programs. This case study will walk through Kaiser
Permanente’s approach to case management, from in-take of calls to the hotline to investigations to
case disposition and documentation.
9:45 - 10:45 AM
SESSION | Managing FCPA Audits on a Global Scale
Learn how one company developed its FCPA audit process to assess and uncover bribery risks—
from planning and collection of data, to analyzing that information and flagging FCPA concerns that
merit more formal investigation.
9:45 - 10:45 AM	
CONVERSATION | Honing the Compliance Risk Assessment
While a comprehensive and repeatable compliance risk assessment is the foundation to a strong
compliance program, many companies still struggle to implement one in a sustainable way. This
session will examine a number of best practices and tools to address this challenge.
9:45 - 10:45 AM	
CONVERSATION | Sales as E&C Program Partners
Take a different look at the sales function in your organization: as partners for your E&C program.
How can you recruit the salespeople in your company to “sell” E&C, or at the very least, buy-in?
How can you frame the program in a way that they see it as a positive and not an obstacle?
9:45 - 10:45 AM	
DEMONSTRATION | Creating an Interactive Code of Conduct
Join The Network in this demonstration session to see the “next generation” of codes: ones that em-
brace interactive online experiences, mobile devices, cultural nuances, and risk-specific priorities.
See how a more engaging code can work with Millennials and overseas employees and translate
to easier training and reporting as well.
11:05 AM - 12:05 PM
SESSION | Compliance Trends Report 2015
Join Deloitte and Compliance Week as we present the findings of our annual Compliance Trends
report, a survey to benchmark compliance operations at the modern enterprise. Hear about current
budget and staffing levels, as well as emerging trends in reporting structures, use of technology,
risks confronting the enterprise, and strategies to address them. Copies of the 2015 report will be
available in advance.
11:05 AM - 12:05 PM
SESSION | Re-Invigorating SOX Compliance: All About Project Management
RockTenn recently embarked on a new approach to its annual Sarbanes-Oxley program. In this ses-
sion, top financial reporting executives will give a case study of how they developed this approach
in conjunction with the company’s various division financial teams, internal audit, and the external
auditors, using project management skills and tools.
11:05 AM - 12:05 PM
SESSION | Building Effective Training Programs
Successful compliance training programs work on three principles: they clearly connect regulatory
requirements to your curriculum; they deliver training as part of a broader learning program; and
they use a structure where compliance, HR, and workforce development teams all work together.
This session will offer specific examples from highly regulated businesses with complex compliance
needs, showing how training can work efficiently and effectively.
11:05 AM - 12:05 PM
CONVERSATION | Bringing AML Into the Compliance Family
Anti-money laundering risk has soared in recent years as governments around the world step up their
scrutiny of cross-border cash flows and more companies in more industries now face AML reporting
obligations. This workshop will explore how to bring AML compliance “into the family” of enterprise
risk, building on existing compliance operations and experience for speed and efficiency.
COMPLIANCE WEEK2015
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AGENDA
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11:05 AM - 12:05 PM
CONVERSATION | Global Track: Latin America
Interested in what laws and regulations are in the works? What training tactics work best for local
workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions
and more are prime fodder for this conversation session focused on Latin America.
1:15 - 2:15 PM
SESSION | Developing an Integrated Compliance Program
More now than ever, focus is heightened on corporate compliance oversight as fines, penalties,
and reputation risk continue to increase. This session will discuss how you can establish a corporate
compliance framework to facilitate the transition from disaggregated, decentralized compliance
activities to an integrated approach that will allow for more streamlined compliance monitoring,
testing, and reporting.
1:15 - 2:15 PM
SESSION | Building the Business Case for Compliance
Too often, even today, compliance officers must still build a compelling business case for why the
company should invest in a compliance program, and this session will consider how a CCO can
do that: demonstrating ROI, compiling benchmarking data from peers’ compliance programs, and
showing how compliance can improve business operations.
1:15 - 2:15 PM
SESSION | From Compliance Training to Compliance Leadership
Compliance training works well but clearly only goes so far, given the persistent problem of corpo-
rate misconduct. How do you move beyond the online webinars and the skits at sales conferences
to embed respect for compliance and ethics into employees’ day-to-day work? This session will look
at compliance training as a subset of leadership development and as a building block for creating
a global set of company values.
1:15 - 2:15 PM
CONVERSATION | Global Track: India
Interested in what laws and regulations are in the works? What training tactics work best for local
workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions
and more are prime fodder for this conversation session focused on India.
1:15 - 2:15 PM
CONVERSATION | Anticipating Training Program Pitfalls
So you have created a great training program that is comprehensive and tailored to employee risk
profiles and positions. But what are the pain points many compliance officers overlook? After attend-
ing the morning’s session “Building Effective Training Programs,” join a small group of your peers to
share your insights with managing a complex training program.
2:40 - 3:40 PM
SESSION | Stitching the Silos Together Into Enterprise-Wide Compliance
Most companies have pockets of hard-working compliance teams scattered across the business:
environmental, tax, health & safety, and so forth. How does a compliance leader bring multiple
efforts together into one corporate compliance program? This session will cover the “silo inventory”
you take to understand what is already happening and the techniques to centralize oversight and
improve reporting.
