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 topics 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.
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 Wal-Mart, 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:
Wal-Mart 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
CONVERSATION Integrating Compliance and ERM
In many organizations, both compliance and risk-management professionals struggle to define with sufficient clarity their respective roles, boundaries, and avenues of coordination. One organization, Marsh & McLennan Companies, Inc., recently adopted an innovative approach, combining the two functions under the chief compliance officer and naming him chief risk and compliance officer. Join MMC’s Jack Holleran, senior compliance officer and a long-time Compliance Week contributor, for a structured conversation about MMC’s approach. Holleran will also discuss the practical issues that arise when the functions are combined and when they remain separate.
Featuring:
Marsh & McLennan Companies Senior Compliance Officer Jack Holleran
CONVERSATION Updates to the U.S. Sentencing Guidelines
Join Dabney Friedrich, commissioner of the U.S. Sentencing Commission, and Kathleen Cooper Grilli, deputy general counsel to the Commission, to discuss the latest revisions to the U.S. Sentencing Guidelines and what they might mean for the structure and operation of corporate compliance functions.
Featuring:
U.S. Sentencing Commission Commissioner Dabney Friedrich
U.S. Sentencing Commission Deputy General Counsel Kathleen Cooper Grilli
CONVERSATION Engage and Connect: Improvisation as a Tool for Open, Honest Communication
For many companies, a common ethics and compliance challenge is in finding fresh ways to make important topics relevant to their employees—engaging individual contributors and management in the conversation and creating a willingness to discuss tough subjects and grey-zone issues. Second City Communications, the business solutions division of the world-famous comedy theatre, will discuss how they’ve successfully utilized improvisation, humor, and learning methods to help clients improve ethics/compliance education and awareness. This session will include interactive exercises, small-group work, facilitated discussion, and multimedia to showcase how to create conversation, gain stronger insights, and make ethics and compliance topics more relevant for your global workforce.
Featuring:
Second City Communications Producer and Director of Learning Sarah Finch
DEMONSTRATION Audit, Risk, and Compliance: Coming Together to Help You Make Smarter Decisions
Join ARC Logics™ to see how two of its market-leading products, Sword and Axentis, are being used to fit the needs of global audit, risk and compliance professionals. Attendees will be able to see how companies have deployed components of the ARC Logics™, providing a consistent view of information to reduce costs, automate processes, and reduce risks.
Featuring:
ARC Logics Product Director for Sword Richard Pike
ARC Logics Sales Director for Axentis Leila Daiuto
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.
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 its 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)
CONVERSATION High-Performance Compliance Organizations - What Works Best
How do you define “high performance” for the compliance organization? What works best when designing, implementing, and managing a compliance organization? What have other organizations learned as they have developed their compliance organizations? What learnings can you take home that will drive change, performance, and value? These are just some of the issues that will be explored in this interactive roundtable discussion. Join PricewaterhouseCoopers’ Joe Atkinson and chief compliance officers at Visa and PETCO Animal Supplies to gain perspectives on how others define “value” in the function and learn what works—and what doesn’t—in managing today’s compliance function.
Featuring:
PricewaterhouseCoopers Principal, Advisory Practice, U.S. Leader, Governance Risk & Compliance Services Joseph C. Atkinson
PETCO Animal Supplies, Inc. Chief Compliance Officer James B. Brigham
Visa Inc. Chief Compliance Officer Karen Griffin
CONVERSATION 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
DEMONSTRATION Governance, Risk and Compliance: The Power of a Platform Approach
Join this session to see how RSA’s Archer eGRC solutions drastically reduce the complexity of enterprise governance, risk and compliance processes across finance, operations and legal business domains. Attendees will learn how one in four of the Fortune 100 have deployed these solutions to manage the lifecycle of corporate policies and objectives, analyze and respond to business risks, and demonstrate compliance through a unified platform approach—ultimately reducing costs and increasing transparency enterprise-wide.
Featuring:
RSA Archer eGRC Solutions Manager for The Security Division of EMC Jason Rohlf
12:15 p.m.
Move to Lunch and Keynote
12:30 p.m.
Lunch
1:15 p.m.
AFTERNOON KEYNOTE Former SEC Chairman Harvey Pitt: Goldman Sachs, SEC Enforcement, and Lessons For Our Times
Prestigious firms sued by the SEC, subjects of negative reports, forced to endure angry Congressional testimony arising out of their involvement in the financial crisis of 2008, already provide important lessons for corporate executives. Kalorama Partners CEO 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 the lessons executives can learn from current events.
