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Pre-
Con
fere
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, 201
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The
2010
Busi
ness
Eth
ics
and
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nce
Con
fere
nce
Prom
otio
n C
ode
Save $200register by 3.25.10!
April 21–22, 2010Westin New York at Times Square, New York, NY
Pre-Conference WorkshopsApril 20, 2010
Presented with assistance from:
The Conference Board® and the torchlogo are registered trademarks of
The Conference Board, Inc. Programsubject to change. February 2010
Cancellation PolicyFull refund until three weeks before the meeting. $500 administration fee up to two weeks before the meeting.No refund after two weeks before the meeting. Confirmed registrants who fail to attend and do not cancel priorto the meeting will be charged the entire registration fee.
Team Discounts per personFor a team of three or more registering from the same company at the same time, take $300 off each person’sregistration.
One discount per registration. Multiple discounts may not be combined.
Registration InformationOnlinewww.conference-board.org/ethics
Phone212 339 03458:30 am to 5:30 pm ET Monday through Friday
Conference (903010-1)Dates: April 21–22, 2010Location: Westin New York at Times SquareNew York, NY
Save $200, register by 3.25.2010Associates $1,995 ($2,195 after 3.25.10)Non-Associates $2,295 ($2,495 after 3.25.10)
Pre-Conference Workshop A (B71010-1)Pre-Conference Workshop B (B74010-1)Date: April 20, 2010Location: Westin New York at Times SquareNew York, NY
Per Workshop PriceAssociates $595 Non-Associates $695
Both Workshops PricePrice includes a 10% discount.Associates $1,071 Non-Associates $1,251
The 2010 Business Ethics and Compliance ConferenceApril 21–22, 2010Westin New York at Times Square, New York, NYPre-Conference Workshops, April 20, 1010
Hotel AccommodationsFees do not include hotel accommodations. For discountedreservations, contact the hoteldirectly no later than the cut-off dateand mention The Conference BoardBusiness Ethics and ComplianceConference.
Hotel Discount Cut-off Date: Monday, March 29, 2010
Westin New York at Times Square270 West 43rd StreetNew York, NY 10036Tel 212 201 2700
www.conference-board.org/ethics
The 2010
Business Ethics and ComplianceConferencePriorities in Today’s Regulatory and Enforcement Environment
Printed and bound by Sheridan Printing Co., Inc., Alpha, New Jersey, an FSC-certifiedprinter. This brochure is printed on Mohawk Via paper, which is 100% post-consumerwaste fiber, manufactured with wind power, and is process chlorine free. The paper iscertified by Green Seal and SmartWood for Forest Stewardship Council standards.No films or film-processing chemicals were used in the printing of this brochure.
Pre-Conference WorkshopsTuesday, April 20, 2010Registration and Continental Breakfast 8–9 am
Introduction to Ethics and Compliance Program ManagementWorkshop A 9 am–12:30 pm
This interactive session is for attendees new to the field of ethics and compliance.Ethics professionals will share their experience and address such topics as:
• Getting started—initial considerations, gaining support • Risk assessment • Oversight and effective leadership • Communications and training • Help lines, investigations and discipline • Monitoring and program assessment • Building a culture to support ethics and compliance
Participants will receive practical suggestions from other ethics and compliance officers and subject matter experts. Throughout the morning, the emphasis will be on practical and actionable recommendations. Attendance is limited to ensure thatevery participant can receive answers to their questions as well as advice for theirunique challenges.
Harry Britt, Manager, Ethics & Compliance, El Paso CorporationKris DiGirolamo, Compliance Director, Allstate InsuranceJeffrey S. Newman, Partner, Foley & Lardner LLP Ed Petry, Vice President, Ethical Leadership Group, a Global Compliance CompanyDavid Reid, Vice President, Ethics Director, Texas Instruments
Luncheon and Registration 12:30–1:30 pm
Stress-testing Your Ethics and Compliance ProgramWorkshop B 1:30–5 pm
As government investigative activity and regulatory oversight increase both in the U.S.and abroad, ethics and compliance officers must be familiar with what is expected fromtheir ethics and compliance programs by outside parties. This hands–on workshop willexplore what government–appointed monitors and board–appointed assessors look forwhen scrutinizing programs, including what documents and supporting information areexpected to be completed and readily available.
Participants will learn how to stress–test their own programs according to key evaluation criteria, including:
• Process by which significant risks are identified • Specific means by which these risks are responded to • How the organization would respond once an employee became aware
of a potential problem in a given risk area
Participants will leave the workshop with action–planning resources to help prepare fora potential future stress–test of their own organization.
Kerry David, Chief Compliance Officer, The Shaw Group Inc.Carrie Penman, Vice President, Ethical Leadership Group, a Global Compliance CompanySteve Priest, President, Ethical Leadership Group, a Global Compliance Company
The
Con
fere
nce
Boar
d84
5 Th
ird A
venu
e, N
ew Y
ork,
NY
1002
2-66
00
Apr
il 21
–22,
201
0W
estin
New
Yor
k at
Tim
es S
quar
e, N
ew Y
ork,
NY
Pre-
Con
fere
nce
Wor
ksho
ps
Apr
il 20
, 201
0
The
2010
Busi
ness
Eth
ics
and
Com
plia
nce
Con
fere
nce
Prom
otio
n C
ode
Save $200register by 3.25.10!
April 21–22, 2010Westin New York at Times Square, New York, NY
Pre-Conference WorkshopsApril 20, 2010
Presented with assistance from:
The Conference Board® and the torchlogo are registered trademarks of
The Conference Board, Inc. Programsubject to change. February 2010
Cancellation PolicyFull refund until three weeks before the meeting. $500 administration fee up to two weeks before the meeting.No refund after two weeks before the meeting. Confirmed registrants who fail to attend and do not cancel priorto the meeting will be charged the entire registration fee.
Team Discounts per personFor a team of three or more registering from the same company at the same time, take $300 off each person’sregistration.
One discount per registration. Multiple discounts may not be combined.