2:40 - 3:40 PM
SESSION | Smarter Risk Analysis in the Era of Big Analytics
The explosion of corporate data, and a company’s ability to analyze it all, has profound implica-
tions for corporations trying to identify possible fraud, weak spots in supply chains, or evidence to
support an investigation. This session will look at new ways to employ “big analytics” for sharper
insight into risk areas.
2:40 - 3:40 PM
SESSION | Getting a Stronger Grasp on Vendor Risks
Poor oversight of vendors is an excellent way to increase corruption, sanctions, and tax risks, among
others. This session will review ways to move beyond mere assessment of vendor risks to implement
better systems to manage those risks: how to collaborate with audit and business unit leaders, how
to achieve more continuous monitoring, and how to respond quickly when a vendor’s risks get too
high.
2:40 - 3:40 PM
CONVERSATION | Global Track: China
Interested in what laws and regulations are in the works? What training tactics work best for local
workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions
and more are prime fodder for this conversation session focused on China.
2:40 - 3:40 PM
CONVERSATION | Overcoming Objections to the Business Case
After creating the business case for your compliance program, what push back and difficult ques-
tions are you likely to encounter? And what are real-world examples of overcoming these obstacles?
Share your experiences and war stories in this small group follow-up to “Creating the Business Case”
session.
4:00 - 5:00 PM
KEYNOTE PANEL | To be announced
COMPLIANCE WEEK2015
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AGENDA
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W ED N ESD AY, M AY 2 0 , 2 0 1 5
8:30 - 9:30 AM
SESSION | Taking the Driver’s Seat: Becoming the New CCO
Whether you are building a new compliance function or taking over an existing office, your job is
to lead and make an impact. How do you decide your priorities? How do you set the right com-
pliance strategy and put it into practice? How do you measure your progress over time? Discover
lessons learned from several CCOs who arrived as the top compliance executives at their new
companies.
8:30 - 9:30 AM
SESSION | A New Look at FCPA Enforcement
Join representatives from the Justice Department and SEC Enforcement Division as we take an up-
dated look at FCPA enforcement: lessons learned from recent settlements, of course, and also other
practical advice on self-disclosure, cooperation credit, good-faith efforts under the U.S. Sentencing
Guidelines, and the like.
8:30 - 9:30 AM
CONVERSATION | Managing Compliance Throughout the Company
As a follow-up to Tuesday’s “Stitching the Silos” session, share your experiences and challenges with
managing an enterprise-wide compliance effort. Who should be included in the oversight commit-
tee? How do you balance a sense of ownership and cooperation? What metrics should be shared?
9:45 -10:40 AM
KEYNOTE PANEL | Ethics & Compliance Leadership 3.0
Ethics and compliance officers need an effective profession every bit as much as an effective pro-
gram. But what are the most important skills and competencies for a compliance professional—from
your point of view, and from other senior executives you work with? In this session we will look at
fresh research addressing how to cultivate attributes crucial to being a leader. This session will be
part inspiration and part aspiration, as we share thoughts on not only how to elevate the profession
but ourselves.
10:45 -11:40 AM
KEYNOTE PANEL | Is Orange the New Black for CCOs?
A compliance failure in your organization can feel like a personal and professional failure. Now
could it also end up in jail time and financial ruin? Compliance Week 2015 closes with an exami-
nation of compliance executive liability, including case precedence, E&O coverage, and what you
should be doing to protect yourself. We will also look at the potential effect this trend may have on
the profession itself.
11:40 - 11:45 AM	
CONFERENCE CLOSING
COMPLIANCE WEEK2015
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RE GISTRATION
Cancellation or substitution notice must be given by calling 888-519-9200 or by e-mail to info@complianceweek.com. Cancellations received on or before March 6, 2015,
will incur a $500 cancellation fee. No refunds will be given after March 6, 2015. Substitute attendees will be permitted if notice is given by April 30, 2015.
CONFERENCE RATES
REGISTER NOW: conference.complianceweek.com/register
RATE ADVANCE REGISTRATION (expires 3/31) FULL
CW SUBSCRIBER $1,645 $ 1,795
NON-SUBSCRIBER $1,845 $ 1,995
GROUP RATE (2-5) $1,595 $ 1,695
GROUP RATE (6+) $1,495 $ 1,595
JAM-PACKED AGENDA
Over a three-day period, you will learn about the latest
challenges, and solutions, in audit, risk, compliance, ethics,
and corporate governance.
HIGH-QUALITY PEER NETWORKING
The hallmark of Compliance Week events, there will be
numerous opportunities at Compliance Week 2015 to meet
and network with fellow attendees and conference speakers.
CONTINUING EDUCATION CREDITS
Conference attendees can earn 19 CPE credits.
CLE credits also availlable.
EXPERIENCING WASHINGTON D.C.
One of the most historic cities in the world, experience
the nation’s capital by visiting its concentration of cultural
institutions, historic landmarks, and iconic memorials.
WHY YOU SHOULD ATTEND JOIN YOUR PEERS FROM
3M
Aramark
BankUnited
Bechtel
Biogen Idec
Boeing
Capital One
CarMax
Caterpillar
Cigna
Coach
Comlink
Crane & Co.
