MORNING KEYNOTE The SEC’s Agenda: Enforcement and Regulatory Priorities
U.S. SEC Commissioner Luis A. Aguilar, dubbed “The Enforcement Commissioner” by Compliance Week in March 2009, will provide an update on SEC’s enforcement developments and priorities, including topic such as penalty guidelines and the SEC’s streamlining of the formal order process. Commissioner Aguilar will also explore broader regulatory priorities and the SEC, including topics such as e-proxy, risk and climate-change disclosure, and the “uniform audit trail.”
Featuring:
U.S. Securities and Exchange Commission Commissioner Luis A. Aguilar
9:30 a.m.
Move to Concurrent Sessions, Conversations and Demonstrations
9:45 a.m.
Organizational Structures That Work: Large Company Edition
The CCOs of Walmart, Prudential and Visa will outline, compare and contrast the structure of their compliance organizations, focusing on the function, reporting structure, organization, responsibilities, infrastructure and more.
Featuring:
Walmart Stores SVP and Chief Compliance Officer Karen Roberts
Prudential Financial SVP, Chief Ethics and Compliance Officer Lee D. Augsburger
Visa Inc. Chief Compliance Officer Karen Griffin
PricewaterhouseCoopers Principal, Advisory Practice, U.S. Leader, Governance Risk & Compliance Services Joseph C. Atkinson (moderator)
White Collar Investigations 101
The DoJ’s Chief of the Fraud Section and an Assistant U.S. Attorney will discuss recent trends in white-collar investigations, including the use of deferred-prosecution agreements, non-prosecution agreements, corporate monitors, and more.
Featuring:
U.S. Department of Justice Chief Fraud Section Denis J. McInerney
U.S. Department of Justice Assistant United States Attorney (Criminal Division), Southern District of Texas (Houston) Ryan D. McConnell
10:45 a.m.
Networking Break
11:15 a.m.
Metrics and Measurement: What to Track, Why, and How
What metrics should be tracked, and why? What do they actually tell you? Three unique perspectives will be explored from compliance, risk, and legal officers at Biogen Idec, PSEG, and OfficeMax. The trio will demonstrate, discuss and debate the data they measure, the metrics they track, and the reasons for both.
PSEG VP Risk Management & Chief Risk Officer Laura L. Brooks
OfficeMax Inc. EVP and General Counsel Matthew Broad
Collaborative Approaches to Global Corruption
How have competitors, industries and international consortia teamed up to fight global fraud and corruption? What unique private-sector initiatives and models are emerging, and are they working? Executives at Best Buy and Fluor—which was cited in Fortune Magazine for it’s CEO’s corruption-fighting initiatives—will discuss the impact of collaborative initiatives with the senior enforcement and sanctions officer from The World Bank.
The World Bank Sanctions Evaluation and Suspension Officer Pascale Hélène Dubois
Directors Speak Out: What We Need and Expect, and Why
What do audit committee members really need and expect when it comes to compliance and risk programs? Three seasoned Audit Committee Chairmen from companies such as Host Marriott, Paychex, and Sunrise Senior Living, will discuss their needs, expectations, and preferred level of involvement.
Featuring:
Host Marriott Audit Committee Chairman; Director, Home Shopping Network, AES Corp. John B. Morse
Paychex, Inc. Audit Committee Chairman David J.S. Flaschen
Sunrise Senior Living Audit Committee Chairman; Director, ING Direct Bank, Harris Interactive, Medstar Health Stephen D. Harlan
Ernst & Young Senior Manager, Fraud Investigations & Dispute Services Andrew E. Reisman (moderator)
12:15 p.m.
Move to Keynote
12:30 p.m.
AFTERNOON KEYNOTE Former SEC Chairman Harvey Pitt: Understanding Your Risks
The U.S. government’s failure to head off the Christmas Day bomber—Nigerian Umar Farouk Abdulmutallab—provides a cautionary tale worth careful study by those intent on improving their corporate risk-management systems. In this keynote, Harvey Pitt—the former SEC chairman who has penned a Compliance Week column for seven years—makes his fifth appearance at Compliance Week's annual conference with a look at how companies often “think” they’ve got potential problems covered, but don’t. Sadly, they discover the chasm between thought and actuality as disaster strikes, when everyone can see the inadequacies in their systems and controls.
Featuring:
Kalorama Partners CEO; Former U.S. Securities and Exchange Commission Chairman; Compliance Week Columnist Harvey L. Pitt
1:15 p.m.
Lunch
2:00 p.m.