Registration InformationOnlinewww.conference-board.org/ethics
Phone212 339 03458:30 am to 5:30 pm ET Monday through Friday
Conference (903010-1)Dates: April 21–22, 2010Location: Westin New York at Times SquareNew York, NY
Save $200, register by 3.25.2010Associates $1,995 ($2,195 after 3.25.10)Non-Associates $2,295 ($2,495 after 3.25.10)
Pre-Conference Workshop A (B71010-1)Pre-Conference Workshop B (B74010-1)Date: April 20, 2010Location: Westin New York at Times SquareNew York, NY
Per Workshop PriceAssociates $595 Non-Associates $695
Both Workshops PricePrice includes a 10% discount.Associates $1,071 Non-Associates $1,251
The 2010 Business Ethics and Compliance ConferenceApril 21–22, 2010Westin New York at Times Square, New York, NYPre-Conference Workshops, April 20, 1010
Hotel AccommodationsFees do not include hotel accommodations. For discountedreservations, contact the hoteldirectly no later than the cut-off dateand mention The Conference BoardBusiness Ethics and ComplianceConference.
Hotel Discount Cut-off Date: Monday, March 29, 2010
Westin New York at Times Square270 West 43rd StreetNew York, NY 10036Tel 212 201 2700
www.conference-board.org/ethics
The 2010
Business Ethics and ComplianceConferencePriorities in Today’s Regulatory and Enforcement Environment
Printed and bound by Sheridan Printing Co., Inc., Alpha, New Jersey, an FSC-certifiedprinter. This brochure is printed on Mohawk Via paper, which is 100% post-consumerwaste fiber, manufactured with wind power, and is process chlorine free. The paper iscertified by Green Seal and SmartWood for Forest Stewardship Council standards.No films or film-processing chemicals were used in the printing of this brochure.
Pre-Conference WorkshopsTuesday, April 20, 2010Registration and Continental Breakfast 8–9 am
Introduction to Ethics and Compliance Program ManagementWorkshop A 9 am–12:30 pm
This interactive session is for attendees new to the field of ethics and compliance.Ethics professionals will share their experience and address such topics as:
• Getting started—initial considerations, gaining support • Risk assessment • Oversight and effective leadership • Communications and training • Help lines, investigations and discipline • Monitoring and program assessment • Building a culture to support ethics and compliance
Participants will receive practical suggestions from other ethics and compliance officers and subject matter experts. Throughout the morning, the emphasis will be on practical and actionable recommendations. Attendance is limited to ensure thatevery participant can receive answers to their questions as well as advice for theirunique challenges.
Harry Britt, Manager, Ethics & Compliance, El Paso CorporationKris DiGirolamo, Compliance Director, Allstate InsuranceJeffrey S. Newman, Partner, Foley & Lardner LLP Ed Petry, Vice President, Ethical Leadership Group, a Global Compliance CompanyDavid Reid, Vice President, Ethics Director, Texas Instruments
Luncheon and Registration 12:30–1:30 pm
Stress-testing Your Ethics and Compliance ProgramWorkshop B 1:30–5 pm
As government investigative activity and regulatory oversight increase both in the U.S.and abroad, ethics and compliance officers must be familiar with what is expected fromtheir ethics and compliance programs by outside parties. This hands–on workshop willexplore what government–appointed monitors and board–appointed assessors look forwhen scrutinizing programs, including what documents and supporting information areexpected to be completed and readily available.
Participants will learn how to stress–test their own programs according to key evaluation criteria, including:
• Process by which significant risks are identified • Specific means by which these risks are responded to • How the organization would respond once an employee became aware
of a potential problem in a given risk area
Participants will leave the workshop with action–planning resources to help prepare fora potential future stress–test of their own organization.
Kerry David, Chief Compliance Officer, The Shaw Group Inc.Carrie Penman, Vice President, Ethical Leadership Group, a Global Compliance CompanySteve Priest, President, Ethical Leadership Group, a Global Compliance Company
Luncheon 12 noon–1:15 pm
Choose C1, C2, or C3 1:30–2:45 pm
Ethical Challenges and the Need for Proactive LeadershipC1 1:30–2:45 pm
Two leading ethics professionals examine the “who, what, when and how” of ethics and compliance and the board by asking: Who are the senior level players critical to the identification and resolution of ethical issues in a business? What are the key procedural andsubstantive business integrity and compliance issues that boards need to address? Whenshould boards be informed about, and monitor, ethical issues and when should they proactivelyintervene? How should boards tackle and resolve ethical issues—from the pedestrian to the material—in a manner consistent with their fiduciary responsibilities?
Moderator, Ronald E. Berenbeim, Principal Researcher, The Conference BoardAndrea Bonime-Blanc, Esq., General Counsel, Corporate Secretary and Chief ComplianceOfficer, Daylight Forensic & Advisory, LLCJacqueline E. Brevard, Esq., Vice President, Chief Ethics & Compliance Officer, Merck & Co., Inc.
Monitoring for RetaliationC2 1:30–2:45 pm
Nearly every company has a non-retaliation policy but most ethics officers (and employees) arestill concerned about whether policies really have “teeth”. Further, employees who believe theyare experiencing retaliation may be reluctant to report their concerns because they fear thingswill only get worse. Using keypad voting, a hands-on data analysis exercise, and a discussion ofboth overt and subtle retaliation using real cases, this workshop will highlight the importance ofprotecting employees from retaliation and teach ethics officers how to recognize red-flags. Youwill walk away with a new framework to implement a retaliation monitoring program.
Carrie Penman, Vice President, Ethical Leadership Group, a Global Compliance CompanyVicki Sweeney, Principal, Ethics and Compliance, KPMG
Enforcing Ethics and Compliance in Your Supply ChainC3 1:30–2:45 pm
Relationships with suppliers have often been an ethics and compliance risk area for employeesand companies. In this session, we will discuss steps that can be taken to communicate standards and expectations to suppliers, monitor employee-supplier relations, and address allegations of wrongdoing involving suppliers. In addition, we will discuss what can be done toassist suppliers to build their own ethics and compliance programs with the goal of improvingbusiness relations, protecting reputations and minimizing the potential for conflicts, gift andentertainment violations, and misuse of company assets.
Harry Britt, Manager, Ethics and Compliance, El Paso CorporationDavid Reid, Vice President, Ethics Director, Texas Instruments
www.conference-board.org/ethics www.conference-board.org/ethicsCall Customer Service at 212 339 0345
Thursday, April 22, 2010Continental Breakfast 7:30–8:15 am
The Impact of Social Networks and New CommunicationsTechnologiesF 8:15–9:45 am
In an instant, video images and confidential information from your company can be available to audiences worldwide via the internet. Recent cases have demonstrated howblogs, video sites, bulletin boards and the 24/7 business press can pose unprecedentedrisks to privacy, confidential and proprietary information, and your company’s good name.In this session we will discuss these and related risks posed by new communicationstechnologies and what can be done to mitigate them.
