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New York City, October 17-18, 2016Atlanta, Philadelphia, Pittsburgh and Mechanicsburg Groupcast Locations, October 17-18, 2016

Live Webcast, October 17-18, 2016San Francisco, November 28-29, 2016

• Recent developments, including new government standards andrecent case law

• Conducting and designing risk assessments to obtain the mostvaluable information

• Creating a training and communications strategy to best meetyour organization’s needs

• Creating effective reporting procedures, including hotlines, andinvestigating allegations of wrongdoing

• Global compliance expectations, challenges and best practices

• Conflicts of interest compliance

• Anti-corruption compliance

Register Today at www.pli.edu/RKR6 or Call (800) 260-4PLI

Satisfy Your CLE, CPE, CPD and CCB Compliance Requirements!

Advanced Compliance andEthics Workshop 2016

Why You Should AttendHaving an effective compliance and ethics program is essential to companies of all kinds. Such programs helpprevent misconduct from occurring and allow organizations to detect and respond in a timely manner tomisconduct when it does occur. They also help organizations cultivate a true culture of business ethics, which is every bit as important to preventing wrongdoing as are traditional internal controls.

Compliance and ethics programs are a necessary tool to manage the substantial risks posed by employeemisconduct and assist organizations in dealing with violations when they occur. Companies that implementeffective programs can minimize the likelihood of devastating criminal sanctions – and also reap the rewards ofemployee loyalty and customer trust. The Workshop’s faculty, drawn from major corporations, law firms,academia, and the government, are experienced compliance and ethics professionals who will provide you withthe tools you need to advance your program.

What You Will Learn• Recent developments in compliance and ethics, including new government standards and recent case law

• Conducting and designing compliance risk assessments to obtain the most valuable information – and putting that information to use in your program

• Creating a training and communications strategy that meets your organization’s needs but doesn’t break your budget

• Structuring your program for appropriate independence and clout

• Creating effective reporting procedures, including hotlines and other mechanisms, and decreasing the fear of retaliation

• Investigating allegations of wrongdoing, imposing discipline as appropriate and implementing other remedial measures

• Global compliance expectations, challenges and best practices

• How to perform effective compliance audits and assessments, and how to monitor compliance in key risk areas

• Best practices in conflicts of interest and anti-corruption compliance

• Approaches to reporting to the Board on your program

Who Should AttendThis Workshop is designed specifically for experienced compliance officers, attorneys and staff responsible forcompliance program administration.

Register Today at www.pli.edu/RKR6 or Call (800) 260-4PLI

Advanced Compliance andEthics Workshop 2016

Jeffrey M. Kaplan Kaplan & Walker LLPPrinceton, New Jersey

Chair

FACULTYNew York City, Groupcast Locations and Live Webcast

Senior Program Attorney:Meghan K. Carney

Andrea Bonime-BlancChief Executive OfficerGEC Risk Advisory LLCNew York City

Jill BrugzaAssistant General CounselPfizer, Inc.New York City

Jodi A. CatalanoSenior Corporate CounselPfizer, Inc.New York City

Keith DarcySenior Advisor Deloitte & Touche LLPNew York City

Donald C. DowlingK&L Gates LLPNew York City

Janice L. Innis-ThompsonFormer Senior Vice President

and Chief Compliance OfficerTIAA-CREFNew York City

William (Billy) JacobsonOrrick, Herrington &

Sutcliffe LLPWashington, D.C.

