Compliance & RegulationSummit

Evolving a Compliance Strategy to Stay Ahead

September 10 & 11, 2015The Seaport World Trade Center

Boston, MA

Confirmed Speakers

Confirmed Speakers• Former Leader, Compliance, CFO Publishing• Deputy General Counsel, US Dept. of Commerce• Assistant General Counsel, Platforms & Tech, AOL

• SVP, Ethics & Compliance Executive, Bertelsmann• Gen. Counsel & Chief Compliance Officer, Agfa Corp• Program Manager, Business Compliance, Esterline

• Chief Compliance Officer, DynCorp International• Chief Compliance Officer, Cambridge Savings Bank• VP, Model Risk Management, Santander Bank• Board Member, FASB

• Chief Compliance Officer, M&T Bank

• Sr. Director, GRC, Root Capital• Managing Director, Compliance, AIG• Managing Counsel, Compliance, Ford Motor Company

• VP, Global Audit Services, Walmart eCommerce• Chief Compliance Research Officer, Harvard University• Managing Director, Financial Crimes, Treliant Risk Advisors

• Senior Director, GRC, Root Capital• Executive Director, Quality Assurance, PRA Health Sciences

• Senior Compliance Counsel, NCR Corporation• Director, Privacy & Data Governance, Yahoo

Previous Speakers• CFO, Mercedes-Benz USA

• CFO, Trip Advisor

• CFO, BrightLine

• CFO, Bloomsbury Publishing

• CFO, Imagem Music

• CFO, GTJ REIT, Inc

• CFO, American Academy of Physician Assistants

• CFO, ION Geophysical Corporation

• CFO, Elite Sports Enterprises, Inc

Who Will You Meet?

Past Attendee Demographic

• CFO, Wolters Kluwer

• CFO, RNN

• CFO, Own Energy

• Director, Finance, Ralph Lauren

• CFO, GFI Capital Resources Group

• CFO, Evolv

• CFO, Hightail

• CFO, WWE

• CFO, PBS

26%$

21%$8%$

21%$

15%$9%$

Job$%tles$CFO$

VP$

Controller$

Director$

Manager$

Other$C;Level$$

3%#16%#

10%#

11%#11%#

33%#

Annual&sales&volume&

$1($9.99#mill#

$10($49.99#mill#

$50($99.99#mill#

$100($499.99#mill#

$500($999.99#mill#

$1#bill#+#

CFO’s popular Compliance & Regulation Summit draws an audience of senior finance professionals looking to learn the latest perspectives on the most vital aspects of finance today, including:

• Business Analytics• Big Data Management• Cost Modeling

• Fraud Detection/ Prevention• Risk Management• Finance Process Transformation

How will you and your finance team drive and manage sustainable, profitable growth? How can you make the best use of the resources you have by working more efficiently, using the right tools, tactics, and technology to succeed in today’s volatile environment?

CFO’s Corporate Compliance & Regulation conference will offer a unique opportunity to network and share ideas with your industry peers.

The agenda has been specifically designed to concentrate on current compliance issues and potential future regulatory developments.

Presentations will show how your finance organization can embrace the future of finance, becoming a innovative function operating with maximum efficiency and effectiveness.

About The Summit

Luke Brussel was the Anti-Corruption Compliance Leader for GE Capital with responsibility for the design, implementation and management of the company’s global anti-corruption compliance program. Prior to joining GE, Luke served as Chief Compliance Officer of Cengage Learning, the second largest global educational products and services company, where he initiated and developed the company’s anti-corruption, government contracting, corporate governance and securities compliance programs, and prior to being named CCO, served as Corporate Counsel. Luke previously held roles as chief of staff and counsel in the New York State legislature and Associate in the corporate finance group of Kaye Scholer LLP in New York.