Dell
DeVry
DIRECTV
DTEK Energy
Dunkin’ Brands
Eaton
EMD Millipore
Equinix
Exelon
FedEx
Ford Motor
GE Capital
Genesis Energy
GM Financial
Health Net
HSBC Bank
IBM
Intuit
ITT
Kraft
L Brands
LinkedIn
Lockheed Martin
MasterCard
MoneyGram
Novo Nordisk
Omnicom
Parker Hannifin
PepsiCo
Plantronics
Raytheon
Rite Aid
Ryder System
Stryker
Systemax
Target
TD Bank
TJX
Tyco
U of Colorado
US Foods
Verizon
Walmart
WEX
Willis
Yazaki
and many more…
»
»
»
»
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VENUE Mayflower Renaissance, located at 1127 Connecticut Ave NW, Washington, D.C. 20036.
HOTEL Compliance Week is pleased to offer conference attendees a discounted rate of $340/night (regular
$479/night) for their stay at the Mayflower Renaissance. To reserve a room at these rates, call 877-212-5752
and ask for the Compliance Week 2015 Meeting Room Block. The room block ends April 17 or when rooms
sell out.
AIR The closest airport to the Mayflower Renaissance is Reagan National Airport. Other options include Dulles
International Airport, and Baltimore-Washington Airport.
RAIL Amtrak has multiple daily trips into Washington, D.C. To book your rail travel for Compliance Week 2015 please visit www.amtrak.com. To
take advantage of a 10 percent discount, book your rail travel for Compliance Week 2015 at www.amtrak.com or call 800-872-7245 and use
Fare Code Number: X19W-925.
L O CATION
M St NW
Sumner Row NW
De Sales St NW
De Sales Row NW
M St NW
Rhode Island Ave NW
L St NW
17thStNW
18thStNW
19thStNW
L St NW
ConnecticutAveNW
MAYFLOWER RENAISSANCE
1127 Connecticut Ave NW
Washington, DC 20036
877-212-5752
COMPLIANCE WEEK2015
@ CW_2015
12 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news.
MO RE INFO
SAVE THE DATE!
Rebecca Smith for Registration Inquiries
rebecca.smith@complianceweek.com
Maria Sonin for Speaker/Agenda Inquiries
maria.sonin@complianceweek.com
Donna Rice for Sponsorship Inquiries
donna.rice@complianceweek.com
COMPLIANCE WEEK 2015 IS PROUDLY SPONSORED BY
CONTACT INFORMATION
26- 27 O CTOBER 2015 BRUSSELS MARRIOTT
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complianceweek2015_agenda_brochure

  • 1. REGISTER AT CONFERENCE.COMPLIANCEWEEK.COM ETHICS INTERNAL CONTROL COMPLIANCE PROGRAMS PRIVACY FINANCIAL REPORTING INTERNATIONAL REGULATIONS INVESTIGATIONS AUDIT COMMITTEES See agenda pages 5-9 TOPICS Earn 19 CPE credits | CLE credits also available 2015MAY 18-20 2015 MAYFLOWER HOTEL WASHINGTON DC COMPLIANCE WEEK CELEBRATING 10 YEARS POWERFUL INSIGHTS, PRACTICAL IDEAS, REAL SOLUTIONS
  • 2. COMPLIANCE WEEK2015 @ CW_2015 2 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news. First, the particulars about the conference itself. The conference will run from Monday, May 18, through noon Wednesday, May 20, at the Mayflower Hotel in Washington, D.C. Hundreds of risk, audit, and compliance professionals from corporations across the globe will be there, and our agenda will span the whole range of issues you face. Who will be speaking? Regulators from all the important agencies you worry about, certainly. More important, however, are the dozens of compliance, ethics, and audit professionals who will be on stage. These are your peers—practicing, in-house executives—talking about the most pressing issues you all face. We could not be more pleased with the range of organizations participating: Tyco, GE Capital, ITT, Columbia Sportswear, LinkedIn, Kraft, Ford Motor, Continental AG, Kaiser Permanente, RockTenn, 21st Century Fox, MoneyGram, TD Bank, PepsiCo, Walmart, Northrop Grumman, Haier Group, 3M, and many more. And that does not include the hundreds of others participating in the audience, with peer networking at every turn. Why attend? Either the jam-packed agenda (listed in detail on the following pages) or the high-quality peer networking alone would justify your time and resources. The intangible combination of both, however, is what really makes the Compliance Week annual conference so useful to attendees: a chance to pause and see the larger picture of your profession and to share that experience with your peers in this very fluid field. We’ve had a long history of achieving that over the last 10 years, and we hope you’ll participate this year as well and make Compliance Week 2015 another success. Your participation is always the heart of the Compliance Week conference, and we want you there. Thank you, and we look forward to seeing you in Washington. Join us in D.C. and help us celebrate our 10th anniversary! Matt Kelly, Editor & Publisher editor@complianceweek.com WELCOME KEYNOTE SPEAKERS Justice Department Views on Corporate Accountability Leslie Caldwell Assistant Attorney General Criminal Division U.S. Department of Justice Donnie Smith President & CEO Tyson Foods Leading Organizations to Higher Standards See Page 10 for a special discount »
