European Compliance & Ethics Institute - Society of Corporate ...

New Data Protection Rules The UK Bribery Act And CEUs

Society of Corporate Compliance and Ethics

European Compliance & Ethics Institute 20–23 March 2016

Prague, Czech Republic ➤➤ Hear directly from top compliance and ethics professionals from Europe and around the world ➤➤ Learn the latest and best solutions for compliance and ethics challenges, including anti-corruption, data protection, and risk management ➤➤ Benefit from the insights of multiple industries, gathering in one place ➤➤ Build your network of experienced compliance and ethics experts ➤➤ Get the continuing education units (CEUs) you need and take the Certified Compliance & Ethics Professional–International (CCEP-I)® exam

TO LEARN MORE VISIT europeancomplianceethicsinstitute.org Questions? [email protected]

About the Institute SCCE’s European Compliance & Ethics Institute provides an invaluable opportunity to learn the latest practices for effectively addressing the wide range of challenges facing the European compliance and ethics community. Learn directly from experienced compliance and ethics professionals through both formal presentations and informal networking events. Help improve your compliance and ethics programme and develop your expertise in this growing and evolving profession.

EVENTS & OPPORTUNITIES IN 2016 Advanced Discussions The purpose of the new Advanced Discussion sessions is to bring compliance professionals from across the world together for a professional exchange of ideas and increase communication among discussion participants. These are not formal presentations, but are designed to involve everyone in the room. Advanced Discussions are indicated with an “AD” before the session number and are limited to 50 participants. These sessions are filled on a first-come, first-served basis onsite. Pre‑registration is not available for these sessions.

Volunteer Project

SpeedNetworking

Sunday 20 March, 8:00 – 11:00

Sunday 20 March, 11:30 – 12:30

Come to the Institute early and help us give back to the community! SCCE will be partnering with a local organization. More information will be available soon.

The SpeedNetworking event is returning to the European Compliance & Ethics Institute and you won’t want to miss this opportunity. This fun interactive activity will help you build out your network of professional contacts. A separate registration form is required, but the SpeedNetworking event is complimentary with your conference registration. You will fill out a brief profile when you sign up that prioritizes the types of compliance professionals you would like to meet. Then, during the event on 20 March, you will receive your line-up of appointments at the beginning of the session. That’s all there is to it! Just bring your business card and let the networking begin. Learn more and register at:

SCCE THANKS THE ECEI’S 2016 PLATINUM SPONSOR

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corporatecompliance.org

europeancomplianceethics institute.org/ForAttendees/SpeedNetworking.aspx Please note: A maximum of 1.5 CCB credits for networking may be awarded per year.

Plan now to take the

CCEP-I

certification exam at the Institute Certified Compliance & Ethics ProfessionalInternational (CCEP-I)® Set the bar for your compliance team and demonstrate your current skill in the compliance profession Make yourself marketable Increase your value in the workplace and to future employers Showcase your compliance knowledge and experience

A few letters after your name can make a big difference Why do people add JD, MBA, or CPA after their name? They know those initials instantly identify them as experts in their field. Now’s the time to add CCEP-I after your name. Just a few initials will help show your colleagues that what you say isn’t just your opinion, but a product of your expertise as a Certiﬁed Compliance & Ethics Professional-International (CCEP-I)®.

Apply now to take the CCEP-I exam at the 2016 European Compliance & Ethics Institute Wednesday, 23 March 2016, 13:30 – 17:00 The CCEP‑I exam is optional and requires advance registration and payment separate from the conference registration. To download the exam application, visit europeancomplianceethicsinstitute.org and click the “Certifications” tab. To qualify to sit for the exam, 20 CCB CEUs (a minimum of 10 live) are required. To obtain CEUs for this conference, fill out the CEU Application on‑site at the conference, noting all sessions attended. This conference is worth a maximum of 21.0 CCB CEUs: one clock hour equals 1.2 CCB CEUs.


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Programme at a glance Sunday 20 March / PRE-CONFERENCE 8:00 – 11:00

Volunteer Project – More information will be announced soon.

10:30 – 17:15

Registration Open

11:30 – 12:30

SpeedNetworking – Participate in SpeedNetworking to build out your network in just one hour. Lunch will be provided for those who are pre-registered. Separate registration is required and is complimentary with your conference registration.

13:00 – 15:00 P1 Compliance 101 – Debbie Troklus, Managing Director, Aegis Compliance & Ethics Center LLP; Sheryl Vacca, SVP/Chief SYNDICATE Compliance & Audit Officer, University of California SESSIONS 15 -minute break

P2 Beyond Compliance Trends: Building Sustainable Anti‑Bribery Compliance Policies and Procedures – Alexandra Wrage, President, TRACE International, Inc.; Michelle de Kluyver, Counsel, Allen & Overy LLP

15:00 – 15:15

Networking Break

15:15 – 17:15 SYNDICATE SESSIONS 15 -minute break

P3 Organizational Ethics: Who Needs It? P4 So, What Do Employees Really – Art Weiss, Chief Compliance & Ethics Think About Business Ethics? A Officer, TAMKO Building Products; Review of Recent IBE Research Adam Turteltaub, Vice President of – Simon Webley, Research Director,

17:15 – 18:30

Welcome Reception (in Exhibit Hall)

Membership Development, Society of Corporate Compliance and Ethics

Institute of Business Ethics

P5 Data Security Technology 101 for Compliance Professionals – Jonathan Armstrong, Partner, Cordery; David J. Evans, Data Protection Officer, VP Legal & Compliance, Swiss Re Management Ltd; Dr. Jan Kolouch, PhD, CESNET, a.l.e.