Luke BrusselAnti-Corruption Compliance LeaderCFO Publishing

Cutting Through the Compliance Clutter: Addressing Actual & Distinct Corruption Risk

Companies must have effective anti-corruption controls to meet regulatory requirements, mitigate criminal and civil liability and reputational damage risks and prevent the corrosive effects of corruption within. In a high stakes environment with competing interests and views from regulators, auditors and other business functions, limited resources and the need to achieve proven results; leaders are faced with tough choices to make in establishing the “right” controls and maintaining credibility for their company’s anti-corruption efforts. This presentation will discuss key focus areas, resources and processes for leaders to cut through the clutter of competing views and guidance to effectively address the actual and distinct anti-corruption risks faced by each company.

Confirmed Speakers

Chris is a Partner on our Business Counseling and Compliance & Corporate Governance Teams, where he   brings his extensive experience, including as a current General Counsel and a Chief Compliance Officer, to assist   companies with a wide range of legal and business issues. He special izes in ethics and compliance counseling; corporate investigations; complex tort, products liability and business litigation; product safety and risk management programs; employment law and litigation; and general corporate matters. He has served for several   years as the General Counsel & Chief Compliance O f f i c e r o f Ag f a C o r p o r a t i o n , a m u l t i n a t i o n a l manufacturing   and technology company, where he continues to be responsible for all aspects of the company’s portfolio of legal   and compliance matters. Prior to joining Agfa, Chris was the first Senior Counsel & Director of Risk   Management for a global consumer electronics manufacturer, where he developed the company’s first corporate compliance program.

Life Cycle of an Employee This presentation will focus on employee compliance, It will touch on the hot topics surrounding employee engagement and appropriate compliance laws within a firm,.

Christopher SantomassimoGeneral Counsel, Secretary & Chief Compliance OfficerAgfa Corp

Confirmed Speakers

Ara Tahmassian, Ph.D., is the University Chief Research Compliance Officer. In this role, Dr. Tahmassian is broadly responsible for the oversight of the review, development, and implementation of policies related to research compliance activities across the University. Additionally, Dr. Tahmassian works toward the overall effort to manage potential risks at the University by integrating and coordinating the significant compliance requirements across the University.

Prior to being named University CRCO at Harvard, Dr. Tahmassian was the AVP for Research Compliance at Boston University and Boston Medical Center, responsible for maintaining a research environment that promoted integrity and ethical behavior and that abided by the regulations and requirements established by the federal, state, and local funding agencies. Dr. Tahmassian also served as Principal Investigator for the core BSL-3 select agent laboratory and as one of the Associate Directors of the National Emerging Infectious Diseases Laboratories (NEIDL) at the BU Medical Campus.

How to Develop an Integrated Risk Approach to Compliance

Ara will discuss how to develop and integrate a risk approach to regular compliance matters. Having an integrated risk approach aids evaluation of processes and can aid in mitigating risk.

This presentation will partially be in the form of a case study, giving perspective on Harvard University's procedure and how they operate as a ‘corporate’ company in the educational system.

Ara TahmassianChief Research Compliance OfficerHarvard University

Bob is the Assistant General Counsel of Platforms & Technology at AOL. Bob has been in his current role since 2005 and has since gained vast experience in corporate governance and compliance. 

Prior to joining AOL 10 years ago, Bob worked for Thompson Hine and also Baker & McKenzie in Associate Attorney roles. Bob has experience with privacy law, e-commerce, licensing and also intellectual property.

Building Resilience into an ever Shifting Environment: Does Compliance Become a Central Part of an Organizations Culture

Organizations exist in a shifting, connected environment - where we should not only attempt to predict and prepare for events and change, but must learn to adapt and evolve to capture opportunities and growth. Can compliance become part of the central tenets of a company's culture and how can it support organizational resilience?  

Bob BetheaAssistant General Counsel, Platforms & TechAOL

Carsten Tams joined Bertelsmann in 2000. He has served in his current position since January 2008, as Senior Vice President in charge of Ethics and Compliance (E&C). In this capacity, he was responsible for introducing and over-seeing a global E&C program.His previous work focused on a variety of initiatives in the areas of corporate culture, HR policy, organizational development, corporate responsibility, and HRIS.   Carsten Tams holds degrees from Harvard University (Master in Public Administration), the Institutd’EtudesPolitiques de Paris (Diplôme en sciences politiques et sociales), as well as the Free University of Berlin (Dipl. Pol.). 