  • 3. COMPLIANCE WEEK2015 @ CW_2015 3 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news. SOME OF OUR SPEAKERS Bruce Anderson Chief Ethics Officer Health Net Inc. Dan Demeritt Director, Corporate Responsibility & Quality ITT Corp. Katherine Kelton VP, Compliance Aramark Stasia Kelly Co-Managing Partner (Americas) DLA Piper Ann E. Drew Legal Director, Corporate Compliance WEX Inc. Ronnie Kann Managing Director CEB Marita Janiga Executive Director, Investigations Kaiser Permanente Robert Biskup Director, Deloitte Forensic Deloitte Financial Advisory Services Tim Bridgeford Senior Corporate Counsel – FCPA, Antitrust, Investigations Tyco Carole Bovard First Vice President, Compliance Options Clearing Corp. Wayne Brody Senior Member of the E&C Advisory Practice LRN Ben Bard VP, Global Chief Compliance Officer Archer Daniels Midland Co. Ellen Hunt Director, Ethics & Compliance AARP Nilisha Agrawal GRC Program Manager Equinix Matthew D’Ambrosio SVP, Chief Compliance and Ethics Officer Sunovion Pharmaceuticals Diane Brown Vice President and Head of Operations NAVEX Global Timur Khasanov-Batirov Chief Compliance Officer DTEK Corp. Marie Blake EVP & Chief Compliance Officer BankUnited Cameron Jackson GRC Manager Columbia Sportswear Co. Brett Ingerman Partner DLA Piper Mike Lamberth Managing Vice President, Senior Compliance Officer Capital One Financial Carlos Garcia Jimenez Compliance Counsel Americas TE Connectivity Karen Griffin Group Executive and Chief Compliance Officer MasterCard Tim Hediger Lead GRC Program Administrator GM Financial Jim Halpert Partner DLA Piper Donna Epps Partner, Forensic & Dispute Services Deloitte Financial Advisory Services Luke Brussel Anti-Corruption Compliance Leader GE Capital Kevin Lane Principal Deloitte & Touche
  • 4. COMPLIANCE WEEK2015 @ CW_2015 4 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news. SOME OF OUR SPEAKERS Steve Liccione Americas Director of Compliance Continental AG Andrew Reisman Senior Manager, Fraud Investigation & Dispute Services EY Daniel Trujillo SVP & International Chief Compliance Officer Walmart International Debra Torres Chief Ethics & Compliance Officer PepsiCo Raphael Richmond Global Director of Compliance Ford Motor Co. Dan Torpey Partner EY Jennifer Tocci SVP, Senior Compliance Group Manager TD Bank Kirsten Liston Vice President, Learning Content Strategy SAI Global Julie Moriarty General Manager, Training & Communications Strategy The Network Inc. Maureen Mohlenkamp Principal, Enterprise Compliance Services Deloitte Page Motes Director, Strategic Programs Office - Global Ethics & Compliance Dell Corp. Jimmy Lin VP of Product Management & Corporate Development The Network Inc. Mary Spencer Director of Financial Compliance RockTenn Corp. Steve Meadows Chief Accounting Officer RockTenn Corp. Ricardo Pellafone Assoc. GC and Director, Global Investigations Western Digital Corp. Michelle Nichols Senior Program Consultant The Network Inc. Courtney Wallize Corporate Director, Ethics and Business Conduct Northrop Grumman Corp. Brian Michael Group Chief Compliance Officer, Fox Networks Group, and Deputy GC 21st Century Fox Amyn Thawer Head of Global Compliance LinkedIn Corp. Christine Stickler Asst. GC and Chief Ethics & Compliance Officer TE Connectivity Jeffrey Wu Director of Global Internal Control & Audit Haier Group Diana Sands SVP, Office of Internal Governance The Boeing Co. Martha Sarra VP & Chief Ethics and Compliance Officer The Kroger Co. Phyllis Skene-Stimac EVP and Chief Compliance Officer MoneyGram Jim Savina VP, Assoc. GC and Chief Compliance Officer Kraft Foods Group Inc. Nicole Sandford National Practice Leader of Governance and Enterprise Compliance Services Deloitte & Touche Thomas O’Reilly Director of Internal Audit Analog Devices Inc. Jim Zappa VP, Assoc. GC and Chief Compliance Officer 3M Co.