Choose G1 or G2 10–11:15 am
Communicating and Managing FCPA Risk G1 10–11:15 am
Recent cases indicate that enforcement of the U.S. Foreign Corrupt Practices Act (FCPA)is escalating. While most companies have in place policies pertaining to FCPA, effectively managing the risk and targeting communications to specific employees remains a challenge. In this session, you will hear how two global companies are addressing theseconcerns. Topics to be discussed include:
• Managing language and cultural differences including how to train on “Ethics” in different regions and addressing the “U.S. Law, Not Local Law” syndrome;
• Establishing incentives as well as discipline to promote correct behavior;• Maintaining effective financial controls and the role of audits;• Managing the use of third parties.
Maryann Clifford, Vice President, Global Ethics & Compliance, BPMatthew O. Tanzer, Vice President and Chief Compliance Counsel, Tyco International
Managing Antitrust ComplianceG2 10–11:15 am
At a time of heightened skepticism about business and increased enforcement, compa-nies now face unprecedented challenges to ensure that they are adequately addressingantitrust issues. Please join us for a focused session on how best to respond to currentand likely future trends in antitrust law and policy.
Where We Stand and What We Need to Do Next – Planning forToday’s Regulatory and Enforcement EnvironmentH 11:15 am–12:15 pm
During the conference, we’ve heard from regulators, members of the enforcement community, and in-house ethics and compliance specialists about what they view as thetrends and priorities for the future. In this session you will be able to anonymously vote on your view of risks and priorities and your organization’s preparedness to face thesechallenges. This will be an opportunity to see how your view of the future compares withyour peers as well as an open discussion to share advice and practical recommendations.
Steve Priest, Program Director, The Conference Board
Wednesday, April 21, 2010Registration and Continental Breakfast 8–8:45 am
Welcome, 8:45–9 am, Steve Priest, Program Director, The Conference Board
Priorities in Today’s Regulatory and Enforcement EnvironmentA 9–10 am
This session will highlight recent regulatory and enforcement trends that companies need totake into account when developing their ethics and compliance plans. What are we likely tosee in the months ahead? What new risk areas are emerging and what needs to be a priorityfor you and your company’s leaders?
Choose B1, B2 or B3 10:15–11:45 am
Effective Risk Assessment B1 10:15–11:45 am
The risk environment is changing in many areas including new regulations and enforcementtrends. New concerns are emerging due to social networking and other technologies.Financial pressures, uncertainties and reduced ethics and compliance budgets compoundthe problem. In this session you will hear from experienced ethics and compliance officerswho have developed and implemented risk assessment processes that utilize existing datafrom training and help lines, engage internal subject matter experts, and deliver actionable,proactive insights to help their companies prepare for and mitigate key risk areas.
Kathleen Edmond, Chief Ethics Officer, Best BuyLauren A. Ferrari, Director, Office of Business Conduct, Alcatel-Lucent
Promoting Ethics in U.S. Government ContractingB2 10:15–11:45 am
Federal rules establish that contractors must conduct themselves with the highest degree of integrity and honesty, have a code of business conduct, internal control systems that promote business integrity, and business ethics/compliance training programs. We willexamine key questions concerning government oversight of business ethics viewed from a global perspective. Should the substance of the programs/systems vary depending inwhich country the company operates? Is it appropriate for U.S. officials to impose U.S. standards on companies operating in foreign countries? Should there be global standards?
Pedro Montoya, Chief Compliance Officer, EADSSteven A. Shaw, Deputy General Counsel, Department of the Air Force
False Claims Act Enforcement DevelopmentsB3 10:15–11:45 am
False Claims Act (“FCA”) enforcement actions continue to be a high priority for the U.S.Department of Justice and are popular among civil plaintiffs (also known as whistleblowers)as well. Recent settlements and litigation emphasize the ongoing need for comprehensiveand effective compliance programs. This session will provide critical insight regarding:
• Innovations in government liability theories and expansion of FCA actions; • Tools for identifying FCA risks and potential violations of law; and • How to cope effectively with government investigations or private civil actions.
Mitchell S. Ettinger, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
Call Customer Service at 212 339 0345
Choose D1, D2 or D3 3:15–4:30 pm
Chief Compliance and Ethics Officer RoundtableD1 3:15–4:30 pm
Experienced chief compliance and ethics officers from three leading companies (members ofThe Conference Board Council on Corporate Compliance and Ethics) will lead this interactivediscussion on “bleeding edge” issues at the top of their 2010 agendas.
Moderator, Donna Boehme, Program Director, Council on Corporate Compliance and Ethics, The Conference Board
Update on Insider TradingD2 3:15–4:30 pm
The recent Galleon case brought renewed attention to insider trading especially in the financialservices area. Hear from representatives from the U.S. Securities & Exchange Commission andthe Department of Justice about enforcement priorities and what you need to do to be sure thatyou have appropriate mitigation plans in place to manage this critical risk area.
Laura B. Josephs, Assistant Director, Division of Enforcement, U.S. Securities and Exchange CommissionKathleen McGovern, Assistant Chief, Criminal Division, Fraud Section, U.S. Department of Justice
In Search of the Good Corporate Citizen D3 3:15–4:30 pm
In Search of the Good Corporate Citizen is a groundbreaking television show airing on PBS stations in 2010 that uses real ethics issues to reveal both the challenges of managing ethics,and paths for doing so well. It looks behind the headlines at people who were caught in the ethical cross-fire. The show is already being used internally by companies and at businessschools to catalyze discussions on corporate ethics and compliance. This session, led by theshow’s executive producer, will share excerpts from the show. Join the discussion to considerthe show’s important implications for managing business ethics today.