Monday 21 March / CONFERENCE 8:00 – 18:30

Registration Open

8:00 – 9:00

Breakfast (in Exhibit Hall)

9:00 – 10:00

Common Session: Digital Behaviour Among Millennials and Beyond: Managing Digital Risk in the Workplace – Andy Phippen, Professor of Social Responsibility in Information Technology, Plymouth University

10:00 – 11:00

Common Session: FBI Briefing: A Perspective on the Status and Evolution of Global Cybercrime – Michael C. Poston, Supervisory Special Agent, FBI

11:00 – 11:30

Networking Break (in Exhibit Hall)

11:30 – 12:30 SYNDICATE SESSIONS

101 Building Effective E&C Programs Globally: The Value of Independent Assessments and Evaluation – Eric R. Feldman, Senior Vice President and Managing Director, Corporate Ethics and Compliance Programs, Affiliated Monitors, Inc.; Matthew Paice, Vice President Global Contract, Inchcape Shipping Services

102 Leveraging Data to Drive Cultural Transformation: What Are the Critical Data Points You Need to Be Paying Attention to and What Are the Practical Tools You Can Implement to Evolve Your Culture and Employees’ Commitment to Your Values – Daniel Kline, Managing Director,

Lunch


201 Encouraging a Speak‑Up Culture – Haydee Olinger, Retired Corporate

202 Preparing for the EU General Data Protection Regulation – Robert Bond,

Vice President, Global Compliance Officer, McDonald’s Corporation; Christina Conlin, Managing Counsel, Global Compliance and Safety, McDonald’s Corporation

Head of DataProtection and Information Law, Charles Russell Speechlys LLP; Paul Donovan, Global Data Protection Officer and Head of Legal & Secretariat, Canopius Group



301 Dawn Raids: How to Best Prepare and Protect your Organisation – Rossana Buzzi, Assistant General Counsel, Compliance Leader South Europe, Invensys PLC; Gabriel Imperato, Managing Partner, Broad and Cassel

16:00 – 16:15



401 BBC Worldwide: Implementing a Compliance Framework – Andrew Baxter, Director of Regulatory Affairs, BBC Worldwide

302 Compliance Programs at the Light of 2015 Spanish Criminal Code Reform: Comparison with Other EU Ad Implications for Multinationals – Maria Hernandez, Partner, Eversheds Nicea

402 This Is Important! Sit Up and Pay Attention! Or...How to Really Deliver Outstanding Compliance Communication – Jane Mitchell, Director, JL&M; Kristy Grant-Hart, Founder and Managing Director, Spark Compliance Consulting; Author, How to Be a Wildly Effective Compliance Officer

17:15 – 18:30

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Networking Reception (in Exhibit Hall)


AD103 Compliance Risk Assessment – Claire Halligon, former EMEA Compliance Senior Legal Counsel, NetApp

EMEA & APAC, NAVEX Global

12:30 – 13:30

14:30 – 15:00

ADVANCED DISCUSSION

ADVANCED DISCUSSION

AD203 Do You Know if Your Ethics & Compliance Programme Is Really Working? – Jane Mitchell, Director, JL&M; Sally March, Director, Drummond March & Co ADVANCED DISCUSSION

AD303 Communicating Ethics Across Borders – Paul Rew, Partner, McDougall Rew LLP

ADVANCED DISCUSSION

AD403 Identifying the Next Big Compliance Risk – Adam Turteltaub, Vice President of Membership Development, Society of Corporate Compliance and Ethics

Programme at a glance Tuesday 22 March / CONFERENCE 8:00 – 16:00

Registration Open

8:00 – 9:00

Breakfast (in Exhibit Hall)

9:00 – 10:00

Common Session: The UK Modern Slavery Act: What Every Compliance Officer Needs to Know – Justine Currell, Deputy Head, Modern Slavery Unit, UK Home Office

10:00 – 11:00

Common Session: Fight, Flight, or Freeze: What Will You Do When You Discover a Corruption Incident? – Alun Milford, General Counsel, The UK Serious Fraud Office

11:00 – 11:30



501 Why Good People Do Bad Things – Paul Fiorelli, Professor of Legal Studies and Co-Director, Cintas Institute for Business Ethics, Xavier University

502 Big Data and Its Real Impact on Your Security & Privacy Framework: A Pragmatic Overview –

ADVANCED DISCUSSION

Erik Luysterborg, Partner, Enterprise Risk Services, Deloitte

Global Compliance Enablement, Cisco Systems BV

12:30 – 13:30

Lunch


601 Establishing and Sustaining an 602 ISO 19600:2014 Compliance Ethics Ambassador Network: Progress Management Systems: What Does and Pitfalls – Ruth Steinholtz, Values Based It Mean for Europe? – Lillian Wylie, Business Ethics Advisor, AreteWork LLP

Compliance Manager, Oceaneering International Services Ltd

AD503 Embedding Compliance as Part of Company DNA – Susan Du Becker,

ADVANCED DISCUSSION

AD603 Knowing Where Human Trafficking Risks Lie in Your Supply Chain: How to Detect Them and How to Manage Them – Scott Lane, Executive Chairman, Red Flag Group

14:30 – 14:45

Networking Break


701 How Tesco Implemented a Global Code of Business Conduct – David Ward, Regulatory, Ethics & Compliance Director, Tesco