Featuring:
Kalorama Partners CEO; Former U.S. Securities and Exchange Commission Chairman; Compliance Week Columnist Harvey L. Pitt
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
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 one of her monitors and the senior government official to whom she reported compliance performance, to discuss the experience in working with the federal government and externally appointed monitors.
Featuring:
United Launch Alliance VP, Office of Internal Governance Cindy S. Corrigan
U.S. Air Force Retired 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
Safeguarding Against Fraud: A Real-World Case Study of Aligning Controls and Risk Monitoring
With operating environments growing more complex and global, automated monitoring controls act as preventive medicine over processes and systems. Join Stephanie Maziol, Oracle director of product marketing, and Patrick Palmer, Oxbow Corporation Internal Audit Manager, to examine the real-world case study of Oxbow’s controls automation implementation and risk monitoring strategy. An interview will reveal how this company drove down compliance cost, prevented fraud and other threats, and empowered its management through more risk-intelligent decision making.
Featuring:
Oracle Director of Product Marketing Stephanie Maziol
Oxbow Corporation Internal Audit Manager Patrick Palmer
CONVERSATION 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 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 Efficient Communication With Your Board
As a follow-up to the session titled, “Directors Speak Out,” Andrew Reisman of Ernst & Young will lead a small-group conversation on audit committee expectations and the ways that management can work more effectively with their boards. The conversation will explore the cultural subtleties, periodic briefings, effective collaboration, and more.
Featuring:
Ernst & Young Senior Manager, Fraud Investigations & Dispute Services Andrew E. Reisman
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 Corporate 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
The Privacy Organization: Optimizing Design, Maximizing Compliance Effectiveness
The overlap among privacy, security, and compliance is inevitable, since the functions intersect on myriad issues, from internal investigations and employee matters to customer data protection and regulatory compliance. But where should privacy be housed in the organization to ensure effectiveness? How should it interact with compliance, legal, and IT security personnel and procedures? This panel, with executives from Dun & Bradstreet, Hewlett-Packard, and Walgreen Co., led by Scott Giordano of Mitratech, will explore the strategic, cultural, and organizational factors that impact effectiveness of the privacy function.
Hewlett-Packard VP, Associate General Counsel of Compliance Cheryl Fackler Hug
Walgreen Co. Chief Compliance Officer Laura Merten
Mitratech Director of Product Marketing Scott Giordano (moderator)
CONVERSATION Working With the Federal Government
As a follow-up to their earlier session on “Achieving Success With External Compliance Monitors,” the chief compliance executive at a Boeing/Lockheed joint venture will convene with her external monitor and the senior government official who required oversight in a small room for an intimate, off-the-record conversation on working with the federal government and externally appointed monitors. The forum will provide a unique opportunity to explore a variety of subtle, yet critical, dynamics, from negotiation and execution to post-agreement relationship.
Featuring:
United Launch Alliance VP, Office of Internal Governance Cindy S. Corrigan
U.S. Air Force Retired 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
CONVERSATION Trends, Challenges, and Best Practices in Implementing the New Internal Auditing Standards
Alan Siegfried, auditor general of the Inter-American Development Bank and North American chairman of the board of the Institute of Internal Auditors, will lead a small-group conversation to review some of the latest IIA guidance. The session will explore topics such as the focus and structure of the internal audit function at your company and recent internal auditing and internal control challenges confronting corporations today.
Featuring:
Inter-American Development Bank Auditor General; North American Chairman of the Board, Institute of Internal Auditors; Audit Committee Chair-Bon Secours Health System, Baltimore, Alan Siegfried
DEMONSTRATION Proactive Risk and Control Monitoring
Discover how Oracle's GRC applications are being used to mitigate exposure to risk, fraud, and error. See specific examples of implementations and ways that controls-monitoring technology is helping companies enforce real-time, contextual, and preventive controls within business processes.
Featuring:
Oracle Principal Sales Consultant, GRC Applications Adam Schwartz
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 Corporation VP, Legal Dennis J. LaCroix
Aon Corporation VP and Global Chief Compliance Officer Carrie J. Di Santo
FCPA Issues Facing Multinational Companies
Curtis Lu, SVP and Deputy General Counsel, Chief Ethics and Compliance Officer of Time Warner, and Baker Botts attorneys Andy Baker and Michael Barta will discuss the challenges associated with the growing trend of multi-sovereign enforcement efforts after Siemens, Halliburton and BAE. They will also discuss best practices and strategies for avoiding FCPA problems in international M&A activities after DOJ Opinion Release 08-02.
