Breakout Sessions

October 21-23 / Orlando, FL

Tuesday, October 22
10:00 am-11:00 am

Translating Ethics Behavior into Enhanced Reputation and Business Success

Understand how to optimally communicate E&C messaging towards the means end of enhancing reputation and elevating business success. Learn best practices on driving perceptions of “good ethics” based on the proprietary RepTrak model.

Stephen Hahn-Griffiths, Global EVP, Strategy, Enterprise Growth, and General Manager, RepTrak

Compliance, Risk, Legal, Audit, HR: Does the right hand know what the left hand is doing? Looking for alignment among risk mitigators and the culture keepers

Is the Ethics & Compliance team familiar with the Audit team’s business plan? Would the Risk group benefit by including HR in their goal setting sessions? The key risk and culture stakeholders – Compliance, Legal, Audit, Risk and HR – each sit on a wealth of information from investigation outcomes and internal audit reports to enterprise risk reviews, personnel management data and litigation activity- that is often shared at senior leadership or Board levels and nowhere else. This session will identify the overlapping accountabilities of the various functions and explore how these stakeholders can share information “horizontally” to break traditional silos, share resources as appropriate, and better assess and address risk in a proactive and consistent manner.

William Cameron, Founder & Principal, Cameron Advisory Services, LLC

How to Tie Annual Training, Culture Surveys and Middle Management Together for a Maximum Impact

Annual training and culture surveys offer the greatest opportunity to capture the attention and feedback from your workforce. Data gathered can be used to identify insights into culture issues or program gaps. Come learn how Dell utilizes audience profiling and test outs to drive efficiency, leverages leaders to achieve 100% completion, and embeds the culture survey to achieve impressive response rates. Then watch how Dell uses the culture survey data to build a middle manager development program aimed at boosting the quality and quantity of manager-led team discussions focused on ethics. Examples, details, and lessons learned will be shared in this interactive and engaging session.

Alicia Olmstead, Global Awareness Program Manager, DELL Technologies

Taking Giving Voice to Values (GVV) to the Next Level

Giving Voice to Values (GVV) was developed by Mary Gentile, PhD., to help employees skillfully voice and act on their values in ethics-related situations through situation-specific practice and rehearsal. In May 2024 the ECI convened a working group of ECI members to identify principles that contribute to successfully implementing, embedding, and sustaining GVV in organizations. The purpose of this session is to initiate a leading-edge dialogue between members of the working group and E&C professionals who are currently practicing or interested in learning more about GVV and its power to transform speak up programs.

Michael Galas, Americas Ethics & Compliance Leader, KPMG US

Unveiling the Wave of Country Legislations on Transparency and Protection Against Illicit Activities

In an era marked by technological advancements, the popularity of artificial intelligence, complex supply chains, and an increasingly interconnected global economy, the battle against financial crimes—including money laundering and corporate corruption—has become more sophisticated and challenging. Governments worldwide are recognizing the need for greater transparency to ensure protection against illicit activities. One significant stride in this direction is the wave of transparent legislation being introduced, with prominent examples being the Corporate Transparency Act (CTA) in the U.S. and the Economic Crime and Corporate Transparency Bill in the U.K. These legislations aim to enhance disclosure of ultimate beneficial ownership (UBO), providing compliance professionals with the tools to effectively screen for money laundering, adverse media risks, politically exposed persons, and sanctions. This article explores the implications, challenges, and global impact of these initiatives.

Hassan Chaudry, Director of Compliance, Starlight Investments

HQP Partner Trends and Opportunities

NAVEX

1:00 pm-2:00 pm

Cultivating a Culture of Ethical Excellence Through GRC Integration

Interactive session exploring the relationship between Governance, Risk, and Compliance (GRC) and Business Ethics to provide actionable strategies for fostering ethical excellence within organizations. The session will include sharing practical insights and best practices to effectively integrate robust GRC frameworks that uphold ethical standards.

Fabi Takata Shiota – Director of Regional Ethics & Compliance , META

Risk Management: Further, Faster: Using “Tactical Tech” to Increase Program Impact and Reach

Learn how to increase your Ethics & Compliance program’s impact and reach using “Tactical Tech” — technology that is already available or can be obtained for a modest additional investment. The session will highlight several case studies focused on: • Driving timely training completion • Empowering managers • Simplifying and enhancing policy enhancements • Increasing employee engagement and accessibility to E&C advice and resources • Automating fraud detection We will discuss each of the highlighted challenges using the GAINS framework (Goals, Actions, Impact, Next Steps) and facilitate a discussion of participants’ own experiences of using Tactical Tech in their organizations.