702 Conflicting Compliance: When Foreign Laws Are at Odds with Anti‑Corruption Compliance under the FCPA and UK Bribery Act – Winston Chan, Partner, Gibson, Dunn & Crutcher LLP; Roger Burlingame, Partner, Kobre & Kim LLP; Thomas Firestone, Partner, Baker & McKenzie LLP

ADVANCED DISCUSSION

AD703 Managing Internal Investigations in the Modern Era – Chris Boddy, Associate Director, Forensic, Grant Thornton UK LLP

Wednesday 23 March / POST-CONFERENCE 8:00 – 12:00

Registration Open

8:30 – 10:00

W1 Using Alignment Analytics to Strengthen Culture – Fulton Breen, CEO, Novareté

10:00 – 10:15

Networking Break

10:15 – 11:45

W2 The Internal Investigator Dilemma: Investigating Co-Workers – Maximilien Roche, Senior Manager - Anti-Fraud Unit, STMicroelectronics

12:45 – 13:30

Check-in for the CCEP-I Exam

13:30 – 17:00

Certified Compliance and Ethics Professional-International (CCEP-I)® Exam


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Agenda Sunday, 20 March 8:00–11:00 Volunteer Project More information will be announced soon.

10:30–17:15 Registration Open 11:30–12:30 SpeedNetworking Participate in SpeedNetworking to build out your network in just one hour. Lunch will be provided for those who are pre-registered. Separate registration is required and can be found at: europeancomplianceethicsinstitute.org/ ForAttendees/SpeedNetworking.aspx

13:00–15:00 SYNDICATE SESSIONS

EUROPEAN COMPLIANCE & ETHICS INSTITUTE | 20–23 MARCH 2016 P2 Beyond Compliance Trends: Building Sustainable Anti‑Bribery Compliance Policies and Procedures Alexandra Wrage, President, TRACE International, Inc. Michelle de Kluyver, Counsel, Allen & Overy LLP •• Anti-bribery enforcement trends across the EU and how leading companies are setting and raising compliance standards •• The convergence of AML, anti-bribery, anti-trust and sanctions risks: developing fluid and responsive compliance policies and procedures •• What’s in store for the future of compliance, including risk assessment, third party due diligence and training

15:00–15:15 Networking Break

(includes 15-minute break)


P1 Compliance 101

(includes 15-minute break)

Debbie Troklus, Managing Director, Aegis Compliance & Ethics Center LLP Sheryl Vacca, SVP/Chief Compliance & Audit Officer, University of California •• Participant will understand the infrastructure requirements for an effective compliance program •• Discussion of practical application in implementing the seven elements •• Participants will have the opportunity practice concepts discussed during the session

P3 Organizational Ethics: Who Needs It? Art Weiss, Chief Compliance & Ethics Officer, TAMKO Building Products Adam Turteltaub, Vice President of Membership Development, Society of Corporate Compliance and Ethics •• What are organizational ethics? •• How do you assess your organization’s culture? •• Small group ethical scenario discussions and case study

P4 So, What Do Employees Really Think About Business Ethics? A Review of Recent IBE Research Simon Webley, Research Director, Institute of Business Ethics •• Hear how one of the world’s largest grocery retailers created a new Code of Business Conduct for half a million colleagues across more than a dozen jurisdictions worldwide •• Understand the challenges faced to ensure the language, content, translations and design were suitable for a global audience •• Learn about how a new Code elearning module was launched to complement the Code and how more than 40,000 people completed it in two months

P5 Data Security Technology 101 for Compliance Professionals Jonathan Armstrong, Partner, Cordery David J. Evans, Data Protection Officer, VP Legal & Compliance, Swiss Re Management Ltd Dr. Jan Kolouch, PhD, CESNET, a.l.e. •• Know the risks your business faces and learn how EU and US businesses and the regulatory authorities are dealing with current cyber security risks and threats, including the most recent regulatory developments on both sides of the Atlantic •• Understand the new roles and responsibilities of the Data Protection Officer, the Chief Ethics & Compliance Officer and the Chief Technology Officer under the proposed EU Data Protection Regulation, including innovative strategies for resolving conflicts •• Identify practical steps and “best practices” on how to instruct business employees and the global supply chain, identify ethical issues, and reduce cyber risks

17:15–18:30 Welcome Reception (in Exhibit Hall)

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Now you and your international colleagues around the world can benefit from the same invaluable, intensive training available in the U.S. Our international Academies cover critical content in-depth and are a great preparation course for the CCEP-I exam. You’ll learn about: • • • • • • •

Standards, policies, and procedures Compliance and ethics program administration Communications, education, and training Monitoring, auditing, and internal reporting systems Response and investigation, discipline and incentives Anti-corruption and bribery Risk assessment

So let your colleagues around the world know about SCCE’s Academies, and get your entire compliance team on the same page.

REGISTER EARLY TO RESERVE YOUR PLACE LIMITED TO 75 FOR EACH ACADEMY

corporatecompliance.org/academies Questions: [email protected]

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Why join SCCE?

About SCCE The Society of Corporate Compliance and Ethics (SCCE)® is the premier international, non-profit organization solely dedicated to improving the quality of compliance and ethics in all organizations.

Why should you join? SCCE understands the complex compliance environment. We’re here to help you build and maintain a strong and effective compliance and ethics program. We offer the latest tools, resources, and training to help you lead with compliance—to compliance.