Effective & Cost-Effective Training, Awareness & Advocacy
The compliance leaders at Terex, United States Steel, and Bertelsmann will preview their training programs, discussing how they train, how they track it, and how they gauge effectiveness.
United States Steel Corporation Assistant General Counsel – Compliance Mary Beth Taylor
Bertelsmann AG SVP and Ethics and Compliance Executive Carsten Tams
The Cooperation Paradigm: How Much Info. to Share, and When
How closely should you work with regulators, enforcement agencies, and other oversight bodies? How can you craft effective working partnerships? Learn how Fannie Mae has approached the challenge with its myriad oversight bodies.
Featuring:
Fannie Mae VP Enterprise Compliance and Chief Privacy Officer, Compliance and Ethics Nancy Jardini
CONVERSATION SEC Enforcement and Investigations Update
Compliance Week Columnist Bruce Carton, a former SEC Enforcement staffer, will provide a recap of current SEC enforcement actions on topics such as the FCPA and insider trading, and will lead a discussion of the Enforcement Division’s new reforms to accelerate corporate investigations.
Featuring:
Compliance Week Columnist; president, Docket Media LLC; founder and editor, Securities Docket, Bruce Carton
3:00 p.m.
Networking Break
3:30 p.m.
Social Media & Compliance
Compliance, ethics and legal executives at Johnson & Johnson, Best Buy, and The Travelers Companies, will provide details on their social media policies, programs and experiences, focusing on a variety of cultural, legal, and disclosure-related issues.
Featuring:
Johnson & Johnson Senior Counsel & Assistant Corporation Secretary Douglas K. Chia
Best Buy Chief Ethics Officer Kathleen Edmond
The Travelers Companies, Inc. SVP, Chief Compliance Officer & Group General Counsel David Baker
Compliance Week Columnist; president, Docket Media LLC; founder and editor, Securities Docket, Bruce Carton (moderator)
Trends in Codes of Conduct
Like Web 2.0, do you have a “Code 2.0?” PepsiCo Chief Compliance Officer Stephen Naughton will share his team’s research into trends related to codes of business conduct. The session will leverage research that PepsiCo conducted while attempting to revise and update its own code, and will focus on the most interesting innovations and developments.
Featuring:
PepsiCo, Inc. VP, Compliance and Chief Compliance Officer Stephen M. Naughton
CONVERSATION Closed-Door Sit Down with the DoJ
The DoJ’s Chief of the Fraud Section and an Assistant U.S. Attorney will address your questions regarding white collar investigations. For example: How do investigations get started? Where does the best evidence come from? What are five things compliance officers need to know about a criminal investigation? At what point does the government focus on compliance issues? Get these questions (and yours) answered.
Featuring:
U.S. Department of Justice Chief Fraud Section Denis J. McInerney
U.S. Department of Justice Assistant United States Attorney (Criminal Division), Southern District of Texas (Houston) Ryan D. McConnell
CONVERSATION ICFR and Internal Audit Best Practices
Alan Siegfried, Auditor General of the Inter-American Development Bank and Chairman of the Institute of Internal Auditors’ North American board, will lead a small-group Conversation to review some of the latest IIA guidance. The session will explore topics such as the structure of the internal audit function at your company, and recent auditing and internal-control challenges confronting corporations today.
Featuring:
Inter-American Development Bank Auditor General; Chairman of the Board, Institute of Internal Auditors North America, Alan Siegfried
4:30 p.m.
Move to Keynote
4:45 p.m.
EVENING KEYNOTE View From The Top: JetBlue, Governance & Compliance
JetBlue Airways President and CEO David Barger, and JetBlue Chairman of the Board Joel Peterson, will explore tone-at-the-top, cultures of integrity, and the evolution of JetBlue’s corporate governance and compliance programs. To be explored: How JetBlue built integrity as a core value to be considered in every decision made by every crewmember; why JetBlue separated the CEO and Chairman roles, and more.
Featuring:
JetBlue Airways Corp. President and CEO David Barger
JetBlue Airways Corp. Chairman of the Board of Directors Joel Peterson
5:30 p.m.
Compliance Week's Annual Blow-Out Reception!
Tuesday, May 25
7:30 a.m.
Networking Breakfast & Registration
8:45 a.m.
Opening Remarks
Featuring:
Compliance Week Editor Matt Kelly
9:00 a.m.
MORNING KEYNOTE U.S. Rep., House Financial Services Committee Chair Barney Frank
Barney Frank is the U.S. House Representative for Massachusetts’ 4th congressional district. In 2007, Rep. Frank became the chairman of the powerful House Financial Services Committee, which oversees much of the financial services industry, including securities, insurance, banking, and housing. Rep. Frank will address those four industries in his keynote, and will take questions from attendees.