Jay T. Jorgensen Global Chief Ethics &

Compliance OfficerWalmart Stores, Inc.Bentonville, Arkansas

Paul E. McGrealDean and Professor of Law Creighton University

School of LawOmaha, Nebraska

Joseph E. MurphySenior AdvisorCompliance Strategists, LLCHaddonfield, New Jersey

Richard MuzikarDirector – Enterprise Risk

Management Consolidated Edison Company

of New York, Inc.New York City

Ed PetryVice President, Advisory

Services NAVEX GlobalWorcester, Massachusetts

Mark SnydermanChief Ethics & Compliance

Officer, Assistant General Counsel

Laureate Education, Inc.Atlanta

Kimberly StrongVice President, Chief Ethics &

Compliance OfficerConsolidated Edison Company

of New York, Inc.New York City

Jose TabuenaSenior Consultant PrincipledEdgeDallas

Carsten TamsSenior Vice President & Ethics

and Compliance ExecutiveBertelsmannNew York City

Richard J. WolfSenior Vice President,

Chief Ethics Officer HSBC – North America New York City

Rebecca WalkerKaplan & Walker LLPSanta Monica, California

Chair

San Francisco

Melissa AllainAssociate General Counsel &

Director, Ethics &Compliance Americas

AvnetPhoenix

Amii L. Barnard-BahnPrincipal, Barnard-Bahn

ConsultingFormer Chief Administrative

OfficerCalifornia Dental AssociationSacramento, California

Jeffrey BrownSenior Vice President,

Corporate Secretary andChief Compliance Officer

Activision BlizzardLos Angeles

Sean CoutainDirector, Global Ethics and

Compliance Applied MaterialsSanta Clara, California

Stefani DawkinsVP, Global Ethics and IntegrityWells Fargo & Co.Fremont, California

Andrea DeShazoFormer Sr. Director, Global

Compliance & Ethics McKessonSan Francisco

Nancy HeafeySenior University CounselStanford UniversityStanford, California

Andrew JordanFormer Chief Compliance

Officer; V.P., Ethics and Compliance

StaplesSan Francisco Bay Area

Amy LillyDirector, Ethics and Compliance CenterPoint EnergyHouston

Paul E. McGrealDean and Professor of Law Creighton University

School of LawOmaha, Nebraska

Monica ReinmillerDirector, Corporate

Compliance CounselSutherland Global ServicesBellevue, Washington

Jenny Chung SavidgeSenior Legal Counsel and

Director of ComplianceIHSEnglewood, Colorado

Carlos SinghProfessor, Lincoln Law School

of San JoseSan Jose(Formerly a Managing Director

with Fidelity NationalInformation Services,Senior Manager with Ernst & Young, and federal prosecutor)

John SkousenChief Compliance Officer QualcommSan Diego

Michael WardVice President & Chief

Compliance Officer Juniper NetworksSan Francisco

Stephen J. WilliamsSenior Director of

Compliance InvestigationsCiscoSan Jose

Jeremy WilsonSVP, Chief Ethics

Advisory OfficerWells FargoEl Dorado, California

Morning Session: 9:00 a.m. – 12:30 p.m.

9:00 The Elements and Characteristics of an EffectiveCompliance and Ethics Program • The essential elements of an effective program• Critical program attributes

NYC, ATL, PHI, PITT, MECH & WEB: Jeffrey M. KaplanSF: Rebecca Walker

9:15 Recent Compliance Developments and What toExpect in 2017 and Beyond• The latest guidance from the Department of Justice anddeferred prosecution agreements

• Significant whistleblower updates• Lessons from recent case law, including lawsuits againstdirectors and officers

• Anti-corruption, NLRB, and other regulatory standards and guidance

NYC, SF, ATL, PHI, PITT, MECH & WEB: Paul E. McGreal

10:15 Compliance Program Structure and OversightA. Program Management and Structure• Positioning the Compliance Officer for appropriateindependence and authority

• Leveraging relationships with HR, Internal Audit, Security andother functions

• Compliance committees, teams, liaisons and networksB. Board Oversight• Helping your Board help you create and maintain a robust program

• The relationship between the chief compliance officer andthe Board and the compliance director and the Board

• Reporting to the Board regarding investigations and violations

NYC, ATL, PHI, PITT, MECH & WEB: Andrea Bonime-Blanc,Richard J. WolfSF: Jeffrey Brown, Jeremy Wilson

11:15 Networking Break

11:30 Compliance Risk Assessment: Understanding andMitigating Your Compliance Risks• Efficient and practical risk assessment practices• Tying the results to mitigation plans and other program improvements

• Reporting on and documenting your risk assessment• Interplay of compliance and other types of risk

NYC, ATL, PHI, PITT, MECH & WEB: Janice L. Innis-Thompson, Richard Muzikar, Kimberly Strong SF: Amii L. Barnard-Bahn, Michael Ward

12:30 Networking Lunch Break

1:00 The Government’s Perspective on Compliance andEthics ProgramsNYC, SF, ATL, PHI, PITT, MECH & WEB: TBA

Afternoon Session: 1:45 p.m. – 5:00 p.m.