  • 5. COMPLIANCE WEEK2015 5 To see the latest Compliance Week 2015 agenda, visit our website at CONFERENCE.COMPLIANCEWEEK.COM AGENDA @ CW_2015 8:30 - 9:30 AM KEYNOTE PANEL | 10 Years On: Are We Defining ‘Effectiveness’ Correctly? Effectiveness is a cornerstone of modern corporate compliance. Yet nobody is entirely sure that we define it correctly, and arguments exist that we do not. Do we have the right standards? Are all our program efforts actually working? 9:45 - 10:45 AM SESSION | Compliance Officer’s Role in Investigations and Discipline Take an in-depth look at your role in the investigation process: determining facts and culpability, working with other departments to enforce any necessary discipline, and helping to ensure that busi- ness operations continue after an incident has been closed. 9:45 - 10:45 AM SESSION | Developing the Right Strategy for GRC Implementation Oh, joy: The company has decided it needs an enterprise-wide GRC software system. Now what? What input do you need from business unit leaders? What’s the working relationship between the CCO and the IT department? What’s the strategy to accommodate future growth? 9:45 - 10:45 AM SESSION | Game On: The Future of e-Learning This session will explore how gamification and adaptive learning get employees to “pull” compli- ance messages, rather than you “pushing.” Gamification builds on the brain’s natural tendency to seek rewards, while adaptive learning addresses the needs and capacities of the individual learner. The result: popular, participatory, individualized training. 9:45 - 10:45 AM CONVERSATION | FCPA Casework Update Looking to get lost in the weeds of the Foreign Corrupt Practices Act? Join a small-room discussion with your peers to dissect the latest FCPA enforcement cases: arguments prosecutors put forth, de- fenses used, guidance cited, settlements reached, and courtroom battles fought. 9:45 - 10:45 AM CONVERSATION | Global Track: Russia & Central Asia Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation session focused on Russia and Central Asia. 11:05 AM - 12:05 PM SESSION | Compliance Program and Effectiveness Assessment This session will give practical examples of how to measure and document your progress on various compliance goals, both to prepare for regulators who may ask about effectiveness and to help a compliance leader better allocate staff, budget, and other resources. This session will also discuss relevant communications on effectiveness to the audit committee and other interested stakeholders. 11:05 AM - 12:05 PM SESSION | Making Three Lines of Defense Work as a Compliance Strategy The three lines of defense—business unit, compliance team, audit function—is all the rage these days as a means to build compliance throughout a large enterprise. So how might that really work in practice? This panel will look at how to assign responsibilities to each line of defense, create a comprehensive view of risks, and develop an integrated management plan. 11:05 AM - 12:05 PM SESSION | Working With the Sales Operation This session will look at the compliance officer’s proper love and care for the sales function. What input can you have for compensation and incentive programs? How do you investigate possible misconduct, especially for top performers? How do you assess training needs and deliver curriculum to match? 11:05 AM - 12:05 PM CONVERSATION | Difficult Decisions in Investigations and Discipline In a small group setting, continue the discussion begun in the earlier session and tackle the difficult questions: What are the challenges with investigations involving high-level employees? How can you reconcile varying privacy laws while conducting investigations outside the United States? When it is appropriate to publicize disciplinary actions? 11:05 AM - 12:05 PM DEMONSTRATION | E-Learning In Action In this follow-up demonstration session, experience the next generation of E&C training: gamifica- tion, adaptive learning, mobile, blended, and more. Discover new ways to reach your audience that goes way beyond online training modules and PowerPoint presentations. 11:05 AM - 12:05 PM CONVERSATION | Global Track: Africa & Middle East Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation session focused on Africa and the Middle East. M ON D AY, M AY 1 8 , 2 0 1 5
  • 6. COMPLIANCE WEEK2015 6 To see the latest Compliance Week 2015 agenda, visit our website at CONFERENCE.COMPLIANCEWEEK.COM AGENDA @ CW_2015 1:45 - 2:45 PM SESSION | Assessing Your Risks in Antitrust Antitrust compliance is a rapidly rising concern, and not just for one industry behemoth merging with another. How do you digest international antitrust regulations and the conflicting legal concepts behind them? How do you assemble an enterprise-wide sense of your exposure? 1:45 - 2:45 PM SESSION | Effective Incident Reporting Systems If designed without care, incident reporting systems can become cumbersome and ineffective. In this session, explore how to implement a reporting system that’s both user-friendly and versatile enough to accommodate various types of reports: hotline calls, e-mails, even knocks on the manager’s door. 1:45 - 2:45 PM SESSION | A Tale of Cyber-Security Gone Awry Attend this film screening of a fictional corporate drama that follows one company as it discovers how a seem- ingly harmless, unsecured laptop leads to spiraling stock prices and a federal investigation—with lessons aplen- ty for compliance executives, company leadership, and others with a stake in effective information security. 1:45 - 2:45 PM CONVERSATION | Creating KPIs for Your Compliance Program This small-room conversation session picks up where the morning’s panel discussion left off and delves deeper into the practical aspects of assessing your program. Beyond measuring effective- ness, what KPIs can help support the program? What specific metrics do your audit committee and leadership need to see? What red flags should you be looking for in assessments? 1:45 - 2:45 PM CONVERSATION | Nuts and Bolts of GRC Implementation After attending the morning session on GRC implementation, take a deeper dive into the ins and outs of the process. From creating work-flows and assigning tasks and responsibilities to creating KPIs and measuring progress, share best practices and tips for a successful implementation. 1:45 - 2:45 PM CONVERSATION | Second Lines, Third Lines, and Monitoring This conversation session will consider where monitoring of third parties should fall in an effective compliance program: with the compliance function? Internal audit? Using the Three Lines of Defense model as a vehicle, we will examine this most elusive part of the compliance framework. 3:05 - 4:05 PM SESSION | Globalizing Your Code of Conduct This session will outline practical steps for implementing a global, enterprise-wide code, including how to bring your code to life, creating an engaging awareness initiative, and best practices for building broad organizational support. 