Overview
When wrongdoing occurs in the name of the company, your company and senior executives must answer for the conduct of its employees. Civil lawsuits or even criminal prosecution may result.
But do more policies, more training, more compliance always lead to effective compliance programs?
In this highly focused two-day conference, industry panelists, compliance experts and regulators will show you how to implement and operate an effective compliance program that will address all of the regulatory concerns and emerging threats from third-party behaviors, cybercrime, social media, e-Espionage, international expansion and a host of other business activities.
“Companies also realize that if they want to avoid pleading guilty, or to convince us to forego bringing a case altogether, they must prove to us that they are serious about compliance. Our prosecutors are sophisticated. They know the difference between a real compliance program and a make-believe one. They know the difference between actual cooperation with a government investigation and make-believe cooperation. And they know the difference between a rogue employee and a rotten corporation.”
— Assistant Attorney General Lanny A. Breuer
(September 2012)
AGENDA HIGHLIGHTS
• Emerging trends in regulations and enforcement actions update
• What the SEC’s Office of the Whistleblower means for you
• Leading practices roundtable: how to design and monitor an effective compliance program
• How to approach internal investigations
• Remediation: how to enhance and fine-tune controls after an incident
• How to handle the new guidance and disclosure requirements
• Measuring the effectiveness of compliance programs
• How to consider the impact of non-finance and accounting threats
• How to identify and mitigate fraud and corruption
• How to detect and prevent fraud from third-party business partners
• How to identify and mitigate export control risks
• How to safeguard your company from cybercrime, identify theft and other technology scams
WHO SHOULD ATTEND
This conference is especially valuable for corporate directors, CEOs, CFOs, controllers and other financial professionals who have to deal with compliance issues.
LEARNING OBJECTIVE To show financial professionals how to set up and sustain an effective compliance program for their companies,
as well as how to deal with today’s biggest compliance challenges.
PREREQUISITE None. ADVANCE PREPARATION None. PROGRAM LEVEL Update. NASBA FIELD OF STUDY Accounting.
DELIVERY METHOD Group-Live.
This program is also available via live webcast
Webcast - Corporate Compliance & Regulatory Update Conference 2013: Safeguarding Your Company from New Threats & Changing Regulations
Agenda
APRIL 29 AGENDA
Deluxe Continental Breakfast & Registration
8:00 – 8:45 AM
Welcome & Opening Remarks
8:45 – 9:00 AM
Regulatory Update: Emerging Trends in Regulations & Enforcement Actions
9:00 – 10:30 AM
Gain valuable insights into today’s regulatory landscape and hear directly from the regulators on the best ways to handle current regulatory and enforcement matters, including:
• SEC Enforcement (including the SEC’s FCPA Resource Guide)
• Foreign Corrupt Practices Act
• Dodd-Frank Act
• The UK Bribery Act Guidance
Break
10:30 – 10:45 AM
What the SEC’s Office of the Whistleblower Means for You
10:45 AM – 12:00 PM
While the impact of the SEC’s Office of the Whistleblower is still uncertain, it has been called a game changer. Are your hotlines equipped to handle tips from whistleblowers? How can you protect your organization? See the best ways you can collect and analyze hotline information in order to quickly respond to high-risk tips and concerns.
• Encouraging the use of the hotlines to raise concerns and obtain guidance
• Analyzing hotline information
• Responding to tips and concerns
Luncheon
12:00 – 1:00 PM
Leading Practices Roundtable: How to Design & Monitor an Effective Compliance Program
1:00 – 2:15 PM
Discover how organizations apply an array of leading best practices to address regulatory concerns and emerging issues from fraud to corruption and money laundering. Panelists from private and public companies will share their experiences in setting up compliance programs.
• Establishing a culture of compliance
• Conducting risk assessments
• Increasing awareness through communication and training
• Enhancing collaboration across the organization
• Managing third-party relationships: conducting due diligence and monitoring third parties
• Maintaining internal controls and conducting audits
• Monitoring and reviewing compliance programs through periodic evaluations
Internal Investigations: How to Approach Internal Investigations
2:15 – 3:30 PM
So you think you found a needle in the haystack, now what? This session will cover the factors that organizations should consider before initiating an internal investigation and how to conduct an appropriate investigation.
• Evaluating the situation
• Conducting in-house investigations vs. hiring a third party
• Gathering and securing information
Break
3:30 – 3:45 PM
Remediation: How to Enhance & Fine-Tune Controls after an Incident
3:45 – 4:45 PM
Find out how to assess and improve controls after incidents of misconduct.
• Addressing controls’ weaknesses or gaps
• Fostering collaboration to minimize duplication
• Considering prevention/detection options (e.g., continuous monitoring)
Disclosures: How to Handle the New Guidance & Disclosure Requirements
4:45 – 5:30 PM
Find out what you need to do to properly disclose regulatory matters and how to deal with emerging guidance around new disclosure requirements.
• Regulatory disclosures related to improper acts (e.g., fraud and illegal activity)
• Disclosures resulting from new regulatory guidance (e.g., Dodd-Frank Act)
Day One Closing Remarks
5:30 – 5:45 PM
Cocktail Reception
5:45 – 7:00 PM
APRIL 30 AGENDA
Deluxe Continental Breakfast
8:00 – 8:30 AM
Day Two Opening Remarks/Review of Day One
8:30 – 8:45 AM
Measuring the Effectiveness of Compliance Programs
8:45 – 9:45 AM
Many organizations react to increasing regulatory and enforcement trends by doing more—more policies, more training, more compliance—but does “more” always equal “effective”? This session will provide an overview of leading practices in measuring the effectiveness of compliance programs.