Featuring:
Time Warner SVP and Deputy General Counsel, Chief Ethics and Compliance Officer Curtis Lu
Baker Botts L.L.P. Senior Corporate Partner Andy Baker
Baker Botts L.L.P. Litigation Partner Michael Barta
Emerging Topics in Financial Reporting
Two SEC accountants 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 Associate Chief Accountant, Division of Corporation Finance Steven C. Jacobs
Compliance Week Columnist; former SEC Acting 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
CONVERSATION OFAC Enforcement Update
Michael Geffroy, Assistant Director for Enforcement, Office of Foreign Assets Control (OFAC) at the U.S. Department of the Treasury, will discuss recent OFAC developments, and take questions from participants. The session will include examples of recent cases and settlements, the intersection of OFAC, export controls, and FCPA violations, and other critical findings and issues.
Featuring:
U.S. Dept of the Treasury Office of Foreign Assets Control, Assistant Director for Enforcement Michael Geffroy
DEMONSTRATION Effective Reporting for Complex Regulatory Compliance
Demonstrating the integrity of your compliance process is an essential part of meeting regulatory requirements, and the best way to communicate that integrity is though reports that are clear, concise, and speak for themselves. Come see how companies have deployed Mitratech solutions to easily create effective reports using built-in tools that communicate compliance excellence. This demonstration will offer specific examples of how global corporations in a variety of industries are using TeamConnect’s reporting tools to generate business intelligence that supports the company’s mission and satisfies demanding reporting requirements.
Featuring:
Mitratech Vice President Shaheen Javadizadeh
Mitratech Director of Product Marketing Scott Giordano
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, Wyndham Worldwide and Pride International will describe their supply-chain compliance programs, providing details on their strategies, goals, programs, policies, and associated costs and benefits.
Featuring:
GE Energy Services Global Compliance Leader, GE Sensing & Inspection Richard A. Breunig
Wyndham Worldwide Group VP, International Law Christopher A. Nowak
Pride International Chief Compliance Officer Brian T. Moffatt
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, Allstate Insurance Company, 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
Allstate Insurance Company VP, Chief Ethics & Compliance Officer and Chief Privacy Officer Richard C. Crist, Jr.
Increased Regulatory Oversight and Enhanced Enforcement: Meeting the Challenge Through a Balanced Governance, Risk, and Compliance (GRC) Program
An evolving regulatory environment, with increasing oversight pressures, present challenges in managing and complying with the mounting number of regulations. The risks of non-compliance are too great to ignore. With so much at stake, how can organizations comply and best manage such risks as fraud and misconduct and bribery and corruption with limited resources? Leaders from KPMG LLP’s Advisory group and Constellation Energy Group Senior VP and Chief Risk Officer Brenda L. Boultwood will discuss and demonstrate how a holistic approach to GRC brings together complex and disparate risk and compliance activities in alignment with corporate strategy and culture, enabling organizations to respond to new regulations in a more efficient manner.
Featuring:
Constellation Energy Group Senior VP and Chief Risk Officer Brenda L. Boultwood
KPMG LLP Global Governance, Risk & Compliance Leader and Partner John M. Farrell
KPMG LLP Americas Forensic Service Line Leader Richard H. Girgenti
CONVERSATION Metrics, Measurement, and Your Company’s Practices
Join Conseco Chief Compliance Officer Mark Johnson for a closed-door conversation on the metrics and measurement tactics employed by your company. Attendees will have the opportunity to compare and contrast their own policies in a safe environment, discussing the merit of “negative” vs. “positive” metrics, board reporting challenges, and the value of process-oriented vs. results-oriented data.
Featuring:
Conseco Chief Compliance Officer Mark Johnson
CONVERSATION Multi-Sovereign Proceedings After Siemens, Halliburton, and BAE
As a follow up to their 10:00 a.m. FCPA session, Baker Botts attorneys Mary Spearing and Brad Bennett will host a more in-depth discussion of the potential pitfalls that can arise in the increasingly common situation when a company’s activities attract the scrutiny of foreign enforcement authorities as well as the Department of Justice and the Securities and Exchange Commission.
Featuring:
Baker Botts L.L.P. Litigation Partner Mary Spearing
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, Associate Chief Accountant, Division of Corporation Finance 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 Associate Chief Accountant, Division of Corporation Finance Steven C. Jacobs
12:30 p.m.