Frank Geovannello, Manager, Compliance and Integrity, AltriaDenny Swenson, Executive Producer, Light On ProductionsWin Swenson, Partner, Compliance Systems Legal Group
Summary of the Day’s Key ThemesE 4:30–5 pm
Networking Reception 5–6 pm
Hosted by:
Luncheon 12 noon–1:15 pm
Choose C1, C2, or C3 1:30–2:45 pm
Ethical Challenges and the Need for Proactive LeadershipC1 1:30–2:45 pm
Two leading ethics professionals examine the “who, what, when and how” of ethics and compliance and the board by asking: Who are the senior level players critical to the identification and resolution of ethical issues in a business? What are the key procedural andsubstantive business integrity and compliance issues that boards need to address? Whenshould boards be informed about, and monitor, ethical issues and when should they proactivelyintervene? How should boards tackle and resolve ethical issues—from the pedestrian to the material—in a manner consistent with their fiduciary responsibilities?
Moderator, Ronald E. Berenbeim, Principal Researcher, The Conference BoardAndrea Bonime-Blanc, Esq., General Counsel, Corporate Secretary and Chief ComplianceOfficer, Daylight Forensic & Advisory, LLCJacqueline E. Brevard, Esq., Vice President, Chief Ethics & Compliance Officer, Merck & Co., Inc.
Monitoring for RetaliationC2 1:30–2:45 pm
Nearly every company has a non-retaliation policy but most ethics officers (and employees) arestill concerned about whether policies really have “teeth”. Further, employees who believe theyare experiencing retaliation may be reluctant to report their concerns because they fear thingswill only get worse. Using keypad voting, a hands-on data analysis exercise, and a discussion ofboth overt and subtle retaliation using real cases, this workshop will highlight the importance ofprotecting employees from retaliation and teach ethics officers how to recognize red-flags. Youwill walk away with a new framework to implement a retaliation monitoring program.
Carrie Penman, Vice President, Ethical Leadership Group, a Global Compliance CompanyVicki Sweeney, Principal, Ethics and Compliance, KPMG
Enforcing Ethics and Compliance in Your Supply ChainC3 1:30–2:45 pm
Relationships with suppliers have often been an ethics and compliance risk area for employeesand companies. In this session, we will discuss steps that can be taken to communicate standards and expectations to suppliers, monitor employee-supplier relations, and address allegations of wrongdoing involving suppliers. In addition, we will discuss what can be done toassist suppliers to build their own ethics and compliance programs with the goal of improvingbusiness relations, protecting reputations and minimizing the potential for conflicts, gift andentertainment violations, and misuse of company assets.
Harry Britt, Manager, Ethics and Compliance, El Paso CorporationDavid Reid, Vice President, Ethics Director, Texas Instruments
www.conference-board.org/ethics www.conference-board.org/ethicsCall Customer Service at 212 339 0345
Thursday, April 22, 2010Continental Breakfast 7:30–8:15 am
The Impact of Social Networks and New CommunicationsTechnologiesF 8:15–9:45 am
In an instant, video images and confidential information from your company can be available to audiences worldwide via the internet. Recent cases have demonstrated howblogs, video sites, bulletin boards and the 24/7 business press can pose unprecedentedrisks to privacy, confidential and proprietary information, and your company’s good name.In this session we will discuss these and related risks posed by new communicationstechnologies and what can be done to mitigate them.
Choose G1 or G2 10–11:15 am
Communicating and Managing FCPA Risk G1 10–11:15 am
Recent cases indicate that enforcement of the U.S. Foreign Corrupt Practices Act (FCPA)is escalating. While most companies have in place policies pertaining to FCPA, effectively managing the risk and targeting communications to specific employees remains a challenge. In this session, you will hear how two global companies are addressing theseconcerns. Topics to be discussed include:
• Managing language and cultural differences including how to train on “Ethics” in different regions and addressing the “U.S. Law, Not Local Law” syndrome;
• Establishing incentives as well as discipline to promote correct behavior;• Maintaining effective financial controls and the role of audits;• Managing the use of third parties.
Maryann Clifford, Vice President, Global Ethics & Compliance, BPMatthew O. Tanzer, Vice President and Chief Compliance Counsel, Tyco International
Managing Antitrust ComplianceG2 10–11:15 am
At a time of heightened skepticism about business and increased enforcement, compa-nies now face unprecedented challenges to ensure that they are adequately addressingantitrust issues. Please join us for a focused session on how best to respond to currentand likely future trends in antitrust law and policy.
Where We Stand and What We Need to Do Next – Planning forToday’s Regulatory and Enforcement EnvironmentH 11:15 am–12:15 pm
During the conference, we’ve heard from regulators, members of the enforcement community, and in-house ethics and compliance specialists about what they view as thetrends and priorities for the future. In this session you will be able to anonymously vote on your view of risks and priorities and your organization’s preparedness to face thesechallenges. This will be an opportunity to see how your view of the future compares withyour peers as well as an open discussion to share advice and practical recommendations.
Steve Priest, Program Director, The Conference Board
Wednesday, April 21, 2010Registration and Continental Breakfast 8–8:45 am
Welcome, 8:45–9 am, Steve Priest, Program Director, The Conference Board
Priorities in Today’s Regulatory and Enforcement EnvironmentA 9–10 am
This session will highlight recent regulatory and enforcement trends that companies need totake into account when developing their ethics and compliance plans. What are we likely tosee in the months ahead? What new risk areas are emerging and what needs to be a priorityfor you and your company’s leaders?
Choose B1, B2 or B3 10:15–11:45 am
Effective Risk Assessment B1 10:15–11:45 am
The risk environment is changing in many areas including new regulations and enforcementtrends. New concerns are emerging due to social networking and other technologies.Financial pressures, uncertainties and reduced ethics and compliance budgets compoundthe problem. In this session you will hear from experienced ethics and compliance officerswho have developed and implemented risk assessment processes that utilize existing datafrom training and help lines, engage internal subject matter experts, and deliver actionable,proactive insights to help their companies prepare for and mitigate key risk areas.
Kathleen Edmond, Chief Ethics Officer, Best BuyLauren A. Ferrari, Director, Office of Business Conduct, Alcatel-Lucent
Promoting Ethics in U.S. Government ContractingB2 10:15–11:45 am
Federal rules establish that contractors must conduct themselves with the highest degree of integrity and honesty, have a code of business conduct, internal control systems that promote business integrity, and business ethics/compliance training programs. We willexamine key questions concerning government oversight of business ethics viewed from a global perspective. Should the substance of the programs/systems vary depending inwhich country the company operates? Is it appropriate for U.S. officials to impose U.S. standards on companies operating in foreign countries? Should there be global standards?