Become a member of SCCE for just $295/year and you’ll enjoy: ··

A free subscription to Compliance & Ethics Professional, exclusive to our members

··

Discounts to every SCCE national, regional, and web conference

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Discounts on all SCCE products, programs, and services

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Access to members-only sections on SCCE’s website

Learn more online at corporatecompliance.org/join

Agenda

EUROPEAN COMPLIANCE & ETHICS INSTITUTE | 20–23 MARCH 2016

Monday 21 March


AD103 Compliance Risk Assessment

8:00–18:30 Registration Open

101 Building Effective E&C Programs Globally: The Value of Independent Assessments and Evaluation

ADVANCED DISCUSSION: Attendance limited to

8:00–9:00 Breakfast (in Exhibit Hall) 9:00–10:00 Common Session: Digital Behaviour Among Millennials and Beyond: Managing Digital Risk in the Workplace Andy Phippen, Professor of Social Responsibility in Information Technology, Plymouth University •• An exploration of digital behaviours by young people and how behaviours which may be considered socially acceptable present challenges in the workplace •• Drawing on a couple of case studies, exploring legislative and policy responses •• Managing digital behaviours in the future

10:00–11:00 Common Session: FBI Briefing: A Perspective on the Status and Evolution of Global Cybercrime Michael C. Poston, Supervisory Special Agent, FBI •• The roles of government agencies responsible for cybercrime investigations and intelligence collection, including international cooperation on cyber crime •• The cybercrime threat spectrum (differentiating between cyber criminals, nation state actors/threats and insider threats) •• Recommendations to reduce vulnerability to the cyber threats and how to respond when an incident occurs

11:00–11:30 Networking Break (in Exhibit Hall)

Eric R. Feldman, Senior Vice President and Managing Director, Corporate Ethics and Compliance Programs, Affiliated Monitors, Inc. Matthew Paice, Vice President Global Contract, Inchcape Shipping Services •• Overview of global ethics and compliance standards and frameworks that multinational organizations need to consider now before an ethical crisis occurs; what government regulators and enforcement officials are targeting on a global scale •• Explore the value and benefits of an independent assessment of your compliance and ethics program and risk management infrastructures for effectiveness to help strengthen organizational culture, identify and manage potential vulnerabilities and risks, and establish credibility with government entities •• Discuss the corporate “return on investment” and business case that effective compliance, ethics and risk management programs bring to global organizations

102 Leveraging Data to Drive Cultural Transformation: What Are the Critical Data Points You Need to Be Paying Attention to and What Are the Practical Tools You Can Implement to Evolve Your Culture and Employees’ Commitment to Your Values Daniel Kline, Managing Director, EMEA & APAC, NAVEX Global •• Look at the macro data points that enhance your culture or turn employees away from your ethics and compliance initiatives •• Discuss the mirco data points related to your Speak-Up / Whistleblowing data to encourage the right behavior amongst both your employees and your investigators •• Review the practical tools that you and your teams can implement to shift behavior and transform the culture

50 participants on a first‑come, first‑served basis.

Claire Halligon, former EMEA Compliance Senior Legal Counsel, NetApp •• Risk Assessment, the base of a Compliance Program: asking the right questions before building a program •• Methodology, frequency, involvement: sharing best practices around Risk Assessment •• How a regular risk assessment can facilitate an adequate prioritization and allocation of resources

12:30–13:30 Lunch 13:30–14:30 SYNDICATE SESSIONS 201 Encouraging a Speak‑Up Culture Haydee Olinger, Retired Corporate Vice President, Global Compliance Officer, McDonald’s Corporation Christina Conlin, Managing Counsel, Global Compliance and Safety, McDonald’s Corporation •• How organizations can overcome entrenched cultural biases against whistleblowing and use of different approaches in different parts of the world •• Types of training that are effective on this issue •• Ways to encourage employees to come forward with concerns

202 Preparing for the EU General Data Protection Regulation Robert Bond, Head of DataProtection and Information Law, Charles Russell Speechlys LLP Paul Donovan, Global Data Protection Officer and Head of Legal & Secretariat, Canopius Group •• Understanding the impact on your business of the new data protection framework •• The cost of non-compliance •• Gaining Board approval and buy-in


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Agenda AD203 Do You Know if Your Ethics & Compliance Programme Is Really Working? ADVANCED DISCUSSION: Attendance limited to 50 participants on a first‑come, first‑served basis.

Jane Mitchell, Director, JL&M Sally March, Director, Drummond March & Co •• How do you move beyond the corporate zeal for measuring compliance activities towards a more thorough assessment of your programme’s impact on culture? •• What are the dots you can join, to give yourself—and your Board—a better view of your programme’s effectiveness? Are you monitoring to tick boxes or are you really serious about embedding an ethical culture? •• When you commission an external review, what is that you REALLY want to know? Do you want to find any unintended consequences of a singular focus on compliance, and do you know what to do about them?


302 Compliance Programs at the Light of 2015 Spanish Criminal Code Reform: Comparison with Other EU Ad Implications for Multinationals Maria Hernandez, Partner, Eversheds Nicea •• New benefits for Spanish corporations •• Comparison with international compliance regulations •• Tips for multinationals with business in Spain

AD303 Communicating Ethics Across Borders ADVANCED DISCUSSION: Attendance limited to 50 participants on a first‑come, first‑served basis.