Move to Lunch & Keynote
12:45 p.m.
Lunch
1:30 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
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, General Electric Company, 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 Senior Vice President – Audit Services and Chief Ethics and Compliance Officer Jeffery G. Browning
The Home Depot Director, Corporate Compliance and Ethics Brad Nesmith
General Electric Company Manager of Integrity & Regulatory Compliance Natalie Jackson-Smith
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
Value-added GRC: The Journey among Audit, Risk and Compliance
Many companies have taken the oft-discussed but rarely seen "strategic approach" to developing holistic governance, risk and compliance programs. But by creating innovative, dynamic, responsive, and comprehensive programs, companies are better able to serve internal and external customers, act proactively in minimizing risk, and achieve high-level transparency across their extended enterprise. In this session, Gary Fingerhut, Vice President Sales and General Manager of Axentis, part of ARC Logics a Wolters Kluwer business, along with Medco and Norfolk Southern will discuss the journey across functions including ERM, Compliance, Audit and Legal. Learn more about the strategies they pursued, programs they deployed, and the GRC solutions they’ve implemented to make it happen.
Norfolk Southern Sr. General Attorney Compliance Krista McAninley
ARC Logics, a Wolters Kluwer business VP Sales and General Manager of Axentis Gary Fingerhut
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
CONVERSATION Export Controls Primer
Join Department of Commerce, Office of Export Enforcement Special Agent in Charge Rick L. Shimon and U.S. Department of Justice Trial Attorney of the Counterespionage Section of the National Security Division Jonathan C. Poling to hear their insights on how the Bureau of Industry and Security and DoJ enforce export control law, what their priorities are today, how global companies should manage ‘export control risk’ and ensure regulatory compliance, and how to work with the BIS and DoJ should a compliance violation occur.
Featuring:
Department of Commerce Office of Export Enforcement criminal investigator Rick L. Shimon
U.S. Department of Justice Trial Attorney of the Counterespionage Section of the National Security Division Jonathan C. Poling
CONVERSATION Considerations and Tools for Effectively Managing the Risk of Fraud and Misconduct
Opportunities and pressures have increased the risk of fraud and misconduct for many organizations whether related to the receipt of federal stimulus or TARP funding or as a result of the increased scrutiny by the DOJ, SEC, or other federal or state enforcement authorities. Leading organizations are continuously considering how they may be at risk for what types of processes and controls will they need to help ensure appropriate risk mitigation across the organization now and in the future? What roles do data analytics and technology play in preventing, detecting, and responding to fraud? KPMG Forensic leaders will guide an interactive discussion on how a business-driven approach to fraud risk management can help mitigate risks and meet the heightened expectations of accountability in corporate governance.
Featuring:
KPMG LLP Americas Forensic Service Line Leader Richard H. Girgenti
3:15 p.m.
Networking Break
3:45 p.m.
Auditing Compliance, Ethics, and Risk
Should ERM programs be audited? How? What about compliance and ethics programs? Three audit executives from Marsh & McLennan Companies, FMC Corporation and The Boeing Company 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
The Boeing Company VP, Corporate Audit Office of Internal Governance Kelvin E. Council
PhyServe Physician Services, Inc. SVP Governance and Compliance José Tabuena (moderator)
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, Schnitzer Steel, and VeriSign—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
Schnitzer Steel Industries VP and Chief Compliance Officer Callie Pappas
VeriSign VP Internal Audit Mark Gosling
PricewaterhouseCoopers LLP Principal, Advisory Practice, U.S. Leader, Governance Risk & Compliance Services Joseph C. Atkinson (moderator)
GRC Strategy Roadmap: Define Your Vision for a Best-in-Class Governance, Risk and Compliance Program
To build a successful enterprise governance, risk and compliance program, organizations need a solid roadmap that aligns people, business processes and information. Join this panel discussion to learn how several large enterprises have utilized a Strategy Roadmap to evaluate their GRC processes and program maturity, get their stakeholders on the same page, flush out dependencies and redundancies, and prioritize their approach for short- and long-term success.
Featuring:
RSA Director of Archer eGRC Solutions David Walter (moderator)
Others to be announced.