Featuring:
U.S. Representative and House Financial Services Committee Chairman Barney Frank
9:45 a.m.
Move to Concurrent Sessions, Conversations and Demonstrations
10:00 a.m.
Linking Comp. to Ethical Performance, Business Unit Compliance
Three compliance officers at American Express, Genzyme, and Aon Corp., will explore the ways that they have tied compensation to compliance and risk programs and performance. The executives will compare and contrast their strategies and experiences, and will offer suggestions to others who are considering the linkage between compensation and integrity.
Featuring:
American Express SVP – Chief Compliance and Ethics Officer Leonard H. Shen
Genzyme SVP, Chief Compliance Officer and Healthcare and Regulatory Counsel Roger Louis
Aon Corporation VP and Global Chief Compliance Officer Carrie J. Di Santo
Emerging Topics in Financial Reporting
Two SEC Professional Accounting Fellows will join former SEC Acting Chief Accountant Scott Taub, who now pens a column for Compliance Week, for a discussion of emerging challenges in compliance with financial reporting rules. Addressing topics such as fair value, M&A and revenue recognition, the pair will look to explore the types of questions companies might receive in their next Comment Letter from SEC staff.
Featuring:
U.S. Securities and Exchange Commission Professional Accounting Fellow, Office of the Chief Accountant Douglas T. Parker
U.S. Securities and Exchange Commission Professional Accounting Fellow, Division of Corporation Finance Steven C. Jacobs
Compliance Week Columnist; former SEC Chief Accountant; Managing Director, Financial Reporting Advisors LLC, Scott A. Taub,
CONVERSATION Small Company ERM: Linking Corporate, Risk and Audit Strategy
How can smaller public companies effectively tackle ERM without the staff and budget of large accelerated filers? JetBlue VP Audit and Process Effectiveness Glenn Cusano will discuss how his $3.2 billion company has pursued ERM by linking the corporate, risk and audit strategies…and how your company can do the same.
Featuring:
JetBlue Airways Corp. VP Audit and Process Effectiveness Glenn Cusano
11:00 a.m.
Networking Break
11:30 a.m.
Third-Party and Distributor Management Strategies
What should you require of your supply chain partners? How can you fund your programs? Should the programs be audited? Legal and compliance leaders at GE Energy and Wyndham Worldwide will describe their supply-chain compliance programs, providing details on their strategies, goals, programs, policies, and associated costs and benefits.
Featuring:
GE Energy Corporation Global Compliance Leader, GE Measurement & Control Solutions Richard A. Breunig
Wyndham Worldwide EVP, General Counsel and Chief Compliance Officer Scott McLester
What to Tell the Board
What metrics should your company be reporting to the board, and why? How much sharing is “oversharing,” and how do you know? The compliance and legal officers at Time Warner and NRG Energy, respectively, will demonstrate and discuss what they report to the board, when, how, and why.
Featuring:
Time Warner SVP and Deputy General Counsel, Chief Ethics and Compliance Officer Curtis Lu
NRG Energy, Inc. SVP and General Counsel Michael R. Bramnick
ERM: Managing Risks without Expensive Programs
Boards may be pushing companies to manage risks better, but that doesn't mean there's always money for ERM. Hear how Lockheed Martin and H.J. Heinz have developed innovative risk-management programs effectively and efficiently.
Featuring:
Lockheed Martin Corporation VP Corporate Internal Audit Maryanne R. Lavan
H.J. Heinz Company Director Enterprise Reputation and ERM James Traut
CONVERSATION Strategic Compliance: Moving Toward a Proactive Vision
How do you elevate above the minutiae of export controls and whistleblower crises to develop a compliance strategy and meets the needs of the business? The compliance officers at Conseco and Diageo will lead an intimate conversation on approaching compliance strategically.
Featuring:
Conseco SVP and Chief Compliance Officer Mark Johnson
Diageo Plc. VP Global Compliance & Ethics Americas Alfred Spencer III
CONVERSATION How to Handle Comment Letters
What's the best way to handle inquiries from the Securities and Exchange Commission? What does the SEC want from your response? What trends can be gleaned from the most recent slate of Comment Letters? Join Steve Jacobs, Professional Accounting Fellow in the Office of Chief Accountant at the SEC, for insights on how to deal with SEC comment letters and head off major accounting headaches.
Featuring:
U.S. Securities and Exchange Commission Professional Accounting Fellow, Division of Corporation Finance Steven C. Jacobs
12:30 p.m.
Move to Keynote
12:45 p.m.