1:45 Codes of Conduct and Compliance Training and Communications• Designing, revising and disseminating effective codes of conduct

• Training approaches that are effective and stay fresh over time

• Training managers and senior leadership• Measuring the impact of training• Planning for and disseminating effective non-training communications

NYC, ATL, PHI, PITT, MECH & WEB: Jill Bruzga, Jodi A. Catalano, Ed PetrySF: Sean Coutain, Stefani Dawkins

2:45 Enhancing Compliance Reporting Procedures and Conducting Investigations• Helpline and investigation protocols• Communicating with employees and others about reportingand investigations

• Best practices in conducting investigations, includingmaintaining independence and confidentiality

• When to use external resources for investigations• Combating the fear of retaliation• Legal and ethical concerns• Challenges in meting out discipline for violations

NYC, ATL, PHI, PITT, MECH & WEB: William (Billy) Jacobson, Mark SnydermanSF: John Skousen, Stephen J. Williams

3:45 Networking Break

4:00 Conflicts of Interest and Corruption andCompliance RisksExplore compliance risks and controls related to two of thehigher-risk compliance areas• Conflicts of interest

– Drafting workable policies and creating effective training– Questionnaires, certifications and approval procedures– Auditing and monitoring for conflicts

• Corruption– Risk assessment– Policies, training and communications– Due diligence and other third-party controls

NYC, ATL, PHI, PITT, MECH & WEB: Jay T. Jorgensen, Jeffrey M. KaplanSF: Andrea DeShazo, Andrew Jordan

5:00 Adjourn

PROGRAM SCHEDULEDay One: 9:00 a.m. – 5:00 p.m.

9:00 Creating, Measuring and Maintaining a Culture of Compliance • Tone at the top – and the middle• Speak-up cultures• “Organizational justice”• Measurement methodologies• Positive and negative incentives

NYC, ATL, PHI, PITT, MECH & WEB: Keith Darcy, Carsten TamsSF: Melissa Allain, Carlos Singh

10:00 Global Compliance Programs• Helplines and investigations around the globe• How to avoid a “U.S.-centric” program• Contending with employment and privacy laws outside theUnited States

• Strong compliance cultures that transcend national borders

• Training and communicating with employees and third parties around the globe

NYC, ATL, PHI, PITT, MECH & WEB: Donald C. DowlingSF: Nancy Heafey, Monica Reinmiller, Jenny Chung Savidge

11:15 Networking Break

11:30 Compliance Program Auditing, Monitoring and Assessment• Assessment methodologies• Compliance auditing• Compliance monitoring• “Deep dive” assessments• Using metrics to advance your program

NYC, ATL, PHI, PITT, MECH & WEB: Joseph E. Murphy, Jose Tabuena SF: Amy Lilly, Rebecca Walker

12:30 Adjourn

Please plan to arrive with enough time tocheck in before the conference begins. A networking breakfast will be availableupon your arrival.

Day Two: 9:00 a.m. – 12:30 p.m.

“This was an extremely informative conference.”– Rebecca Gervais, IDEXX Laboratories, Inc.

“Great work and thank you!”– Tony Lawrence, National Rural UtilitiesCooperative Finance Corporation

“Instructor was fabulous.”– Gary Stein, Schulte Roth & Zabel LLP

“Very informative program. Really enjoyable!”– Philip Rothman, Morgan Stanley

“Good program. Would recommend it to others.”– Kevin Jones, Hunton & Williams LLP

“Exceptional program – great discussions oncutting edge compliance topics.”

“Great seminar. Working lunch was great! Very interactive.”

“Excellent course. Highly recommended forthose looking to stay on top of the latestdevelopments in the compliance field.”

“I am continually impressed with not onlythe content of PLI courses but how effectivelythey are organized and administrated. I lovethat they start and end throughout the daywhen they are scheduled to. Very refreshing.”

“Thank you for another excellent program!”