Pedro Montoya, Chief Compliance Officer, EADSSteven A. Shaw, Deputy General Counsel, Department of the Air Force
False Claims Act Enforcement DevelopmentsB3 10:15–11:45 am
False Claims Act (“FCA”) enforcement actions continue to be a high priority for the U.S.Department of Justice and are popular among civil plaintiffs (also known as whistleblowers)as well. Recent settlements and litigation emphasize the ongoing need for comprehensiveand effective compliance programs. This session will provide critical insight regarding:
• Innovations in government liability theories and expansion of FCA actions; • Tools for identifying FCA risks and potential violations of law; and • How to cope effectively with government investigations or private civil actions.
Mitchell S. Ettinger, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
Call Customer Service at 212 339 0345
Choose D1, D2 or D3 3:15–4:30 pm
Chief Compliance and Ethics Officer RoundtableD1 3:15–4:30 pm
Experienced chief compliance and ethics officers from three leading companies (members ofThe Conference Board Council on Corporate Compliance and Ethics) will lead this interactivediscussion on “bleeding edge” issues at the top of their 2010 agendas.
Moderator, Donna Boehme, Program Director, Council on Corporate Compliance and Ethics, The Conference Board
Update on Insider TradingD2 3:15–4:30 pm
The recent Galleon case brought renewed attention to insider trading especially in the financialservices area. Hear from representatives from the U.S. Securities & Exchange Commission andthe Department of Justice about enforcement priorities and what you need to do to be sure thatyou have appropriate mitigation plans in place to manage this critical risk area.
Laura B. Josephs, Assistant Director, Division of Enforcement, U.S. Securities and Exchange CommissionKathleen McGovern, Assistant Chief, Criminal Division, Fraud Section, U.S. Department of Justice
In Search of the Good Corporate Citizen D3 3:15–4:30 pm
In Search of the Good Corporate Citizen is a groundbreaking television show airing on PBS stations in 2010 that uses real ethics issues to reveal both the challenges of managing ethics,and paths for doing so well. It looks behind the headlines at people who were caught in the ethical cross-fire. The show is already being used internally by companies and at businessschools to catalyze discussions on corporate ethics and compliance. This session, led by theshow’s executive producer, will share excerpts from the show. Join the discussion to considerthe show’s important implications for managing business ethics today.
Frank Geovannello, Manager, Compliance and Integrity, AltriaDenny Swenson, Executive Producer, Light On ProductionsWin Swenson, Partner, Compliance Systems Legal Group
Summary of the Day’s Key ThemesE 4:30–5 pm
Networking Reception 5–6 pm
Hosted by:
Luncheon 12 noon–1:15 pm
Choose C1, C2, or C3 1:30–2:45 pm
Ethical Challenges and the Need for Proactive LeadershipC1 1:30–2:45 pm
Two leading ethics professionals examine the “who, what, when and how” of ethics and compliance and the board by asking: Who are the senior level players critical to the identification and resolution of ethical issues in a business? What are the key procedural andsubstantive business integrity and compliance issues that boards need to address? Whenshould boards be informed about, and monitor, ethical issues and when should they proactivelyintervene? How should boards tackle and resolve ethical issues—from the pedestrian to the material—in a manner consistent with their fiduciary responsibilities?
Moderator, Ronald E. Berenbeim, Principal Researcher, The Conference BoardAndrea Bonime-Blanc, Esq., General Counsel, Corporate Secretary and Chief ComplianceOfficer, Daylight Forensic & Advisory, LLCJacqueline E. Brevard, Esq., Vice President, Chief Ethics & Compliance Officer, Merck & Co., Inc.
Monitoring for RetaliationC2 1:30–2:45 pm
Nearly every company has a non-retaliation policy but most ethics officers (and employees) arestill concerned about whether policies really have “teeth”. Further, employees who believe theyare experiencing retaliation may be reluctant to report their concerns because they fear thingswill only get worse. Using keypad voting, a hands-on data analysis exercise, and a discussion ofboth overt and subtle retaliation using real cases, this workshop will highlight the importance ofprotecting employees from retaliation and teach ethics officers how to recognize red-flags. Youwill walk away with a new framework to implement a retaliation monitoring program.
Carrie Penman, Vice President, Ethical Leadership Group, a Global Compliance CompanyVicki Sweeney, Principal, Ethics and Compliance, KPMG
Enforcing Ethics and Compliance in Your Supply ChainC3 1:30–2:45 pm
Relationships with suppliers have often been an ethics and compliance risk area for employeesand companies. In this session, we will discuss steps that can be taken to communicate standards and expectations to suppliers, monitor employee-supplier relations, and address allegations of wrongdoing involving suppliers. In addition, we will discuss what can be done toassist suppliers to build their own ethics and compliance programs with the goal of improvingbusiness relations, protecting reputations and minimizing the potential for conflicts, gift andentertainment violations, and misuse of company assets.
Harry Britt, Manager, Ethics and Compliance, El Paso CorporationDavid Reid, Vice President, Ethics Director, Texas Instruments
www.conference-board.org/ethics www.conference-board.org/ethicsCall Customer Service at 212 339 0345
Thursday, April 22, 2010Continental Breakfast 7:30–8:15 am
The Impact of Social Networks and New CommunicationsTechnologiesF 8:15–9:45 am
In an instant, video images and confidential information from your company can be available to audiences worldwide via the internet. Recent cases have demonstrated howblogs, video sites, bulletin boards and the 24/7 business press can pose unprecedentedrisks to privacy, confidential and proprietary information, and your company’s good name.In this session we will discuss these and related risks posed by new communicationstechnologies and what can be done to mitigate them.
Choose G1 or G2 10–11:15 am
Communicating and Managing FCPA Risk G1 10–11:15 am
Recent cases indicate that enforcement of the U.S. Foreign Corrupt Practices Act (FCPA)is escalating. While most companies have in place policies pertaining to FCPA, effectively managing the risk and targeting communications to specific employees remains a challenge. In this session, you will hear how two global companies are addressing theseconcerns. Topics to be discussed include:
• Managing language and cultural differences including how to train on “Ethics” in different regions and addressing the “U.S. Law, Not Local Law” syndrome;
• Establishing incentives as well as discipline to promote correct behavior;• Maintaining effective financial controls and the role of audits;• Managing the use of third parties.