AFTERNOON KEYNOTE SEC Disclosure Update with Shelley E. Parratt
Shelley Parratt of the SEC’s Corporation Finance Division will provide an update of the Commission’s disclosure program, including topics such as executive compensation disclosure, climate-change disclosure, and other proxy disclosure issues, as well as updates regarding the Comment Letter process.
Featuring:
U.S. Securities and Exchange Commission Deputy Director (Disclosure Operations), Division of Corporation Finance, Shelley E. Parratt
The 2010 OCEG GRC Achievement Awards Presentation
The Open Compliance and Ethics Group will recognize the great strides that many organizations have made in improving and integrating their approaches to governance, risk management and compliance.
Featuring:
Open Compliance and Ethics Group Chairman and CEO Scott L. Mitchell
1:30 p.m.
Lunch
2:15 p.m.
Demonstrating ROI and Communicating Value
How do you demonstrate and prove the value and success of your programs? The compliance leaders from The Home Depot and Duke Energy will discuss the tactics and data they have used to demonstrate the “net benefit” of compliance, ethics and risk programs.
Featuring:
Duke Energy VP Audit Services and Chief Ethics and Compliance Officer Jeffery G. Browning
The Home Depot Director, Corporate Compliance and Ethics Brad Nesmith
Third-Party Relationships: Opportunities to Control Risk and Pitfalls to Avoid
For companies with hundreds to thousands of third-party relationships all over the world, what's the best way to manage related risks? How do you get started, what approaches have worked, and what mistakes should you avoid? Tyco’s compliance leader Matt Tanzer will discuss how his company has approached the global challenge, first evaluating and then implementing global processes to manage the risks presented by thousands of third parties all over the world. Joining him will be Scott Moritz of Daylight Forensic, which has assisted Tyco with the process. This will be a practical, hands-on session, designed to provide real-world advice, based on one company’s extensive experience.
Featuring:
Tyco International VP and Chief Compliance Officer Matt Tanzer
Daylight Forensic & Advisory Executive Director Scott Moritz
CONVERSATION Internal Audit and the Board of Directors
How much information should audit executives provide to the Audit Committee and the board regarding risk, compliance, and ethics issues? Join Johnson & Johnson’s Director of Audit Strategy Bill White for a small-group conversation that explores the practices and policies of companies regarding board communication: What gets shared, in what format, by whom, how often, and why.
Featuring:
Johnson & Johnson Director Audit Strategy William R. White
3:15 p.m.
Networking Break
3:45 p.m.
Achieving Success with External Compliance Monitors
Boeing and Lockheed joint venture United Launch Alliance has had no fewer than three compliance monitors over the last decade. In this session, ULA’s compliance leader will convene with two of her monitors, exploring their lessons about working with the federal government and externally appointed monitors.
Featuring:
United Launch Alliance VP, Office of Internal Governance Cindy S. Corrigan
Retired U.S. Air Force Lieutenant General; ULA Special (External) Compliance Monitor Leslie F. Kenne
U.S. Air Force Deputy General Counsel for Contractor Responsibility, Office of the Air Force General Counsel, Washington, D.C., Steven A. Shaw
Auditing Compliance, Ethics and Risk
Should ERM programs be audited? How? What about compliance and ethics programs? Three audit executives will explore the ways in which they have addressed the issue of auditing compliance, ethics and risk programs at their companies.
Featuring:
Marsh & McLennan Companies, Inc. VP, Audit and Risk Management Michelle E. Viotty
FMC Corporation Compliance Director Nadia Ciaravino
PhyServe Physician Services, Inc. SVP Governance and Compliance José Tabuena
Organizational Structures That Work: Small Company Edition
In contrast to our “large company” edition Monday morning, this session will explore how smaller public companies structure their compliance functions. The CCOs at PETCO, Chiquita Brands, and Schnitzer Steel—each with under $5 billion in revenue—will outline, compare and contrast the structure of their compliance organization, focusing on their functions, reporting structure, organization, responsibilities, infrastructure and more.
Featuring:
PETCO Animal Supplies, Inc. Chief Compliance Officer James B. Brigham
Chiquita Brands VP, Chief Compliance Officer Vanessa L. Vargas Land
Schnitzer Steel Industries VP and Chief Compliance Officer Callie Pappas
PricewaterhouseCoopers LLP Principal, Advisory Practice, U.S. Leader, Governance Risk & Compliance Services Joseph C. Atkinson (moderator)
CONVERSATION Inside Investigations: The Corporate Perspective
PepsiCo Chief Compliance Officer Stephen Naughton will lead a small-group, closed-door Conversation on the challenges multinationals face in conducting effective and efficient internal investigations. Among the topics likely to be discussed: preventing retaliation, maintaining privilege, staffing the probes, managing high-volume, and addressing the “when to inform” dilemma.