3:05 - 4:05 PM SESSION | Regulatory Change Management That Works This session will consider not just how to track ever-changing regulations, but also how to assess their impact on business processes, internal control, and employee training. What parts of regulatory change manage- ment can you automate? How can you take an impact assessment and put a response plan into motion? 3:05 - 4:05 PM SESSION | Assessing the ICFR Risks of Business Process Re-Engineering Companies re-engineer business processes all the time: an enterprise-wide ERP installation, a con- solidation of business units, a decision to outsource a function, and more. This session will walk through the internal control implications and financial reporting risks. 3:05 - 4:05 PM CONVERSATION | An In-Depth Look at Antitrust Interested in a more extensive look at anti-trust issues companies face today as well as what looms on the horizon? Join this small group follow-up to the session “Assessing Your Risks in Anti-Trust” for an in-depth, closed door conversation. Come prepared to share your ideas as well as your concerns. 3:05 - 4:05 PM DEMONSTRATION | Demystifying the Reporting Process An employee sees misconduct and wants to report it anonymously. Does he or she know exactly what to do—and what happens after a report is filed? This session will do a close walk-through of the best practices in incident reporting, especially the role technology plays in capturing, cataloging, and investigating issues. 3:05 - 4:05 PM CONVERSATION | Avoiding a Data Breach Meltdown for Business-Facing Companies After screening of its fictional corporate drama, DLA Piper will host a follow-up discussion for busi- ness-facing companies about how the chain of events portrayed in the film can be avoided. DLA will explore what internal and third-party controls should be in place and how ethics & compliance officers can train and educate stakeholders on the importance of data security before disaster strikes. 3:05 - 4:05 PM CONVERSATION | Avoiding a Data Breach Meltdown for Consumer-Facing Companies Compliance executives from consumer-facing companies have a chance to discuss the morning’s film screening portraying the consequences of a data breach. 4:15 - 5:15 PM KEYNOTE | Leading Organizations to Higher Standards Donnie Smith, President & CEO, Tyson Foods
  • 7. COMPLIANCE WEEK2015 7 To see the latest Compliance Week 2015 agenda, visit our website at CONFERENCE.COMPLIANCEWEEK.COM AGENDA @ CW_2015 TU ESD AY, M AY 1 9 , 2 0 1 5 8:45 - 9:30 AM KEYNOTE | Justice Department Views on Corporate Accountability Leslie Caldwell, Assistant Attorney General, Criminal Division, U.S. Department of Justice 9:45 - 10:45 AM SESSION | Moving From Compliance Programs to Enterprise Risk Management How can you take the results of your standard annual compliance risk assessment and build a stronger program of enterprise risk management? This session will discuss how you can move toward ERM, in ways flexible enough to adapt with corporate strategy and measurable enough to let you see progress. 9:45 - 10:45 AM SESSION | Case-Study in Case Management: Kaiser Permanente A systematic approach to managing issues at large organizations serves two purposes: It demon- strates competence to regulators, auditors, and business partners, and it provides valuable insights to help chief compliance officers improve their programs. This case study will walk through Kaiser Permanente’s approach to case management, from in-take of calls to the hotline to investigations to case disposition and documentation. 9:45 - 10:45 AM SESSION | Managing FCPA Audits on a Global Scale Learn how one company developed its FCPA audit process to assess and uncover bribery risks— from planning and collection of data, to analyzing that information and flagging FCPA concerns that merit more formal investigation. 9:45 - 10:45 AM CONVERSATION | Honing the Compliance Risk Assessment While a comprehensive and repeatable compliance risk assessment is the foundation to a strong compliance program, many companies still struggle to implement one in a sustainable way. This session will examine a number of best practices and tools to address this challenge. 9:45 - 10:45 AM CONVERSATION | Sales as E&C Program Partners Take a different look at the sales function in your organization: as partners for your E&C program. How can you recruit the salespeople in your company to “sell” E&C, or at the very least, buy-in? How can you frame the program in a way that they see it as a positive and not an obstacle? 9:45 - 10:45 AM DEMONSTRATION | Creating an Interactive Code of Conduct Join The Network in this demonstration session to see the “next generation” of codes: ones that em- brace interactive online experiences, mobile devices, cultural nuances, and risk-specific priorities. See how a more engaging code can work with Millennials and overseas employees and translate to easier training and reporting as well. 11:05 AM - 12:05 PM SESSION | Compliance Trends Report 2015 Join Deloitte and Compliance Week as we present the findings of our annual Compliance Trends report, a survey to benchmark compliance operations at the modern enterprise. Hear about current budget and staffing levels, as well as emerging trends in reporting structures, use of technology, risks confronting the enterprise, and strategies to address them. Copies of the 2015 report will be available in advance. 11:05 AM - 12:05 PM SESSION | Re-Invigorating SOX Compliance: All About Project Management RockTenn recently embarked on a new approach to its annual Sarbanes-Oxley program. In this ses- sion, top financial reporting executives will give a case study of how they developed this approach in conjunction with the company’s various division financial teams, internal audit, and the external auditors, using project management skills and tools. 11:05 AM - 12:05 PM SESSION | Building Effective Training Programs Successful compliance training programs work on three principles: they clearly connect regulatory requirements to your curriculum; they deliver training as part of a broader learning program; and they use a structure where compliance, HR, and workforce development teams all work together. This session will offer specific examples from highly regulated businesses with complex compliance needs, showing how training can work efficiently and effectively. 11:05 AM - 12:05 PM CONVERSATION | Bringing AML Into the Compliance Family Anti-money laundering risk has soared in recent years as governments around the world step up their scrutiny of cross-border cash flows and more companies in more industries now face AML reporting obligations. This workshop will explore how to bring AML compliance “into the family” of enterprise risk, building on existing compliance operations and experience for speed and efficiency.