Mark Rowe, Director of Ethics & Compliance: Policy, Communications & Training, DXC Technology

A Strong Ethical Culture Must Be Real, Not Fake

A strong ethical culture is possible, but only if it is not a FAKE one. A fake system as with any other fakeness is simply wrong. It will never allow an organization to grow, let alone achieve its goals. A strong ethical culture starts from top. A strong ethical culture gets embedded into an organization and it comes to a stage where employees live by it as it becomes part of their culture!

Elshad Rustamov, Founder & Managing Director of The Consultant Global Company

Creating a Speak Up Culture: a Tactical Approach

Learn how to create a speak up culture through the practical cultivation of psychological safety at the tactical level using real-world examples, tools and techniques.

Lisa Mathews, Managing Director, Ethics & Compliance, KPMG US

Meeting New DOJ Evaluation of Corporate Compliance Program Expectations Concerning Personal Devices, Communication Platforms and Messaging Applications

In March 2023, the DOJ expanded its ECCP to include corporate policies governing personal devices, communications platforms, and messaging applications. The update builds upon the ongoing SEC and CFTC Off-Channel Communications Initiative, which has resulted in over 60 orders and over $2.6 billion in fines and penalties.

This panel of in-house compliance leaders, risks and controls experts, forensic technologists, and counsel will discuss applying to DOJ expectations lessons learned from SEC Off-Channel Communications, including (i) DOJ and SEC requirements, (ii) tailoring the policies to the company’s risk profile, (iii) capturing and storing communications, (iv) surveillance, and (v) consequence management.

Moderator: Chuck Soha, Managing Director, StoneTurn

Panelists:
Charu A. Chandrasekhar, Partner, Debevoise & Plimpton LLP
Lauren Kootman, Assistant Chief, Corporate Enforcement, Compliance & Policy Unit, Fraud Section, U.S. Dept of Justice, Criminal Division
Philip Smith, Head of Financial Crime Risk Management, Booking Holdings, Inc.

HQP Partner Trends and Opportunities

RILA (Retail Industry Leaders Association)

2:30 pm-3:45 pm

The Ethics Engine – Powering Business Strategy & Sustainable Growth at Your Organization

In today’s rapidly evolving business landscape, integrating ethics and compliance into the core of business strategy is not just a regulatory necessity but a strategic advantage. This session is designed to empower corporate employees at all levels to understand and implement ethics and compliance not as an afterthought, but as a fundamental aspect of their daily operations and long-term strategic planning. This session will be crucial for compliance professionals, middle to senior management, team leaders, and key decision-makers across all departments who are instrumental in shaping and executing business strategies.

Bianca Forde Esq., VP, Global E&C Programs, Otis Elevator Co.
Eric Glover, Senior Vice President and Chief Compliance Officer at Otis Worldwide Corporation

Developments in Federal Voluntary Self-disclosure Programs and the Consequences for E&C Programs

Recent expansions of federal voluntary-self disclosure (VSD) and whistleblower-compensation initiatives have important consequences for corporate E&C programs. After outlining the contours of VSD and whistleblower programs, the session will address preserving an entity’s ability to be a first reporter and recipient of VSD credit, engaging compliance in the M&A process to maximize VSD benefits, managing speak-up reports and reporters, conducting investigations to mitigate risks of reporting out, and communicating results of reports/investigations to encourage internal reporting instead of reporting out.

David E. Carney, Partner, Robinson + Cole

Defining Excellence in E&C: Strategy

ECI Senior Advisors

Defining Excellence in E&C: Risk Management

ECI Senior Advisors

Defining Excellence in E&C: Culture

ECI Senior Advisors

Defining Excellence in E&C: Speak Up

ECI Senior Advisors

Defining Excellence in E&C: Accountability

ECI Senior Advisors

Wednesday, October 23

9:45 am-10:45 am

Valuing Corporate Compliance: Making the Revenue Case for Compliance Programs

There has been a long running effort to establish the “business case” for compliance. But this effort has faltered because compliance is most often framed in terms of liability avoidance, cost reduction, and risk mitigation. While compliance does all that, it can do much more. This session presents original research providing empirically sound, direct evidence that compliance can—and does—create positive, revenue-enhancing value for companies. By identifying and measuring compliance’s positive value to consumers, programs can increase their status and investment within the firm, a positive for all corporate stakeholders.

Todd Haugh, Associate Professor of Business Law & Ethics, Arthur M. Weimer Faculty Fellow in Business Law, Director – Institute for Corporate Governance

October 21-23 / Orlando, FL