Got Ethics? Effective Ways to Strengthen Your Compliance and Ethics Program
Ethics and compliance are the different sides of the same coin, and the distinction between both terms are often overlooked and considered insignificant by companies. Thus, the difference between the two is as an integral component for the overall culture of businesses. Focusing more in one area can lead to possible risks and challenges to the company. To be able to manage the risks posed by employee and third party misconduct and to deal with potential violations, it is essential for companies to have an effective compliance and ethics program
In a two-hour LIVE Webcast, a distinguished panel of professionals and thought leaders assembled by The Knowledge Group will offer the audience with an in-depth discussion of the fundamentals as well as legal aspects of the Corporate Compliance and Ethics Programs. The panel will also offer the audience with their thoughts and opinions on how to best comply with the program requirements.
Key topics include:
- Corporate Compliance and Ethics – An Overview
- U.S. Sentencing Guidelines – Legal Primer
- Components and Requirements of Effective Compliance Program
- Impacts and Implications to the Company Culture and Operations
- Opportunities and Legal Challenges
- Self-Help and Practical Solutions
- Lessons learned from Monitors and Monitoring
- Risk Assessment
Bart M. Schwartz, Chairman
Guidepost Solutions LLC
- Monitorships – when programs fail or insufficient
- The common issues in companies where there’s been a problem
- Focus on compliance programs and sustainability of changes
Michael D. Mann, Partner
Sidley Austin LLP
- Also does monitoring work, and will work in a panel arrangement
- What are independent compliance monitors looking for?
- What should a compliance program be doing to make sure it doesn’t happen again?
- How senior is your management in this compliance group?
Who Should Attend:
- Employment and Labor Lawyers
- Chief Compliance Officers
- Board of Directors
- Senior Management
- Ethics Compliance Officers
- Private and Public Companies
MICHAEL MANN focuses his practice on white-collar criminal defense, securities enforcement matters, internal corporate investigations and complex civil litigation. Michael has represented public companies, board committees, financial institutions and related individuals in internal, criminal and regulatory investigations, prosecutions and litigations. He regularly counsels clients on foreign corruption, money laundering and sanctions compliance safeguards, including due diligence of business partners in international business transactions, the design, implementation and maintenance of anti-bribery and other financial crime compliance programs, and the development of proactive compliance assessments. Michael also has extensive experience representing clients in a wide array of complex civil and criminal litigation at both the trial and appellate levels.
Michael was recognized in 2015 as an international leader in Business Crime Defence by Who’s Who Legal. He was also named to the 2015 Euromoney LMG Rising Star list and the Rising Star lists in 2013, 2014, 2015 and 2016 by Super Lawyers magazine, a Thomson Reuters publication.
MICHAEL MANN focuses his practice on white-collar criminal defense, securities enforcement matters, internal corporate investigations and complex civil litigation. Michael has represented …
Described by The New York Times as the person “often sought out in…thorny situations” by corporations, Bart M. Schwartz has wide experience providing advice and support to corporations, governments and individuals.
Mr. Schwartz served under U.S. Attorney Rudolph Giuliani as the Chief of the Criminal Division in the Southern District of New York. In that post, he had responsibility for overseeing prosecutions related to financial and business fraud, organized crime, narcotics, and other types of criminal activity.
Mr. Schwartz has served as a trial lawyer, corporate advisor and CEO of a private company and a unit of a public company. For more than 30 years, he has managed complex investigations, prosecutions and security assessments, and provided sophisticated investigative services to a wide array of clients. Mr. Schwartz is currently the chairman of Guidepost Solutions and serves on the board of HMS Holdings Corp. (NASDAQ:HMSY) where he is Chairman of the Compliance Committee and a member of its Audit Committee. He is also Chairman of the Board of Managers of Kadmon Corporation, LLC and is on the Board of Directors of the Stuyvesant High School Alumni Association.
Mr. Schwartz has had numerous court and other appointments to monitor the conduct of corporations in various industries. He has received assignments from or with the approval of the U.S. Securities and Exchange Commission the U.S. Department of Justice, the U.S Attorney’s Office for the Southern District of New York, the Manhattan District Attorney’s office, the New York Organized Crime Task Force, the New York School Construction Authority, and the New York Department of Environmental Conservation. Mr. Schwartz, whose monitoring assignments have included Point72 Asset Management (former SAC Capital Advisors), Deutsche Bank, Milberg Weiss, HP, DHL, and BP, currently serves as the Integrity Monitor of General Motors as part of the automaker’s $900 million settlement.
Described by The New York Times as the person “often sought out in…thorny situations” by corporations, Bart M. Schwartz has …
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Method of Presentation:
NASBA Field of Study:
NY Category of CLE Credit:
Ethics and Professionalism
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About Sidley Austin LLP
Sidley Austin LLP is a premier law firm with a practice highly attuned to the ever-changing international landscape. The firm advises clients around the globe, with more than 1,900 lawyers in 20 offices worldwide. Sidley maintains a commitment to providing quality legal services and to offering advice in litigation, transactional and regulatory matters spanning virtually every area of law. The firm’s lawyers have wide-reaching legal backgrounds and are dedicated to teamwork, collaboration and superior client service.
About Guidepost Solutions LLC
In a world where change is certain, experience is the best protection. Guidepost Solutions offers global investigations, compliance and monitoring, and security and technology consulting solutions for clients in a wide range of industries. Our expert team provides leadership and strategic guidance to address critical client needs across the globe. Experience guides us. Solutions define us.