• Taking a pulse of the existing compliance program
• Keeping anti-corruption and ethics training fresh year after year
• Monitoring and measuring the impact of your compliance program
Threat Identification: How to Consider the Impact of Non-Finance & Accounting Threats
9:45 – 10:45 AM
Learn about the different types of crisis that can affect any company.
• Types of crisis that can affect any company
• Preparing for “Anticipation of crisis” vs. “In the midst of crisis”
• Crisis management and the need for effective communications
Break
10:45 – 11:00 AM
Emerging Threats—Anti-Corruption: How to Identify & Mitigate Fraud & Corruption
11:00 AM – 12:15 PM
Learn the best ways to prevent and detect fraud and corruption.
• Keeping a watchful eye on industry and peer activity
• Monitoring procurement and disbursements for danger signals
• Implementing effective preventive and detective controls
Luncheon
12:15 – 1:15 PM
Emerging Threats—Third-Party Behaviors: How to Detect & Prevent Fraud from Third-Party Business Partners
1:15 – 2:15 PM
Discover proven ways to detect and prevent fraud and corruption from business partners and third-party vendors.
• Monitoring business partners and third-party transactions
• Putting in place tamper-proof controls
• Keeping track of procurement and disbursements
Emerging Threats—Export Controls: How to Identify & Mitigate Export Control Risks
2:15 – 3:15 PM
Learn how export control regulations can impact your business.
• Export compliance process and business development
• Assessment of domestic and global export compliance
• Analysis of screening mechanism
• Shipping documentation, recordkeeping and automated exports system
• Keeping track of procurement and disbursements
Break
3:15 – 3:30 PM
Emerging Threats—Cyber Concerns: How To Safeguard Your Company from Cybercrime, Identify Theft and Other Technology Scams
3:30 – 4:45 PM
Find out the latest ways to protect your company from today’s emerging new technology threats and how you can leverage technology to combat fraud and corruption.
• Cloud computing: What are the opportunities and risks involved?
• Social media and e-Espionage: Do your employees know what information is sensitive in your business?
• Cybercrime: Is your organization exposed? Do you know how to protect your organization?
• Cybersecurity: Do you have an up-to-date approach for information security?
Closing Remarks
4:45 – 5:00 PM
Conference Ends
5:00 PM
Speakers
CONFERENCE CO-CHAIRS
George Prokop is a Managing Director in the Forensic Services practice at PwC and a senior practitioner in their Anti-Corruption Centre of Excellence. He advises clients in both the public and private sector on leading practices in managing governance, risk and compliance with an emphasis on the prevention, detection, investigation and remediation of various economic threats and crimes including fraud, waste, abuse, corporate misconduct and corruption. Mr. Prokop has over 20 years of experience advising private sector companies, as well as the US and emerging market governments. He has directed efforts to design and develop enterprise-wide fraud risk management programs targeted to mitigate risks related to economic crime. He has also served as an advisor to both the US and foreign governments on public policy issues to design, develop and implement governance and compliance protocols to promote transparency. In this context, Mr. Prokop serves as advisor to emerging market governments on governance and anti-corruption strategies.
Neil Keenan is a Principal in PwC’s Forensic Services practice in Washington, D.C. He specializes in corporate investigations, litigation consulting services and strategic threat management. His experience includes advising clients and investigating threats arising from corruption and bribery, accounting fraud and manipulation, asset misappropriation schemes and payroll fraud, supply chain manipulation, vendor, procurement and kick-back schemes and other illegal acts. Mr. Keenan has approximately 17 years of accounting and advisory experience across a broad range of disciplines, geographies and industries. His experience includes M&A services (financial due diligence, compliance due diligence, corporate finance, corporate valuations), business recovery and restructuring, business planning (financing and feasibility plans), as well as external and internal audit services.
SPEAKERS INCLUDE
Bret Campbell, Partner, Cadwalader
Margaret Cassidy, Cassidy Law
Jeannette Chu, Director, Export Control Services, PwC
Stephanie Hunter, Manager, Governance/Fraud Risk Management, PwC
Laura Laybourn, Director, PwC
Worth MacMurray, Director, Governance and Anti-Corruption Practice Group, PwC
Ronald Meltzer, Partner, WilmerHale
Marissa Michel, Director, Forensic Services, PwC
Ben Purser, Chief Risk Officer, Vericrest Financial
Laurie Schive, Director, Forensic Services, PwC
Sanjay Subramanian, Principal, Forensic Services, PwC
Peter Viksnins, Director, Forensic Services, PwC
Glenn Ware, JD, Partner, Anti-Corruption and Corporate Intelligence, PwC
F. Joseph Warrin, Partner, Gibson Dunn
Luiza Wilson, Senior Ethics and Compliance Attorney, AES Corporation
Workshop
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Location
CPE INC. has reserved a block of rooms at preferential rates. To make your hotel reservation,
call CPE INC. or the hotel’s reservation department and ask for the CPE INC. special room rate.
The Ritz-Carlton, Pentagon City
1250 South Hayes Street
Arlington, VA 22202
(703) 415-5000