Theories of Motivation - What They Mean for a Successful Compliance Implementation

Psychology theories of motivation are often used within many different aspects of working life. This presentation will look at specific theories and what they mean to a successful compliance structure implementation.

Carsten TamsSVP, Ethics & Compliance Executive Bertlesmann

Darrell Coleman has over 26 years’ experience in government and commercial contracting in the   areas of governance, business conduct & ethics, trade compliance, contract administration,   global operations and business development and is currently the Vice President and Chief   Compliance Officer for DynCorp International which supports USG and Foreign government   aviation, base support, security, intelligence, training/mentoring and vehicle maintenance in 34   countries with over 16,000 employees and partners. He is responsible for the development,   implementation, and management all Compliance policies and procedures. He provides counsel   and guidance to all business segments, program management, and business development   departments and serves as primary contact for all government inquiries related to compliance.

Managing Risk in an Internal Environment

An informative presentation from Darrell Coleman which will focus on the benefits of mitigating risk in the internal environment in the workforce environment.

Darrell ColemanVP & Chief Compliance OfficerDynCorp International

Justin Antonipillai   is the Deputy General Counsel of the Department of Commerce.   He joined the Department of Commerce from Arnold & Porter LLP, where he was a Partner (and previously Associate) in the Litigation Group (1997-1999, 2000-2010, and 2010-2013).   While at Arnold & Porter, Mr. Antonipillai's practice focused on civil and criminal litigation, internal investigations, and regulatory enforcement proceedings , wi th a focus on the representation of growing United States-based companies, private equity funds, and accounting firms.   Among other things, while in private practice, Mr. Antonipillai was selected one of the "Top 40 Lawyers Under 40" by Washingtonian Magazine, and one of the "Top 40 Business People Under 40" by the Washington Business Journal.

Assessing CyberSecurity

With more and more companies moving data and information to virtual storages, cybersecurity is a must to secure your information. Making sure a good system is in place is key in ensuring your virtual data storage is secure.

Justin AntonipillaiDeputy General CounselUS Department of Commerce

Cullen D. Walsh was named an assistant director of the Financial Accounting Standards Board (FASB) in 2013.  He is responsible for managing the Board’s research agenda, which includes projects where the Board has directed the staff to perform pre-agenda research; overseeing international monitoring of projects undertaken by other standards setters; and managing the execution of implementation working groups, including the revenue recognition transition resource group.

Cullen first joined the FASB in August 2011 as a practice fellow. He was primarily responsible for the joint project on leases with the International Accounting Standards Board as well as several Emerging Issues Task Force issues on joint and several liability and income taxes.

Accounting Changes Ahead: What CFOs Must Know

New accounting rules related to revenue recognition and leases are on the way, and they will have an impact on your financial reporting systems.  The Financial Accounting Standards Board (FASB)--responsible for setting Generally Accepted Accounting Principles (GAAP) for U.S. public and private companies—has been working on and preparing its stakeholders for the changes ahead. FASB Assistant Director Cullen Walsh will discuss these and other proposed changes on the horizon, how they’re expected to improve the information you report to your investors and other financial statement users, and what you need to know to make a successful transition.

Cullen WalshDirectorFinancial Accounting Standards Board

Monica Mason is a senior compliance counsel at NCR Corp. In this position, Monica is responsible for all aspects of legal support in trade compliance, including management of a team of import and export compliance professionals. Additionally, working under the supervision of the Law Vice President/Chief Ethics & Compliance Officer, Monica provides general legal support of the Ethics & Compliance Office, with a focus on compliance issues applicable to U.S. multinational public companies.