Maryann Clifford, Vice President, Global Ethics & Compliance, BPMatthew O. Tanzer, Vice President and Chief Compliance Counsel, Tyco International
Managing Antitrust ComplianceG2 10–11:15 am
At a time of heightened skepticism about business and increased enforcement, compa-nies now face unprecedented challenges to ensure that they are adequately addressingantitrust issues. Please join us for a focused session on how best to respond to currentand likely future trends in antitrust law and policy.
Where We Stand and What We Need to Do Next – Planning forToday’s Regulatory and Enforcement EnvironmentH 11:15 am–12:15 pm
During the conference, we’ve heard from regulators, members of the enforcement community, and in-house ethics and compliance specialists about what they view as thetrends and priorities for the future. In this session you will be able to anonymously vote on your view of risks and priorities and your organization’s preparedness to face thesechallenges. This will be an opportunity to see how your view of the future compares withyour peers as well as an open discussion to share advice and practical recommendations.
Steve Priest, Program Director, The Conference Board
Wednesday, April 21, 2010Registration and Continental Breakfast 8–8:45 am
Welcome, 8:45–9 am, Steve Priest, Program Director, The Conference Board
Priorities in Today’s Regulatory and Enforcement EnvironmentA 9–10 am
This session will highlight recent regulatory and enforcement trends that companies need totake into account when developing their ethics and compliance plans. What are we likely tosee in the months ahead? What new risk areas are emerging and what needs to be a priorityfor you and your company’s leaders?
Choose B1, B2 or B3 10:15–11:45 am
Effective Risk Assessment B1 10:15–11:45 am
The risk environment is changing in many areas including new regulations and enforcementtrends. New concerns are emerging due to social networking and other technologies.Financial pressures, uncertainties and reduced ethics and compliance budgets compoundthe problem. In this session you will hear from experienced ethics and compliance officerswho have developed and implemented risk assessment processes that utilize existing datafrom training and help lines, engage internal subject matter experts, and deliver actionable,proactive insights to help their companies prepare for and mitigate key risk areas.
Kathleen Edmond, Chief Ethics Officer, Best BuyLauren A. Ferrari, Director, Office of Business Conduct, Alcatel-Lucent
Promoting Ethics in U.S. Government ContractingB2 10:15–11:45 am
Federal rules establish that contractors must conduct themselves with the highest degree of integrity and honesty, have a code of business conduct, internal control systems that promote business integrity, and business ethics/compliance training programs. We willexamine key questions concerning government oversight of business ethics viewed from a global perspective. Should the substance of the programs/systems vary depending inwhich country the company operates? Is it appropriate for U.S. officials to impose U.S. standards on companies operating in foreign countries? Should there be global standards?
Pedro Montoya, Chief Compliance Officer, EADSSteven A. Shaw, Deputy General Counsel, Department of the Air Force
False Claims Act Enforcement DevelopmentsB3 10:15–11:45 am
False Claims Act (“FCA”) enforcement actions continue to be a high priority for the U.S.Department of Justice and are popular among civil plaintiffs (also known as whistleblowers)as well. Recent settlements and litigation emphasize the ongoing need for comprehensiveand effective compliance programs. This session will provide critical insight regarding:
• Innovations in government liability theories and expansion of FCA actions; • Tools for identifying FCA risks and potential violations of law; and • How to cope effectively with government investigations or private civil actions.
Mitchell S. Ettinger, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
Call Customer Service at 212 339 0345
Choose D1, D2 or D3 3:15–4:30 pm
Chief Compliance and Ethics Officer RoundtableD1 3:15–4:30 pm
Experienced chief compliance and ethics officers from three leading companies (members ofThe Conference Board Council on Corporate Compliance and Ethics) will lead this interactivediscussion on “bleeding edge” issues at the top of their 2010 agendas.
Moderator, Donna Boehme, Program Director, Council on Corporate Compliance and Ethics, The Conference Board
Update on Insider TradingD2 3:15–4:30 pm
The recent Galleon case brought renewed attention to insider trading especially in the financialservices area. Hear from representatives from the U.S. Securities & Exchange Commission andthe Department of Justice about enforcement priorities and what you need to do to be sure thatyou have appropriate mitigation plans in place to manage this critical risk area.
Laura B. Josephs, Assistant Director, Division of Enforcement, U.S. Securities and Exchange CommissionKathleen McGovern, Assistant Chief, Criminal Division, Fraud Section, U.S. Department of Justice
In Search of the Good Corporate Citizen D3 3:15–4:30 pm
In Search of the Good Corporate Citizen is a groundbreaking television show airing on PBS stations in 2010 that uses real ethics issues to reveal both the challenges of managing ethics,and paths for doing so well. It looks behind the headlines at people who were caught in the ethical cross-fire. The show is already being used internally by companies and at businessschools to catalyze discussions on corporate ethics and compliance. This session, led by theshow’s executive producer, will share excerpts from the show. Join the discussion to considerthe show’s important implications for managing business ethics today.
Frank Geovannello, Manager, Compliance and Integrity, AltriaDenny Swenson, Executive Producer, Light On ProductionsWin Swenson, Partner, Compliance Systems Legal Group
Summary of the Day’s Key ThemesE 4:30–5 pm
Networking Reception 5–6 pm
Hosted by:
Luncheon 12 noon–1:15 pm
Choose C1, C2, or C3 1:30–2:45 pm
Ethical Challenges and the Need for Proactive LeadershipC1 1:30–2:45 pm
Two leading ethics professionals examine the “who, what, when and how” of ethics and compliance and the board by asking: Who are the senior level players critical to the identification and resolution of ethical issues in a business? What are the key procedural andsubstantive business integrity and compliance issues that boards need to address? Whenshould boards be informed about, and monitor, ethical issues and when should they proactivelyintervene? How should boards tackle and resolve ethical issues—from the pedestrian to the material—in a manner consistent with their fiduciary responsibilities?
Moderator, Ronald E. Berenbeim, Principal Researcher, The Conference BoardAndrea Bonime-Blanc, Esq., General Counsel, Corporate Secretary and Chief ComplianceOfficer, Daylight Forensic & Advisory, LLCJacqueline E. Brevard, Esq., Vice President, Chief Ethics & Compliance Officer, Merck & Co., Inc.
