The topic of ethics and compliance has seemed to permeate every aspect of today's business operations including occupying a significant spot in today's business and professional curriculum.Yet, with all the discussion and awareness on the topic, significant ethical and compliance incidents continue to impact our daily lives. Earn CLE and CPE credits

Structure and Break-Down of a Comprehensive, Leading-Practice Ethics and Compliance Program

·         Examining the pillars of a strong ethics and compliance program including:  Tone at the top- senior leadership accountability, support and engagement, internal and external audit, compliance leadership, legal.

·         Identification and evaluation of policy requirements.

·         Managing aspects of an ethics program including:  code of conduct, conflict of interest, whistleblower hotline, compliance programs and organizational roles.

·         Align and Drive Core Values

·         Developing your Compliance Organization

·         Structured Policies and procedures that are right-sized to your organization

·         Voice of the Employees

·         Credible Enforcement and Discipline

·         Participant presentation of their greatest challenges for maintaining an Ethics and Compliance program and roundtable discussion on potential solution alternatives.

Evolving the Role of the Compliance Leader- What you are Accountable for Now and will be in the Future

·         Changing skill set and abilities

·         Developing yourself in your role and championing the ethics message

·         Challenges of internal collaboration and enforcement

·         Participant role play using scenario examples  to evaluate how various incidents can contribute to how strong and sustainable the governance structure

·         Examine how the compliance professional’s strategic balancing role related to independence, fiduciary and ethical duty and the corporate culture impact the governance structure.

Overview of Regulations Impacting Ethics and Compliance

·         Understand how changing regulations and impact the corporate environment

·         How to stay on top of new regulations and what it means to your organization

·         Overview current discussions of compliance in global and emerging markets

o    Foreign Corrupt Practices Act- Updated 2012 Guidelines

o    UK Bribery Act

o    Whistle-blowing Provisions

o    Anti-money Laundering

o    Conflict Minerals Rule

Changing the Corporate Culture for the Better Business, Ethics and Compliance

• Outline practical strategies that compliance professionals can utilize when working with management on governance topics

·         Governance roles within organizations and the cause and effect impact of executing responsibilities.

·         Navigating through difficult and perceived ethical situation.

·         Incentive programs and compliance

·         Driving Employee Engagement and Buy-In

·         Compliance and Governance in relation to Social Media

Compliance Reviews, Creation of Policies and Procedures and Compliance Investigations

·         Risk assessments/ERM

·         Audit and monitoring

·         Handing and management investigations

Driving Effective and Consistent Compliance Education

·         Offer comprehensive and effective training

·         Effective compliance training infrastructure that is updated and accessible

·         Clear and consistent communications

·         Track training records

·         Guest Compliance Executives sharing their tactics

Identifying the Critical Attributes Impacting your Organizations Ethics and Culture Issues

·         Understand how corporate behavior contributes to and impacts a company’s corporate governance and ethics processes.

·         Participant role play using scenario examples  to evaluate how various incidents can contribute to how strong and sustainable the governance structure

·         Examine how the compliance professional’s strategic balancing role related to independence, fiduciary and ethical duty and the corporate culture impact the governance structure.

Industry Practice Insights: Putting Theory into an Actionable Ethics Program

·         Manage, monitor and evolve your Compliance and Ethics program

·         Drive consistent compliance education proven tactics

·         Engaging internal stakeholders to Ethics and Compliance goals

·         Examine the structure and effective management practices of current compliance and ethics programs

·Provide the attendees the ability to interact and role-play various ethical scenarios and identify tactics and methods for mitigation which would work in their organization.

·Examine the true psychological impact behind attributes that affect ethics and compliance issues and how they may be viewed with your corporate structure.

·Examine the structure and how a comprehensive, leading-practice ethics and compliance program is built.

·Understand how changing regulations and impact the corporate environment such as new FCPA guidelines, Whistle blowing provisions, Anti Money Laundering, etc.

·Drive effective compliance education ·Identify the critical attributes that impact your organization’s ethics and culture issues

·Understand your evolving role as an Ethics and Compliance leader for today and in the future

·Hear from guest compliance professionals regarding their successes and failures when working on their ethics compliance program.

 Earn CLE and CPE credits