The Value of Proposition of an Effective Trade Compliance Strategy

Monica will focus on the value proposition of an effective trade compliance strategy. It will note the benefits of having such a strategy and how it can be effective for company performance as a whole.

Monica MasonSenior Compliance CounselNCR Corporation

John Robbins, CFA has an established career leading compliance and risk management programs for some of the world’s largest asset managers, investment advisors and mutual fund complexes.    As Chief Compliance Officer for M&T Bank’s Wealth and Institutional Services division, John oversees compliance for the Bank’s trust, investment advisory, broker/ dealer and wealth management services.  Prior to M&T Bank, John served as Managing Director and Regional Head of Compliance for BlackRock after leading Babson Capital Management’s compliance and risk program as Global Head of Compliance.

Prior to his role with Babson Capital Management, John served as the Global Head of Compliance for AIG Investments.   Before joining AIG, John was the Regional Head of Asset Management Compliance – Americas, Chief Compliance Officer of Deutsche Asset Management’s SEC registered adviser, Deutsche Investment Management Americas Inc., and served as the Global Head of Institutional Compliance.

Managing Financial & Operational Risk

In this interactive presentation, John will take a look at many different financial and operational risk factors involved in M&T Bank company practice.

Practical examples will be given in how to overcome such troubles and why certain practices should be abided by given the landscape in which a problem arose.

John RobbinsChief Compliance OfficerM&T Bank

Lubna has more than twelve years of leadership experience at fast-growing social enterprises in various roles including: global operations, legal resources, risk management, compliance, fundraising for debt and contributions, brand management, event planning, and program management. Lubna also has academic background in international affairs and economic development. She has held director-level positions at four nonprofit institutions, contributing in substantial ways to their growth, profess ional izat ion, and f inancial sustainability.   Experience with grant writing, corporate giving, benefit planning and individual donor campaigns. Has launched four successful first-ever benefit dinners. Lubna has also received prizes and recognition for the insightfulness and quality of undergraduate and master’s thesis papers on economic policy in developing countries.

Panel Session: The Future of GRC

The ever changing landscape of governance, risk & compliance is becoming more and more challenging to understand and evaluate where it is heading in the future.

This panel session will focus on how governance, risk & compliance were previously viewed, where they are now, and what is in stall for the future.

Cullen WalshDirectorFinancial Accounting Standards Board

The Information

Compliance & Regulation Summit

Date: September 10 & 11, 2015Location: Boston, MAVenue: The Seaport World Trade CenterRegister: Click Here

F TI L

Registration Pricing

For larger groups or special requests contact Jordan Dunne by calling +1 415 992 7598 or email jdunne@cfo.com Team discounts are applicable at the point of registration only.

Ways to Register

+1 415 992 6362 +1 323 446 7673

Silver Pass

$1495Access to all sessions &

networking events7 days access to presentations from the

summit via ieOnDemand

$1295Early Bird Price(before July 10)

Diamond Pass

$1995Access to all sessions, networking

events, annual subscription to all content on the Finance & Operations channels

via ieOnDemand

$1795Early Bird Price(before July 10)

Gold Pass

$1795Access to all sessions, networking

events & unlimited access to presentations from the summit via

ieOnDemand

$1595Early Bird Price(before July 10)

1 Day Pass

$895Full access to the sessions to your chosen day of the summit, 7 days

access to presentations from the summit via ieOnDemand

$695Early Bird Price(before July 10)

On-Demand Pass

$600Unlimited access to presentations from the summit via ieOnDemand,

including presentations, interviews & the ability to contact speakers

Unlimited access to summit presentations

via ieOnDemand

Group Discount Offers3 Silver Passes: $3000 ($1000 per attendee)5 Silver Passes: $4500 ($900 per attendee)3 Gold Passes: $3900 ($1300 per attendee)5 Gold Passes: $6000 ($1200 per attendee)3 Diamond Passes: $4500 ($1500 per attendee)5 Diamond Passes: $7000 ($1400 per attendee)

Register Here

NAME OF EACH ATTENDEE

TITLE OF EACH ATTENDEE DEPARTMENT

COMPANY INDUSTRY

ADDRESS CITY

STATE/PROVINCE ZIP/POSTAL CODE COUNTRY

EMAIL OF EACH ATTENDEE BUSINESS PHONE NUMBER

1. Delegate Information...

Check (Make checks payable to The Innovation Enterprise Ltd) Invoice me

Visa Mastercard American Express Diners Club Discover

CARD NUMBER EXPIRATION DATE SECURITY NO.