Monitoring for RetaliationC2 1:30–2:45 pm
Nearly every company has a non-retaliation policy but most ethics officers (and employees) arestill concerned about whether policies really have “teeth”. Further, employees who believe theyare experiencing retaliation may be reluctant to report their concerns because they fear thingswill only get worse. Using keypad voting, a hands-on data analysis exercise, and a discussion ofboth overt and subtle retaliation using real cases, this workshop will highlight the importance ofprotecting employees from retaliation and teach ethics officers how to recognize red-flags. Youwill walk away with a new framework to implement a retaliation monitoring program.
Carrie Penman, Vice President, Ethical Leadership Group, a Global Compliance CompanyVicki Sweeney, Principal, Ethics and Compliance, KPMG
Enforcing Ethics and Compliance in Your Supply ChainC3 1:30–2:45 pm
Relationships with suppliers have often been an ethics and compliance risk area for employeesand companies. In this session, we will discuss steps that can be taken to communicate standards and expectations to suppliers, monitor employee-supplier relations, and address allegations of wrongdoing involving suppliers. In addition, we will discuss what can be done toassist suppliers to build their own ethics and compliance programs with the goal of improvingbusiness relations, protecting reputations and minimizing the potential for conflicts, gift andentertainment violations, and misuse of company assets.
Harry Britt, Manager, Ethics and Compliance, El Paso CorporationDavid Reid, Vice President, Ethics Director, Texas Instruments
www.conference-board.org/ethics www.conference-board.org/ethicsCall Customer Service at 212 339 0345
Thursday, April 22, 2010Continental Breakfast 7:30–8:15 am
The Impact of Social Networks and New CommunicationsTechnologiesF 8:15–9:45 am
In an instant, video images and confidential information from your company can be available to audiences worldwide via the internet. Recent cases have demonstrated howblogs, video sites, bulletin boards and the 24/7 business press can pose unprecedentedrisks to privacy, confidential and proprietary information, and your company’s good name.In this session we will discuss these and related risks posed by new communicationstechnologies and what can be done to mitigate them.
Choose G1 or G2 10–11:15 am
Communicating and Managing FCPA Risk G1 10–11:15 am
Recent cases indicate that enforcement of the U.S. Foreign Corrupt Practices Act (FCPA)is escalating. While most companies have in place policies pertaining to FCPA, effectively managing the risk and targeting communications to specific employees remains a challenge. In this session, you will hear how two global companies are addressing theseconcerns. Topics to be discussed include:
• Managing language and cultural differences including how to train on “Ethics” in different regions and addressing the “U.S. Law, Not Local Law” syndrome;
• Establishing incentives as well as discipline to promote correct behavior;• Maintaining effective financial controls and the role of audits;• Managing the use of third parties.
Maryann Clifford, Vice President, Global Ethics & Compliance, BPMatthew O. Tanzer, Vice President and Chief Compliance Counsel, Tyco International
Managing Antitrust ComplianceG2 10–11:15 am
At a time of heightened skepticism about business and increased enforcement, compa-nies now face unprecedented challenges to ensure that they are adequately addressingantitrust issues. Please join us for a focused session on how best to respond to currentand likely future trends in antitrust law and policy.
Where We Stand and What We Need to Do Next – Planning forToday’s Regulatory and Enforcement EnvironmentH 11:15 am–12:15 pm
During the conference, we’ve heard from regulators, members of the enforcement community, and in-house ethics and compliance specialists about what they view as thetrends and priorities for the future. In this session you will be able to anonymously vote on your view of risks and priorities and your organization’s preparedness to face thesechallenges. This will be an opportunity to see how your view of the future compares withyour peers as well as an open discussion to share advice and practical recommendations.
Steve Priest, Program Director, The Conference Board
Wednesday, April 21, 2010Registration and Continental Breakfast 8–8:45 am
Welcome, 8:45–9 am, Steve Priest, Program Director, The Conference Board
Priorities in Today’s Regulatory and Enforcement EnvironmentA 9–10 am
This session will highlight recent regulatory and enforcement trends that companies need totake into account when developing their ethics and compliance plans. What are we likely tosee in the months ahead? What new risk areas are emerging and what needs to be a priorityfor you and your company’s leaders?
Choose B1, B2 or B3 10:15–11:45 am
Effective Risk Assessment B1 10:15–11:45 am
The risk environment is changing in many areas including new regulations and enforcementtrends. New concerns are emerging due to social networking and other technologies.Financial pressures, uncertainties and reduced ethics and compliance budgets compoundthe problem. In this session you will hear from experienced ethics and compliance officerswho have developed and implemented risk assessment processes that utilize existing datafrom training and help lines, engage internal subject matter experts, and deliver actionable,proactive insights to help their companies prepare for and mitigate key risk areas.
Kathleen Edmond, Chief Ethics Officer, Best BuyLauren A. Ferrari, Director, Office of Business Conduct, Alcatel-Lucent
Promoting Ethics in U.S. Government ContractingB2 10:15–11:45 am
Federal rules establish that contractors must conduct themselves with the highest degree of integrity and honesty, have a code of business conduct, internal control systems that promote business integrity, and business ethics/compliance training programs. We willexamine key questions concerning government oversight of business ethics viewed from a global perspective. Should the substance of the programs/systems vary depending inwhich country the company operates? Is it appropriate for U.S. officials to impose U.S. standards on companies operating in foreign countries? Should there be global standards?
Pedro Montoya, Chief Compliance Officer, EADSSteven A. Shaw, Deputy General Counsel, Department of the Air Force
False Claims Act Enforcement DevelopmentsB3 10:15–11:45 am
False Claims Act (“FCA”) enforcement actions continue to be a high priority for the U.S.Department of Justice and are popular among civil plaintiffs (also known as whistleblowers)as well. Recent settlements and litigation emphasize the ongoing need for comprehensiveand effective compliance programs. This session will provide critical insight regarding:
• Innovations in government liability theories and expansion of FCA actions; • Tools for identifying FCA risks and potential violations of law; and • How to cope effectively with government investigations or private civil actions.
Mitchell S. Ettinger, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
Call Customer Service at 212 339 0345
Choose D1, D2 or D3 3:15–4:30 pm
Chief Compliance and Ethics Officer RoundtableD1 3:15–4:30 pm
Experienced chief compliance and ethics officers from three leading companies (members ofThe Conference Board Council on Corporate Compliance and Ethics) will lead this interactivediscussion on “bleeding edge” issues at the top of their 2010 agendas.
