Effective Compliance and Ethics Program: A 2011 Perspective CLE/CPE Rebroadcast

Broadcast Date: Thursday, June 23, 2011 from 3:00 pm to 5:00 pm (ET)

Ethics/Professional Responsibility (CLE), Recording

Overview:

***Please note: This event is a rebroadcast of the LIVE event which was originally held January 18, 2011. All speakers will return for a live audience Q&A session.***

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

It is certainly high time to dust off your compliance and ethics programs! Join this course by clicking the “Register” button below. Early registration is recommended as space is limited

Agenda:

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