CARDHOLDERS NAME CARDHOLDER’S SIGNATURE

BILLING ADDRESS INDUSTRY

Team discounts are applicable at the point of registration only. Any cancellations within a group registration will in turn incur an increase in registration fee for the remaining group participants. Cancellations before August 10, 2015 incur an administrative charge of 50%. If you cancel your registration after August 10 2015 you will be charged the full fee. You must notify CFO in writing of a cancellation, or you will be charged the full fee. CFO reserve the right to make changes to the program without notice. NB: FULL PAYMENT MUST BE RECEIVED BEFORE

Registration FormCompliance & Regulation Summit9 & 10 September, 2015 | Boston, MAFor registration or more information on the program, please call Jordan on +1 415 992 7598, or fax this registration form to +1 (323) 446 7673

3. Payment Options...One day passes are available - Contact Jordan for more information.

Silver Pass: Access to all sessions & networking eventsGold Pass: Access to all sessions, networking events & unlimited access to the summit presentations via ieOnDemandDiamond Pass: Access to all sessions, networking events, annual subscription to all content on the Finance & Operations channels via ieOnDemand

Early Bird Pass Options until July 10, 2015 Early Bird Silver: $1295 Attendees ____ Early Bird Gold: $1595 Attendees ____ Early Bird Diamond: $1795 Attendees ____

Regular Pass Options after July 10, 2015 Silver Pass: $1495 Attendees ____ Gold Pass: $1795 Attendees ____ Diamond Pass: $1995 Attendees ____

Group Discount Pass Options 3 Silver Passes $3000 ($1000 per attendee) 5 Silver Passes $4500 ($950 per attendee) 3 Gold Passes $3900 ($1300 per attendee) 5 Gold Passes $6000 ($1200 per attendee) 3 Diamond Passes $4500 ($1500 per attendee) 5 Diamond Passes $7000 ($1400 per attendee)

For larger groups or special requests contact Jordan Dunne by calling +1 (415) 992 7598 or email jdunne@cfo.com Group passes only available when all participants register together.

Schedule

Networking Drinks 17.00 - 19.00

September 10

Session One 08.30 - 10.00

Coffee Break 10.00 - 10.30

Session Two 10.30 - 12.00

Lunch 12.00 - 13.30

Session Three 13.30 - 15.00

Coffee Break 15.00 - 15.30

Session Four 15.30 - 17.00

Day Two

September 9Day One 08.30

10.00

10.30

12.00

13.30

15.00

15.30

17.00

19.00

08.30

10.00

10.30

12.00

13.30

15.00

15.30

17.00

Session Five 08.30 - 10.00

Coffee Break 10.00 - 10.30

Session Six 10.30 - 12.00

Lunch 12.00 - 13.30

Session Seven 13.30 - 15.00

Coffee Break 15.00 - 15.30

Session Eight 15.30 - 17.00

F TI L

For sponsorship information contact Abby at: abigailfletcher@cfo.com

Sponsorship

Confirmed Sponsors:

Sponsorship packages range in price and are customizable to your goals.

Options can include:

• Roundtable sponsorships• Workshop sponsorships or case study presentations• Introduce a keynote speaker• Host a cocktail reception, exclusive VIP dinner, breakfast, or luncheon with top-level risk executives• Event exhibit space• Feature your company logo on branded items and promotions before, during and after the event

F TI L

Panel Sponsor Silver Sponsor