Paul Rew, Partner, McDougall Rew LLP •• Implementing ethics and compliance programmes internationally—recognizing that one size rarely fits all •• Cross-border implications for training, communications and certification

402 This Is Important! Sit Up and Pay Attention! Or...How to Really Deliver Outstanding Compliance Communication Jane Mitchell, Director, JL&M Kristy Grant-Hart, Founder and Managing Director, Spark Compliance Consulting; Author, How to Be a Wildly Effective Compliance Officer •• Participants will learn specific (and some surprising) communication techniques to focus the attention of different audiences, including the Board and C-suite, middle managers and employees •• Be entertained with real-world examples of do’s and don’ts showing you how to double your effectiveness in email, in training, in presentations and in everyday interactions •• Discuss the magic of storytelling, the relevance of risk and vulnerability and their impact on reputation—personal and corporate, the behaviour of robots and human beings, the crucial impact of bias, experience, culture, personality and even tutus!

•• Meeting cultural challenges effectively— internally and externally

AD403 Identifying the Next Big Compliance Risk ADVANCED DISCUSSION: Attendance limited to



301 Dawn Raids: How to Best Prepare and Protect your Organisation


•• Interactive exercise working in teams

Rossana Buzzi, Assistant General Counsel, Compliance Leader South Europe, Invensys PLC Gabriel Imperato, Managing Partner, Broad and Cassel •• Unannounced National or EU Inspection preparedness: How to plan, train and prepare your personnel to respond with an unannounced inspection. Customized training for receptionist, security personnel and management •• What is a so called Dawn Raid? Definition and purpose of European Commissions inspection. The arrival, the first hour, the inspection. The Departure. What next? •• Dawn raids: dos and don’ts. Practical and legal tips on how to manage and respond to inspectors

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50 participants on a first‑come, first‑served basis.

Adam Turteltaub, Vice President of Membership Development, Society of Corporate Compliance and Ethics

•• Try to identify the next big compliance risk •• Begin to develop plans for managing it

401 BBC Worldwide: Implementing a Compliance Framework Andrew Baxter, Director of Regulatory Affairs, BBC Worldwide •• Developing and implementing a compliance framework for the commercial arm of the BBC. BBC Worldwide is a global £1billion media business which works with BBC brands including Top Gear, Doctor Who, and Dancing with the Stars •• The specific challenges faced by a high‑profile publicly owned organisation whose values are specifically set down by statute •• Specific challenges of a creative business where compliance incidents involving high profile individuals can quickly become front‑page news

17:15–18:30 Networking Reception (in Exhibit Hall)

Tuesday, 22 March 8:00–16:00 Registration Open 8:00–9:00 Breakfast (in Exhibit Hall)

Agenda 9:00–10:00 Common Session: The UK Modern Slavery Act: What Every Compliance Officer Needs to Know Justine Currell, Deputy Head, Modern Slavery Unit, UK Home Office •• Is your company affected? •• What companies need to report and when

10:00–11:00 Common Session: Fight, Flight, or Freeze: What Will You Do When You Discover a Corruption Incident? Alun Milford, General Counsel, The UK Serious Fraud Office •• The role, reach and remit of the UK Serious Fraud Office •• Current news from our casework •• Options for engaging with the SFO

11:00–11:30 Networking Break (in Exhibit Hall) 11:30–12:30 SYNDICATE SESSIONS 501 Why Good People Do Bad Things Paul Fiorelli, Professor of Legal Studies and Co-Director, Cintas Institute for Business Ethics, Xavier University •• The learning objective is to expose attendees to different characteristics people demonstrate that lead to bad behavior •• These characteristics include ‘incrementalists’, ‘altruists’, ‘prisoners’, ‘conformists’, ‘browbeaten’, ‘rationalizers’, and ‘hedonists’ •• After identifying these characteristics, attendees will learn strategies for minimizing these risks

EUROPEAN COMPLIANCE & ETHICS INSTITUTE | 20–23 MARCH 2016 502 Big Data and Its Real Impact on Your Security & Privacy Framework: A Pragmatic Overview Erik Luysterborg, Partner, Enterprise Risk Services, Deloitte •• Facebook and Google are targets for EU GDPR regulators and DP advocates •• While they are EXTREMELY big data, credit reference agencies (both consumer and business) will have difficulty repermissioning or using data for major business decisions like bank loans and KYC •• This presentation will list perceived unintended consequences and discuss whether they are in fact unintended—or is there something else that CRAs and other Big Data companies can do with the lot dealt under the GDPR?

AD503 Embedding Compliance as Part of Company DNA ADVANCED DISCUSSION: Attendance limited to 50 participants on a first‑come, first‑served basis.

Susan Du Becker, Global Compliance Enablement, Cisco Systems BV •• How do you bring a Global Compliance Program to local level in a medium to large company? •• Collaboration—myth or reality and how do you achieve it? What is your measurement of success? •• Why are we doing this and, who are we influencing? Understanding why compliance is key, but how do you manage it without burdening the business and what support do we need?