Moderator, Donna Boehme, Program Director, Council on Corporate Compliance and Ethics, The Conference Board
Update on Insider TradingD2 3:15–4:30 pm
The recent Galleon case brought renewed attention to insider trading especially in the financialservices area. Hear from representatives from the U.S. Securities & Exchange Commission andthe Department of Justice about enforcement priorities and what you need to do to be sure thatyou have appropriate mitigation plans in place to manage this critical risk area.
Laura B. Josephs, Assistant Director, Division of Enforcement, U.S. Securities and Exchange CommissionKathleen McGovern, Assistant Chief, Criminal Division, Fraud Section, U.S. Department of Justice
In Search of the Good Corporate Citizen D3 3:15–4:30 pm
In Search of the Good Corporate Citizen is a groundbreaking television show airing on PBS stations in 2010 that uses real ethics issues to reveal both the challenges of managing ethics,and paths for doing so well. It looks behind the headlines at people who were caught in the ethical cross-fire. The show is already being used internally by companies and at businessschools to catalyze discussions on corporate ethics and compliance. This session, led by theshow’s executive producer, will share excerpts from the show. Join the discussion to considerthe show’s important implications for managing business ethics today.
Frank Geovannello, Manager, Compliance and Integrity, AltriaDenny Swenson, Executive Producer, Light On ProductionsWin Swenson, Partner, Compliance Systems Legal Group
Summary of the Day’s Key ThemesE 4:30–5 pm
Networking Reception 5–6 pm
Hosted by:
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Save $200register by 3.25.10!
April 21–22, 2010Westin New York at Times Square, New York, NY
Pre-Conference WorkshopsApril 20, 2010
Presented with assistance from:
The Conference Board® and the torchlogo are registered trademarks of
The Conference Board, Inc. Programsubject to change. February 2010
Cancellation PolicyFull refund until three weeks before the meeting. $500 administration fee up to two weeks before the meeting.No refund after two weeks before the meeting. Confirmed registrants who fail to attend and do not cancel priorto the meeting will be charged the entire registration fee.
Team Discounts per personFor a team of three or more registering from the same company at the same time, take $300 off each person’sregistration.
One discount per registration. Multiple discounts may not be combined.
Registration InformationOnlinewww.conference-board.org/ethics
Phone212 339 03458:30 am to 5:30 pm ET Monday through Friday
Conference (903010-1)Dates: April 21–22, 2010Location: Westin New York at Times SquareNew York, NY
Save $200, register by 3.25.2010Associates $1,995 ($2,195 after 3.25.10)Non-Associates $2,295 ($2,495 after 3.25.10)
Pre-Conference Workshop A (B71010-1)Pre-Conference Workshop B (B74010-1)Date: April 20, 2010Location: Westin New York at Times SquareNew York, NY
Per Workshop PriceAssociates $595 Non-Associates $695
Both Workshops PricePrice includes a 10% discount.Associates $1,071 Non-Associates $1,251
The 2010 Business Ethics and Compliance ConferenceApril 21–22, 2010Westin New York at Times Square, New York, NYPre-Conference Workshops, April 20, 1010
Hotel AccommodationsFees do not include hotel accommodations. For discountedreservations, contact the hoteldirectly no later than the cut-off dateand mention The Conference BoardBusiness Ethics and ComplianceConference.
Hotel Discount Cut-off Date: Monday, March 29, 2010
Westin New York at Times Square270 West 43rd StreetNew York, NY 10036Tel 212 201 2700
www.conference-board.org/ethics
The 2010
Business Ethics and ComplianceConferencePriorities in Today’s Regulatory and Enforcement Environment
Printed and bound by Sheridan Printing Co., Inc., Alpha, New Jersey, an FSC-certifiedprinter. This brochure is printed on Mohawk Via paper, which is 100% post-consumerwaste fiber, manufactured with wind power, and is process chlorine free. The paper iscertified by Green Seal and SmartWood for Forest Stewardship Council standards.No films or film-processing chemicals were used in the printing of this brochure.
Pre-Conference WorkshopsTuesday, April 20, 2010Registration and Continental Breakfast 8–9 am
Introduction to Ethics and Compliance Program ManagementWorkshop A 9 am–12:30 pm
This interactive session is for attendees new to the field of ethics and compliance.Ethics professionals will share their experience and address such topics as:
• Getting started—initial considerations, gaining support • Risk assessment • Oversight and effective leadership • Communications and training • Help lines, investigations and discipline • Monitoring and program assessment • Building a culture to support ethics and compliance
Participants will receive practical suggestions from other ethics and compliance officers and subject matter experts. Throughout the morning, the emphasis will be on practical and actionable recommendations. Attendance is limited to ensure thatevery participant can receive answers to their questions as well as advice for theirunique challenges.
Harry Britt, Manager, Ethics & Compliance, El Paso CorporationKris DiGirolamo, Compliance Director, Allstate InsuranceJeffrey S. Newman, Partner, Foley & Lardner LLP Ed Petry, Vice President, Ethical Leadership Group, a Global Compliance CompanyDavid Reid, Vice President, Ethics Director, Texas Instruments
Luncheon and Registration 12:30–1:30 pm
Stress-testing Your Ethics and Compliance ProgramWorkshop B 1:30–5 pm
As government investigative activity and regulatory oversight increase both in the U.S.and abroad, ethics and compliance officers must be familiar with what is expected fromtheir ethics and compliance programs by outside parties. This hands–on workshop willexplore what government–appointed monitors and board–appointed assessors look forwhen scrutinizing programs, including what documents and supporting information areexpected to be completed and readily available.
Participants will learn how to stress–test their own programs according to key evaluation criteria, including:
• Process by which significant risks are identified • Specific means by which these risks are responded to • How the organization would respond once an employee became aware
of a potential problem in a given risk area
Participants will leave the workshop with action–planning resources to help prepare fora potential future stress–test of their own organization.
Kerry David, Chief Compliance Officer, The Shaw Group Inc.Carrie Penman, Vice President, Ethical Leadership Group, a Global Compliance CompanySteve Priest, President, Ethical Leadership Group, a Global Compliance Company