  • 8. COMPLIANCE WEEK2015 8 To see the latest Compliance Week 2015 agenda, visit our website at CONFERENCE.COMPLIANCEWEEK.COM AGENDA @ CW_2015 11:05 AM - 12:05 PM CONVERSATION | Global Track: Latin America Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation session focused on Latin America. 1:15 - 2:15 PM SESSION | Developing an Integrated Compliance Program More now than ever, focus is heightened on corporate compliance oversight as fines, penalties, and reputation risk continue to increase. This session will discuss how you can establish a corporate compliance framework to facilitate the transition from disaggregated, decentralized compliance activities to an integrated approach that will allow for more streamlined compliance monitoring, testing, and reporting. 1:15 - 2:15 PM SESSION | Building the Business Case for Compliance Too often, even today, compliance officers must still build a compelling business case for why the company should invest in a compliance program, and this session will consider how a CCO can do that: demonstrating ROI, compiling benchmarking data from peers’ compliance programs, and showing how compliance can improve business operations. 1:15 - 2:15 PM SESSION | From Compliance Training to Compliance Leadership Compliance training works well but clearly only goes so far, given the persistent problem of corpo- rate misconduct. How do you move beyond the online webinars and the skits at sales conferences to embed respect for compliance and ethics into employees’ day-to-day work? This session will look at compliance training as a subset of leadership development and as a building block for creating a global set of company values. 1:15 - 2:15 PM CONVERSATION | Global Track: India Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation session focused on India. 1:15 - 2:15 PM CONVERSATION | Anticipating Training Program Pitfalls So you have created a great training program that is comprehensive and tailored to employee risk profiles and positions. But what are the pain points many compliance officers overlook? After attend- ing the morning’s session “Building Effective Training Programs,” join a small group of your peers to share your insights with managing a complex training program. 2:40 - 3:40 PM SESSION | Stitching the Silos Together Into Enterprise-Wide Compliance Most companies have pockets of hard-working compliance teams scattered across the business: environmental, tax, health & safety, and so forth. How does a compliance leader bring multiple efforts together into one corporate compliance program? This session will cover the “silo inventory” you take to understand what is already happening and the techniques to centralize oversight and improve reporting. 2:40 - 3:40 PM SESSION | Smarter Risk Analysis in the Era of Big Analytics The explosion of corporate data, and a company’s ability to analyze it all, has profound implica- tions for corporations trying to identify possible fraud, weak spots in supply chains, or evidence to support an investigation. This session will look at new ways to employ “big analytics” for sharper insight into risk areas. 2:40 - 3:40 PM SESSION | Getting a Stronger Grasp on Vendor Risks Poor oversight of vendors is an excellent way to increase corruption, sanctions, and tax risks, among others. This session will review ways to move beyond mere assessment of vendor risks to implement better systems to manage those risks: how to collaborate with audit and business unit leaders, how to achieve more continuous monitoring, and how to respond quickly when a vendor’s risks get too high. 2:40 - 3:40 PM CONVERSATION | Global Track: China Interested in what laws and regulations are in the works? What training tactics work best for local workforces? Which cultural differences can cause the biggest risks or mis-steps? All those questions and more are prime fodder for this conversation session focused on China. 2:40 - 3:40 PM CONVERSATION | Overcoming Objections to the Business Case After creating the business case for your compliance program, what push back and difficult ques- tions are you likely to encounter? And what are real-world examples of overcoming these obstacles? Share your experiences and war stories in this small group follow-up to “Creating the Business Case” session. 4:00 - 5:00 PM KEYNOTE PANEL | To be announced
  • 9. COMPLIANCE WEEK2015 9 To see the latest Compliance Week 2015 agenda, visit our website at CONFERENCE.COMPLIANCEWEEK.COM AGENDA @ CW_2015 W ED N ESD AY, M AY 2 0 , 2 0 1 5 8:30 - 9:30 AM SESSION | Taking the Driver’s Seat: Becoming the New CCO Whether you are building a new compliance function or taking over an existing office, your job is to lead and make an impact. How do you decide your priorities? How do you set the right com- pliance strategy and put it into practice? How do you measure your progress over time? Discover lessons learned from several CCOs who arrived as the top compliance executives at their new companies. 