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
CONVERSATION The GRC Convergence Challenge: The Evolving Synergies of Internal Audit, Risk Management, Compliance Programs, and Technology
As business operations and responsibilities have become more complex, many organizations find that their GRC related functions are operating in a complex web of uncoordinated yet overlapping responsibilities, processes, policies/procedures, oversight roles, and reports --- creating costly and duplicated efforts. Many find these GRC efforts have lost sight of prime objectives- to improve performance and drive efficiency. In recent years, the risk and control functions comprising GRC have begun to work more closely, achieving commonality and support of disparate GRC projects. To discuss and explore "how well" your organization's efforts integrate GRC and benchmark them against other leading organizations, please join this active discussion.
Featuring:
KPMG LLP Global Governance, Risk & Compliance Leader and Partner John M. Farrell
4:45 p.m.
Move to Keynote
5:00 p.m.
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 Scott L. Mitchell
5:15 p.m.
EVENING KEYNOTE U.S. Dept. of Justice Acting Deputy Attorney General Gary Grindler
Gary Grindler, the second-highest ranking official at the U.S. Justice Department, will talk about the department’s policy goals and initiatives to fight corporate fraud, including white-collar crime issues such as securities and commodities fraud, healthcare fraud, and the work of the Financial Fraud Enforcement Task Force.
Featuring:
U.S. Department of Justice Acting Deputy Attorney General Gary Grindler
5:45 p.m.
Closing Remarks
Wednesday, May 26
7:30 a.m.
Networking Breakfast & Registration
8:30 a.m.
MORNING KEYNOTE U.S. DoJ Asst. Attorney General, Criminal Division, Lanny Breuer
Lanny Breuer, selected by President Obama to head the Criminal Division of the Justice Department in January 2009, will discuss practical matters for companies dealing with the Justice Department, including topics such as cooperation, attorney-client privilege, and the importance of pre-existing compliance programs. Breuer will also discuss the Department’s increasing use of proactive law-enforcement strategies and tools, such as wiretaps, to combat financial fraud.
Featuring:
U.S. Department of Justice Assistant Attorney General, Criminal Division, U.S. Department of Justice
9:15 a.m.
Move to Concurrent Sessions, Conversations and Demonstrations
9:30 a.m.
2010 Proxy Disclosure Update
Wondering how your proxy season experience compares to others? Patrick McGurn, special counsel to RiskMetrics Group’s ISS Governance Services, will give a retrospective of the 2010 proxy season, sharing examples of good (and not so good) disclosures made by companies this spring as they tried to comply with multiple new requirements from the SEC. The session will be aimed at helping 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 BMO Financial Group, Centene Corporation and Allegheny Energy 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:
Bank of Montreal Financial Group VP Corporate Compliance Joann Sochor
Centene Corporation VP Ethics & Compliance Bob Miromonti
Allegheny Energy Senior Controls Compliance Consultant Shelley J. Cottrill
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
CONVERSATION SEC Enforcement and Investigations Update
Compliance Week Columnist Bruce Carton, a former SEC Enforcement staffer, and U.S. Securities and Exchange Commission Division of Enforcement, Market Abuse Unit Assistant Director Rob Cohen, 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
U.S. Securities and Exchange Commission Division of Enforcement Market Abuse Unit Assistant Director of Enforcement Rob Cohen
10:30 a.m.
Second City Summary: Compliance Week 2010 Conference Wrap-Up
Get ready for a fun, interactive, high-energy conference closer from Second City Communications, the business solutions division of the world-famous comedy theatre. Using observations, ideas, and insights garnered from the entire three-day conference, Second City Communications will play back what they’ve heard, offering a real-time wrap-up of key conference takeaways, and providing a host of ideas you can bring back to your company. This is a closing session you won’t want to miss!
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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 topics 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.
Prestigious firms sued by the SEC, subjects of negative reports, forced to endure angry Congressional testimony arising out of their involvement in the financial crisis of 2008, already provide important lessons for corporate executives. Kalorama Partners CEO 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 the lessons executives can learn from current events.
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.
Gary Grindler, the second-highest ranking official at the U.S. Justice Department, will talk about the department’s policy goals and initiatives to fight corporate fraud, including white-collar crime issues such as securities and commodities fraud, healthcare fraud, and the work of the Financial Fraud Enforcement Task Force.
Lanny Breuer, selected by President Obama to head the Criminal Division of the Justice Department in January 2009, will discuss practical matters for companies dealing with the Justice Department, including topics such as cooperation, attorney-client privilege, and the importance of pre-existing compliance programs. Breuer will also discuss the Department’s increasing use of proactive law-enforcement strategies and tools, such as wiretaps, to combat financial fraud.