“I enjoyed the program. The quality of presentersand presentations was excellent. I felt thatthe real life examples and the discussions ofwhat different compliance programs looklike was very helpful.”

– 2015 Attendees

What Past Attendees Have Said . . .

PLI’s Nationally Acclaimed Course Handbooks – Now Available OnlineOur Course Handbooks represent the definitive thinking of the nation’s finest legal minds, and are consideredthe standard reference in the field. The Handbook is prepared specifically for this program and stands aloneas a permanent reference. The Course Handbook will be available online several days prior to the program!

Log in to www.pli.edu, go to My Online Library and click on the Course Materials tab. You can review thematerial or prepare questions to raise at the program. All attendees will have access to the Course Handbookfor one year from the program date.

PLI’s Pro Bono Efforts & ScholarshipsAs a nonprofit organization, PLI is deeply committed to the public service work of the legal profession. This commitment extends to training in-house and private practice attorneys in support of their pro bonoactivities, as well as training attorneys working in legal services, nonprofit organizations, and government agencies.

PLI’s pro bono efforts include: full and partial scholarships to attend our institutes and programs • assistingpublic interest and legal services organizations with their legal training needs, and • providing free programsin practice areas critical to the representation of low-income clients.

In 2015, PLI awarded over 60,000 scholarships to attorneys working for legal services/nonprofit organizations,judges and judicial law clerks, law professors, unemployed attorneys and attorneys with financial hardships,law students and attorneys 65 or older.

PLI also partners with Privileged Member firms and organizations to offer free CLE training to their pro bonoclients under the Pro Bono Membership program. The selected nonprofit organizations, legal aidorganizations and other pro bono groups have unlimited access to PLI live seminars and On-Demand Learning content.

For more information on our pro bono initiatives, or to apply for a scholarship, please visitwww.pli.edu/probono

Individual Privileged Membership — unlimited access to PLI’s live seminars and online programming for one flat annual fee!For more information on Individual Privileged Membership, please call (800) 260-4754 oremail membership@pli.edu.

Most of our programs are available as live Webcasts. Reserve your seat to watch PLI’s acclaimed faculty as they discuss the hottest legal trends,developments, case law and regulations. . . . View all supporting material. . . . And earn CLE and CPE credit.

Register today at www.pli.edu/RKR6 or Call (800) 260-4PLI.

Register for our live Webcast – attend from your location!

Location/Hotel Information: Visit us on the Web at www.pli.eduor call us at (800) 260-4PLI for information about seminarlocations and hotel accommodations for this program.Payment Policy: Registration fees are due in advance.Attendees may pay by check, Visa, MasterCard, AmericanExpress or Diners Club.Cancellations: All cancellations received 3 business days priorto the program will be refunded 100%. If you do not cancelwithin the allotted time period, payment is due in full. You maysubstitute another individual to attend the program.CLE/CPD Credit: PLI programs offer CLE credit in all U.S.jurisdictions that have mandatory CLE requirements and someforeign jurisdictions with CPD requirements. Please checkwww.pli.edu/credit for credit details, eligibility and approvalstatus for your particular jurisdiction(s). New York: In accordancewith the requirements of the Continuing Legal Education Board,this non-transitional continuing legal education course has beenapproved for a maximum of 11.00 credit hours, of which 11.00credit hours can be applied toward the Professional Practicerequirement. California: This activity is approved for MCLEcredit in the amount of 9.50 hours.

Recommended CPE Credit: 11.00 credit hours in SpecializedKnowledge and Application. Program Level: Overview. Practising Law Institute is registered with the NationalAssociation of State Boards of Accountancy (NASBA), as asponsor of continuing professional education on the NationalRegistry of CPE Sponsors. For PLI’s official National RegistryStatement, please visit www.pli.edu/credit.The Compliance Certification Board (CCB)® has approvedthis event for up to 11.40 CCB CEUs. Continuing Education Unitsare awarded based on individual attendance records. Granting ofprior approval in no way constitutes endorsement by CCB of thisprogram content or of the program sponsor.Special Needs: If you have special needs as addressed by theAmericans with Disabilities Act, please notify Customer Serviceat least two weeks prior to your program.Email: info@pli.eduVisit Us On The Web: www.pli.edu/RKR6

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