8:30 - 9:30 AM SESSION | A New Look at FCPA Enforcement Join representatives from the Justice Department and SEC Enforcement Division as we take an up- dated look at FCPA enforcement: lessons learned from recent settlements, of course, and also other practical advice on self-disclosure, cooperation credit, good-faith efforts under the U.S. Sentencing Guidelines, and the like. 8:30 - 9:30 AM CONVERSATION | Managing Compliance Throughout the Company As a follow-up to Tuesday’s “Stitching the Silos” session, share your experiences and challenges with managing an enterprise-wide compliance effort. Who should be included in the oversight commit- tee? How do you balance a sense of ownership and cooperation? What metrics should be shared? 9:45 -10:40 AM KEYNOTE PANEL | Ethics & Compliance Leadership 3.0 Ethics and compliance officers need an effective profession every bit as much as an effective pro- gram. But what are the most important skills and competencies for a compliance professional—from your point of view, and from other senior executives you work with? In this session we will look at fresh research addressing how to cultivate attributes crucial to being a leader. This session will be part inspiration and part aspiration, as we share thoughts on not only how to elevate the profession but ourselves. 10:45 -11:40 AM KEYNOTE PANEL | Is Orange the New Black for CCOs? A compliance failure in your organization can feel like a personal and professional failure. Now could it also end up in jail time and financial ruin? Compliance Week 2015 closes with an exami- nation of compliance executive liability, including case precedence, E&O coverage, and what you should be doing to protect yourself. We will also look at the potential effect this trend may have on the profession itself. 11:40 - 11:45 AM CONFERENCE CLOSING
  • 10. COMPLIANCE WEEK2015 @ CW_2015 10 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news. RE GISTRATION Cancellation or substitution notice must be given by calling 888-519-9200 or by e-mail to info@complianceweek.com. Cancellations received on or before March 6, 2015, will incur a $500 cancellation fee. No refunds will be given after March 6, 2015. Substitute attendees will be permitted if notice is given by April 30, 2015. CONFERENCE RATES REGISTER NOW: conference.complianceweek.com/register RATE ADVANCE REGISTRATION (expires 3/31) FULL CW SUBSCRIBER $1,645 $ 1,795 NON-SUBSCRIBER $1,845 $ 1,995 GROUP RATE (2-5) $1,595 $ 1,695 GROUP RATE (6+) $1,495 $ 1,595 JAM-PACKED AGENDA Over a three-day period, you will learn about the latest challenges, and solutions, in audit, risk, compliance, ethics, and corporate governance. HIGH-QUALITY PEER NETWORKING The hallmark of Compliance Week events, there will be numerous opportunities at Compliance Week 2015 to meet and network with fellow attendees and conference speakers. CONTINUING EDUCATION CREDITS Conference attendees can earn 19 CPE credits. CLE credits also availlable. EXPERIENCING WASHINGTON D.C. One of the most historic cities in the world, experience the nation’s capital by visiting its concentration of cultural institutions, historic landmarks, and iconic memorials. WHY YOU SHOULD ATTEND JOIN YOUR PEERS FROM 3M Aramark BankUnited Bechtel Biogen Idec Boeing Capital One CarMax Caterpillar Cigna Coach Comlink Crane & Co. Dell DeVry DIRECTV DTEK Energy Dunkin’ Brands Eaton EMD Millipore Equinix Exelon FedEx Ford Motor GE Capital Genesis Energy GM Financial Health Net HSBC Bank IBM Intuit ITT Kraft L Brands LinkedIn Lockheed Martin MasterCard MoneyGram Novo Nordisk Omnicom Parker Hannifin PepsiCo Plantronics Raytheon Rite Aid Ryder System Stryker Systemax Target TD Bank TJX Tyco U of Colorado US Foods Verizon Walmart WEX Willis Yazaki and many more… » » » » CW15_BROCHURE SAVE $200 WHEN YOU USE CODE
  • 11. COMPLIANCE WEEK2015 @ CW_2015 11 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news. VENUE Mayflower Renaissance, located at 1127 Connecticut Ave NW, Washington, D.C. 20036. HOTEL Compliance Week is pleased to offer conference attendees a discounted rate of $340/night (regular $479/night) for their stay at the Mayflower Renaissance. To reserve a room at these rates, call 877-212-5752 and ask for the Compliance Week 2015 Meeting Room Block. The room block ends April 17 or when rooms sell out. AIR The closest airport to the Mayflower Renaissance is Reagan National Airport. Other options include Dulles International Airport, and Baltimore-Washington Airport. RAIL Amtrak has multiple daily trips into Washington, D.C. To book your rail travel for Compliance Week 2015 please visit www.amtrak.com. To take advantage of a 10 percent discount, book your rail travel for Compliance Week 2015 at www.amtrak.com or call 800-872-7245 and use Fare Code Number: X19W-925. L O CATION M St NW Sumner Row NW De Sales St NW De Sales Row NW M St NW Rhode Island Ave NW L St NW 17thStNW 18thStNW 19thStNW L St NW ConnecticutAveNW MAYFLOWER RENAISSANCE 1127 Connecticut Ave NW Washington, DC 20036 877-212-5752
  • 12. COMPLIANCE WEEK2015 @ CW_2015 12 Please visit Compliance Week’s event website, CONFERENCE.COMPLIANCEWEEK.COM for all the latest conference news. MO RE INFO SAVE THE DATE! Rebecca Smith for Registration Inquiries rebecca.smith@complianceweek.com Maria Sonin for Speaker/Agenda Inquiries maria.sonin@complianceweek.com Donna Rice for Sponsorship Inquiries donna.rice@complianceweek.com COMPLIANCE WEEK 2015 IS PROUDLY SPONSORED BY CONTACT INFORMATION 26- 27 O CTOBER 2015 BRUSSELS MARRIOTT COMPLIANCE WEEK EUROPE