12:30–13:30 Lunch 13:30–14:30 SYNDICATE SESSIONS 601 Establishing and Sustaining an Ethics Ambassador Network: Progress and Pitfalls

602 ISO 19600:2014 Compliance Management Systems: What Does It Mean for Europe? Lillian Wylie, Compliance Manager, Oceaneering International Services Ltd •• There are currently multiple worldwide ‘best practice compliance guides’ in circulation in Europe, including national governments, the OECD, and a potential EU guideline as well •• This plethora of guides needlessly complicates accepted best practice in compliance, and creates uncertainty and duplication of effort in companies’ attempts to meet as many criteria as possible •• The new ISO 19600:2014 Compliance Management Systems represents the opportunity for Europe to have a single, non-partisan standard accepted as best practice. Consolidation will bring greater recognition and stability to the global compliance profession

AD603 Knowing Where Human Trafficking Risks Lie in Your Supply Chain: How to Detect Them and How to Manage Them ADVANCED DISCUSSION: Attendance limited to 50 participants on a first‑come, first‑served basis.

Scott Lane, Executive Chairman, Red Flag Group •• How to conduct a global supplier risk assessment around human trafficking •• Mapping supplier risks across key geographical regions and industries •• Understand the types of suppliers where these risks appear •• What controls are effective to manage the risks •• Best practices around managing and reporting on the risks


Ruth Steinholtz, Values Based Business Ethics Advisor, AreteWork LLP •• Getting buy in from the top for ethics ambassadors •• Creating the initial engagement •• Sustaining the journey, for the long haul


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Agenda 14:45–15:45 SYNDICATE SESSIONS 701 How Tesco Implemented a Global Code of Business Conduct David Ward, Regulatory, Ethics & Compliance Director, Tesco

AD703 Managing Internal Investigations in the Modern Era ADVANCED DISCUSSION: Attendance limited to 50 participants on a first‑come, first‑served basis.

Chris Boddy, Associate Director, Forensic, Grant Thornton UK LLP

•• Hear how one of the world’s largest grocery retailers created a new Code of Business Conduct for half a million colleagues across more than a dozen jurisdictions worldwide

•• The challenge of Data in the modern working environment: LinkedIn, WhatsApp, Social media are all opportunities for your businesses, but also threats and challenges to your profitability and security. Can and should we investigate these sources of information?

•• Understand the challenges faced to ensure the language, content, translations and design were suitable for a global audience

•• The jurisdictional dimension of investigations: legal, practical and cultural questions to consider

•• Learn about how a new Code elearning module was launched to complement the Code and how more than 40,000 people completed it in two months

•• Who should investigate: HR, internal investigators, external lawyers or forensic experts? The form and function of the options available—practical steps to consider

702 Conflicting Compliance: When Foreign Laws Are at Odds with Anti-Corruption Compliance under the FCPA and UK Bribery Act

Wednesday, 23 March

Winston Chan, Partner, Gibson, Dunn & Crutcher LLP

8:00–12:00 Registration Open

Roger Burlingame, Partner, Kobre & Kim LLP

8:30–10:00

Thomas Firestone, Partner, Baker & McKenzie LLP •• Best practices in anti-corruption compliance have been extensively discussed and are now well established. But what has not been as thoroughly analyzed is what to do when those best practices conflict with local laws •• For example, local employment laws can make it difficult to terminate or discipline employees who have been found to be paying bribes; and local criminal laws sometimes require immediate reporting of suspected acts of corruption to local authorities •• Companies attempting to comply with the FCPA, UKBA and other national anticorruption laws may find that, by doing so, they are placing themselves at risk of local prosecution. This panel will analyze such conflicts through case studies

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W1 Using Alignment Analytics to Strengthen Culture Fulton Breen, CEO, Novareté •• Learn how to convert awareness of company values and ethics into a measureable change in employee’s everyday behavior •• Scale the Tone at the Top through cloud‑based solutions to eliminate ambiguity in interpretation of company values and gauge degree of understanding •• Case Study: See how the alignment of values and behavior can be quantifiably measured and used to impact culture


10:15–11:45 W2 The Internal Investigator Dilemma: Investigating Co-Workers Maximilien Roche, Senior Manager Anti-Fraud Unit, STMicroelectronics •• Internal investigators, when they work for an in-house compliance organization, are employees of the company for which they act as enforcers of the compliance program •• As such, other employees involved in the investigation as subjects, witnesses or whistleblowers are their co-workers. This relationship is at the heart of the internal investigator’s challenge to fulfill his/her mission impartially/independently •• This presentation aims at sparking a discussion on these challenges and proposing concrete solution on how to address them

12:45–13:30 Check-in for the CCEP-I Exam 13:30–17:00 Certified Compliance and Ethics Professional–International (CCEP-I)® Exam The CCEP‑I exam is optional and requires advance registration and payment separate from the conference registration.

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What credentials do you hold? Select all that apply. ACHE AIC APA BA BBA BS BSN CAMS CCEP

CCEP-I CCS CCS-P CEM CFE CGMS CHC CHE CHP


CHPC CHRC CIA CIP CIPP CPA CPC CPHQ CUSECO

DDS ESQ FCA FHFMA ISS JD LLM MA MBA

MHA MPA MPH MS MSHA MSN MT NHA PCI

PhD PMP RHIA RHIT RN SADR SCLA

Accounting/Auditing Administrative and Support Services Advertising/Marketing/ Public Relations Aerospace/Aviation/Defense Agriculture Airlines Architectural Services Arts/Entertainment/Media Automotive/Motor Vehicles/Parts Banking Biotechnical and Pharmaceutical Chemical/Polymers/Fibers Computer Hardware Computer Services Computer Software Construction Consulting Services Consumer Products Customer Service/Call Center Education/Training/Library Electronics Energy Engineering Environmental Services Finance/Economics Financial Services Forest Products Government/Policy Healthcare Higher Education

Hospitality/Tourism Human Resources/Recruiting Information Technology Installation/Maintenance/Repair Insurance Internet/E-Commerce L aw Enforcement/Security Services Legal Manufacturing and Production Military Mining Operations Management Personal Care and Service Publishing/Printing Purchasing Real Estate/Mortgage Research & Development Restaurant and Food Service Retail/Wholesale Science Sports and Recreation/Fitness Supply Chain/Logistics Telecommunications Textiles Tobacco Transportation/Warehousing Veterinary Services Utilities Waste Management Services Other (please indicate below)


Are you a first-time attendee of this conference? This is my first European Compliance & Ethics Institute

REGISTRATION CONTINUES ON NEXT PAGE (OVER)


13

Register


2 CONTACT INFORMATION Please type or print below. Mr.

Mrs.