Featuring:
PepsiCo, Inc. VP Compliance and Chief Compliance Officer Stephen M. Naughton
4:45 p.m.
Move to Keynote
5:00 p.m.
EVENING KEYNOTE U.S. Dept. of Justice Acting Deputy Attorney General Gary Grindler
TBD
Featuring:
U.S. Department of Justice Acting Deputy Attorney General Gary Grindler
5:30 p.m.
Closing Remarks
Wednesday, May 26
8:00 a.m.
Networking Breakfast & Registration
9:00 a.m.
MORNING KEYNOTE U.S. DoJ Asst. Attorney General, Criminal Division, Lanny Breuer
TBD.
Featuring:
U.S. Department of Justice Assistant Attorney General, Criminal Division, U.S. Department of Justice
9:45 a.m.
Move to Concurrent Sessions, Conversations and Demonstrations
10:00 a.m.
2010 Proxy Disclosure Update
Myriad new disclosure requirements are hurtling down the regulatory freeway. Patrick McGurn, Special Counsel to RiskMetrics Group’s ISS Governance Services, will provide an overview of the latest disclosure developments, focusing on proxy trends, research and analytical data. The session will be aimed at helpindg public companies as they assess their governance policies and disclosure practices.
Featuring:
RiskMetrics Group Special Counsel, ISS Governance Services Patrick McGurn
Honest Experiences with GRC Tools
The compliance officers at Medco Health Solutions and BMO Financial Group will provide details on their experiences with GRC tools. The pair will describe their platform selection and implementation process, and will provide details on objectives, implementation, impact, costs, value, and more.
Featuring:
Medco Health Solutions, Inc. SVP - Compliance and Chief Privacy Officer Daniel C. Walden
Bank of Montreal Financial Group VP Corporate Compliance Joann Sochor
CONVERSATION When Business Changes Drive Compliance Challenges
What happens when your business changes dramatically, or when developments transform your company's products, services, customers, or interactions? The compliance leaders at The Travelers Companies and Activision Blizzard will discuss recent transformations that their companies underwent, and the compliance and risk issues they needed to subsequently address.
Featuring:
The Travelers Companies, Inc. SVP, Chief Compliance Officer & Group General Counsel David Baker
Activision Blizzard, Inc. Principal Compliance Officer Marianne Wisner
11:00 a.m.
Special Closing Event, to be Announced
A special program is in the works to close Compliance Week's 5th Annual Conference. Stay tuned!
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U.S. SEC Commissioner Luis A. Aguilar, dubbed “The Enforcement Commissioner” by Compliance Week in March 2009, will provide an update on SEC’s enforcement developments and priorities, including topic such as penalty guidelines and the SEC’s streamlining of the formal order process. Commissioner Aguilar will also explore broader regulatory priorities and the SEC, including topics such as e-proxy, risk and climate-change disclosure, and the “uniform audit trail.”
The U.S. government’s failure to head off the Christmas Day bomber—Nigerian Umar Farouk Abdulmutallab—provides a cautionary tale worth careful study by those intent on improving their corporate risk-management systems. In this keynote, Harvey Pitt—the former SEC chairman who has penned a Compliance Week column for seven years—makes his fifth appearance at Compliance Week's annual conference with a look at how companies often “think” they’ve got potential problems covered, but don’t. Sadly, they discover the chasm between thought and actuality as disaster strikes, when everyone can see the inadequacies in their systems and controls.
JetBlue Airways President and CEO David Barger, and JetBlue Chairman of the Board Joel Peterson, will explore tone-at-the-top, cultures of integrity, and the evolution of JetBlue’s corporate governance and compliance programs. To be explored: How JetBlue built integrity as a core value to be considered in every decision made by every crewmember; why JetBlue separated the CEO and Chairman roles, and more.
Barney Frank is the U.S. House Representative for Massachusetts’ 4th congressional district. In 2007, Rep. Frank became the chairman of the powerful House Financial Services Committee, which oversees much of the financial services industry, including securities, insurance, banking, and housing. Rep. Frank will address those four industries in his keynote, and will take questions from attendees.
Shelley Parratt of the SEC’s Corporation Finance Division will provide an update of the Commission’s disclosure program, including topics such as executive compensation disclosure, climate-change disclosure, and other proxy disclosure issues, as well as updates regarding the Comment Letter process.
TBD
TBD.
