Effective Compliance and Ethics Program: A 2011 Perspective

Summary:

Compliance and ethics programs are unique systems designed by organizations to ensure effective operational performance and to avoid costly mistakes. Good programs are individually tailored to each organization and their needs.

Recently, the standards for effective compliance and ethics programs have changed. Chiefly, the new guidelines have called for companies to step up compliance programs with respect to criminal conduct. The amendments took effect on November 1, 2010.

In light of these changes, companies should assess the framework and efficiency of their compliance and ethics programs.

The Knowledge Group has assembled a panel of speaker experts and thought leaders to help walk you through the fundamentals of compliance and ethics program in the 2010-2011 paradigm.

Some of the topics that will be covered in this course are:
- New requirements for compliance and ethics program
- Development of the program design
- Implementation
- Assessment
- Evaluation of risk factors
- Prevention of noncompliance
- Response to noncompliance
- Up-to-the-minute regulatory updates

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Group, LLC
Recommended CLE/CPE Hours: 2.0
Important Note: Your State Bar or Accounting Board will make the final determination with respect to continuing education credit. If you are applying for CLE credit in Texas you must register 20 days before the event date or you will not be able to obtain CLE credit.
Advance Preparation: Print and review course materials
Course Code: 104019

SEGMENT 1:
Dean Krehmeyer, Executive Director
Business Roundtable Institute for Corporate Ethics

- November 2010 Amendments to the Federal Sentencing Guidelines (FSG) and Dodd-Frank Act establish a “new context” for management and boards to consider compliance, risk, and ethics programs. (Amendments reinforce selected prior guidelines, and establish new procedures).
- Notably, structural changes to the role of the chief compliance officer indicate an increased emphasis on the independence of the compliance and ethics function in organizations.
- Beyond (and inspired by) this regulatory-driven change, leading organizations should consider and Enterprise Approach to compliance.
- Elements of Enterprise Approach start with the Board and Senior Management – Overall risk assessment (how to identify/plan; who’s responsible), specific role of Board, specific role of management, specific role of chief compliance officer.

SEGMENT 2:
Gregg Anderson, Executive
Crowe Horwath LLP

** speaker talking points coming soon **

SEGMENT 3:
Jonathan Leiken , Partner
Jones Day

** speaker talking points coming soon **

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Who Should Attend?

- General Counsel
- In-House Counsel
- Compliance Officers
- Ethics officers
- Compliance and Ethics Managers
- Business Managers
- Internal Audit
- HR Personnel
- Risk Managers
- Risk Officers
- Consultants

Why Attend?

This is a must attend event for anyone interested in understanding Effective Compliance and Ethics Program.
- New guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A

Effective Compliance and Ethics Program: A 2011 Perspective
LIVE Webcast

Tuesday, January 18, 2010

3:00pm to 5:00pm (ET)