Ms.

Dr.

SCCE Member ID (if applicable)

First Name

MI

Last Name

Credentials (CCEP, etc.)

Job Title

Name of Employer

Street Address

4 REGISTRATION OPTIONS (Registration fees are as listed and considered net of any local withholding taxes applicable in your country of residence.)

SCCE Members .........................................................................................................$1,199 Non-Members............................................................................................................ $1,349 New Membership & Registration.......................................................................... $1,399

City/Town

State/Province

new members only. dues regularly $295 annually. vat applies only to registration fee portion. contact scce with questions.

Country

Pre-Conference Registration Morning.................................................................... $175 Pre-Conference Registration Afternoon................................................................ $175 Post-Conference Registration.................................................................................. $175 Discount: 5 or more from same organization*................................................... ($100) Discount: 10 or more from same organization*................................................. ($150)

Zip/Postal Code

Phone

Email (required for registration confirmation & conference information)

See page 15 for Group Discount details. *Rates are listed in US dollars unless otherwise

subtotal

$

vat (21%)

$

TOTAL

$

3 SESSION SELECTION

noted. Please fill out your Federal Tax ID or VAT number below in the payment options.

Please select only one session per time slot. Advanced Discussions marked with are limited to 50 participants and available on a first‑come, first‑served basis on-site at the conference.

5 PAYMENT OPTIONS

SUN 20 MARCH

If you wish to pay using wire transfer, please email helpteam @ corporatecompliance.org for instructions.

*

PRE-CONFERENCE

13:00 – 15:00

MON 21 MARCH

TUE 22 MARCH

SYNDICATE SESSIONS

SYNDICATE SESSIONS

POST-CONFERENCE

11:30 – 12:30

11:30 – 12:30

8:30 – 10:00

P1

101

501

P2

102 AD103

502 AD503

15:15 – 17:15

P3

* 13:30 – 14:30

* 13:30 – 14:30

WED 23 MARCH

W1 10:15 – 11:45

W2

Federal Tax ID or VAT # Check enclosed (payable to SCCE) Invoice me I authorize SCCE to charge my credit card (choose card below) Due to PCI Compliance, please DO NOT provide any credit card information via email. You may email the application (without credit card information) and call SCCE at +1 952 933 4977 or 888 277 4977 with your credit card information.

P4

201

601

P5

202 AD203

602 AD603

CREDIT CARD:

301

701

Credit Card Account Number

302 AD303

702 AD703

* 15:00 – 16:00 * 16:30 – 17:30 401

*

402 AD403

* 14:45 – 15:45 *

Registration for Sunday’s SpeedNetworking session is separate. Register online at: europeancomplianceethicsinstitute.org/ ForAttendees/SpeedNetworking.aspx

REGISTER NOW europeancomplianceethicsinstitute.org SOCIETY OF CORPORATE COMPLIANCE AND ETHICS 6500 Barrie Road, Suite 250, Minneapolis, MN 55435-2358, United States p +1 952 933 4977 or 888 277 4977 | f +1 952 988 0146 corporatecompliance.org | helpteam @ corporatecompliance.org

American Express

Discover

MasterCard

Visa

Credit Card Expiration Date

Cardholder’s Name

Cardholder’s Signature

ICEI2016

HOW TO REGISTER MAIL Include registration form with check payable to: SCCE, 6500 Barrie Road, Suite 250 Minneapolis, MN 55435-2358, United States ONLINE Visit europeancomplianceethicsinstitute.org FAX +1 952 988 0146 (including billing information) QUESTIONS? Call +1 952 933 4977 or email helpteam @ corporatecompliance.org

Details

EUROPEAN COMPLIANCE & ETHICS INSTITUTE | 20–23 MARCH 2016 in SCCE educational, news, or promotional material, whether in print, electronic, or other media, including the SCCE website. By participating in the SCCE European Compliance & Ethics Institute, I grant SCCE the right to use my name, photograph, biography and likeness for such purposes. Continuing Education Units: SCCE is in the process of applying for additional credits. If you do not see information on your specific accreditation and would like to make a request, please contact us at +1 952 933 4977 or 888 277 4977, or email [email protected]. Visit SCCE’s website, corporatecompliance.org, for up-to-date information. Compliance Certification Board (CCB): Compliance Certification Board (CCB): CCB has awarded a maximum of 21.0 CEUs for these certifications: Certified in Healthcare Compliance (CHC)®, Certified in Healthcare Compliance–Fellow (CHCF)™, Certified in Healthcare Privacy Compliance (CHPC)®, Certified in Healthcare Research Compliance (CHRC)®, Certified Compliance & Ethics Professional (CCEP)®, Certified Compliance & Ethics Professional–Fellow (CCEP-F)®, Certified Compliance & Ethics Professional–International (CCEP-I)®.

