Effective Compliance and Ethics Program

Effective Compliance and Ethics Program

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 , Director, 
Crowe Horwath LLP

• Leading organizations are looking at Corporate Responsibility, Governance, Risk, Compliance and Ethics holistically. Why?
• What does this mean and what does this look like? What are the various roles and responsibilities?
• How are organizations doing this? How do we link risk and compliance with overall strategy?

SEGMENT 3:
Jonathan Leiken , Partner, 
Jones Day

• Thoughtful, Reasonable Risk Assessment
• Risk-Appropriate Policies and Procedures
• Clear Communication and Training
• Regular Flow of Information
• Appropriate Response to Information
• Appropriate Reporting
• Repeat

Effective Compliance and Ethics Program

Dean KrehmeyerExecutive DirectorBusiness Roundtable Institute for Corporate Ethics

Gregg AndersonDirectorCrowe Horwath LLP

Jonathan LeikenPartnerJones Day

Jonathan Leiken, a former federal prosecutor in the Southern District of New York, represents public and private companies and individuals in significant government investigations, complex civil lawsuits, and at trial. He conducts internal corporate investigations for boards of directors and senior management and defends clients before a wide range of government agencies, including the Department of Justice, the Securities & Exchange Commission, and various federal, state, and local regulators.Jonathan has represented large and small organizations (including financial institutions and manufacturers), and their executives and employees, in government inquiries and civil litigation involving allegations of fraud (securities, accounting, financial misdealing, valuation, mortgages, disclosure, lending, and self-dealing), insider trading, and violations of the Foreign Corrupt Practices Act. Jonathan has handled several international inquiries for U.S. public companies, and he regularly counsels clients on the development and maintenance of effective worldwide compliance programs.As a federal prosecutor, Jonathan tried numerous criminal matters to verdict and personally argued cases before the U.S. Court of Appeals. After returning to private practice, Jonathan was appointed by the mayor of Cleveland to conduct an independent investigation into allegations of corruption in the Cleveland Police Department.Jonathan is an officer and sits on the Executive Committee of the Cleveland Metropolitan Bar Association. He is an adjunct professor of law at Case Western Reserve University Law School, where he teaches a course on white-collar crime.

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