Conference Hotel Prague Marriott Hotel V Celnici 8 Prague, 110 00 Czech Republic Phone: +420-222-888 888 Online reservations: http://bit.ly/1ZqjXRS SCCE has set up a special group rate of 3,700.00 CZK, plus tax, per night for conference attendees. When making reservations via telephone, please indicate that you are with the European Compliance & Ethics Institute. This rate is good through 27 February, or until the room block is filled, whichever comes first. Reservation requests received after this date or after the group block is full will be accepted base on space and rate availability. Hotel accommodations are not included in your conference registration fee. Prague Marriott Hotel is the official conference hotel for the 2016 European Compliance & Ethics Institute. SCCE does not call or contact our attendees to book hotel room reservations. If you receive a call or email from a hotel booking service requesting that you book your hotel reservation for the SCCE conference through them, please note that the organization is not affiliated with or contracted by SCCE. Any offers from other hotels and/or housing agencies are not endorsed by SCCE. Beware of and report any unauthorized solicitations to Lizza Catalano at lizza.catalano@ corporatecompliance.org. Registration Payment Terms:Checks are payable to SCCE. Credit cards accepted: American Express, MasterCard, or Visa. SCCE will charge your credit card the correct amount should your total be miscalculated. If you wish to pay using wire transfer funds, please email helpteam @ corporatecompliance.org for instructions. Tax Deductibility:All expenses incurred to maintain or improve skills in your profession may be tax deductible, including tuition, travel, lodging, and meals. Please consult your tax advisor.

Cancellations/Substitutions:You may send a substitute in your place or request a conference credit. Conference credits are issued in the full amount of the registration fees paid and are good for 12 months from the date of the cancelled event. Conference credits may be used toward any SCCE service. If you need to cancel your participation, notify us prior to the start date of the event by email at helpteam @ corporatecompliance.org or by fax at +1 952 988 0146. Please note that if you are sending a substitute, an additional fee may apply. Group Discounts: Discounts take effect the day a group reaches the discount number of registrants. Please send registration forms together to ensure that the discount is applied. A separate registration form is required for each registrant. Note that discounts will not be applied retroactively if more registrants are added at a later date, but new registrants will receive the group discount. 5 or more: $100 discount for each registrant 10 or more: $150 discount for each registrant Dress Code:Business casual dress is appropriate

for conference attendees.

Meals:Continental breakfast, lunch, and

refreshment breaks are provided on Monday and Tuesday only. Coffee will be served on Sunday and Wednesday. Prerequisites/Advanced Preparation: None. Recording:No unauthorized audio or video

recording of SCCE conferences is allowed. Agreements & Acknowledgements:I agree and

acknowledge that I am undertaking participation in SCCE events and activities as my own free and intentional act, and I am fully aware that possible physical injury might occur to me as a result of my participation in these events. I give this acknowledgement freely and knowingly and assert that I am, as a result, able to participate in SCCE events, and I do hereby assume responsibility for my own well-being. I agree and acknowledge that SCCE plans to take photographs and video footage at the European Compliance & Ethics Institute and reproduce them

CLE: The Society of Corporate Compliance & Ethics is a State Bar of California Approved MCLE provider, a Pennsylvania Accredited Provider, and is an accredited sponsor, approved by the State Bar of Texas, Committee on MCLE. An approximate maximum of 17.5 clock hours of CLE credit will be available to attendees of this conference. All CLE credits will be awarded based on individual attendance. NASBA/CPE: The Society of Corporate Compliance & Ethics is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE sponsors, Sponsor Identification No: 105638. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit and may not accept one-half credits. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417. Website: www.nasba. org. A recommended maximum of 21.0 credits based on a 50-minute hour will be granted for the entire learning activity. This program addresses topics that are of a current concern in the compliance environment. This is an update, group-live activity. For more information regarding administrative policies such as complaints or refunds, call (888) 580-8373 or (952) 988-0141. Nursing Credit: The Health Care Compliance Association is preapproved by the California Board of Registered Nursing, Provider Number CEP 12990, for a maximum of 21.0 contact hour(s). The following states will not accept CA Board of Nursing contact hours: Delaware, Florida, New Jersey and Utah. Massachusetts and Mississippi nurses may submit CA Board of Nursing contact hours to their state board, but approval will depend on review by the board. Please contact the Accreditation Department at [email protected] with any questions you may have. Oncology Nurses who are certified by ONCC may request CA Nursing Credit (check box or indicate “Nursing” on the CEU form).

SOCIETY OF CORPORATE COMPLIANCE AND ETHICS 6500 Barrie Road, Suite 250, Minneapolis, MN 55435 United States p +1 952 933 4977 or 888 277 4977 | f +1 952 988 0146 corporatecompliance.org | helpteam @ corporatecompliance.org corporatecompliance.org

15

6500 Barrie Road, Suite 250 Minneapolis, MN 55435, United States corporatecompliance.org

New Data Protection Rules The UK Bribery Act And CEUs

European Compliance & Ethics Institute 20–23 March 2016 | Prague, Czech Republic | Prague Marriott Hotel To learn more, visit europeancomplianceethicsinstitute.org

Society of Corporate Compliance and Ethics

Develop your expertise in this growing and evolving profession

European Compliance & Ethics Institute 20–23 March 2016

Prague, Czech Republic