ADVANCED CORPORATE COMPLIANCE WORKSHOP 2006

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All program attendees* will receive a copy of the Course Handbook. This softcover, bound volume was prepared specifically for this program and will also stand alone as a permanent reference. PLI’s Course Handbooks represent the definitive thinking of the nation’s finest legal minds, and are often the standard reference in the field.  

(Please note: Individual Webcast attendees will receive a downloadable  version of the Handbook the day of the program, and the Course Handbook after the program date.)  

MORNING SESSION: 9:00 A.M. – 12:15 P.M.

9:00 Opening Remarks and Introduction to Advanced Compliance

NY & SF: Hon. Michael E. Horowitz, Rebecca Walker

9:30 Latest Developments in Compliance

NY: Professor Richard S. Gruner     SF: Professor Paul E. McGreal

10:15 Break

10:30 Practical Implementation of Amendments to the Organizational Sentencing Guidelines

How companies are implementing the 2004 amendments to the Guidelines

The enhanced emphasis on risk assessments and training

Creating an ethical corporate culture

Creating “incentives” for compliance

The impact of Booker and Fanfan

NY: Hon. Ruben Castillo, Paula J. Desio (Moderator), Carol Marshall

SF: Michelle Banks, Gary B. Glass, Hon. Michael E. Horowitz (Moderator)

11:30 Risk Assessment

• Conducting an effective risk assessment

- Collecting information

- Utilizing the results

• Legal and regulatory guidance

• Building on enterprise-wide risk assessments

NY: Jeffrey M. Kaplan, Lorraine E. Waller   SF: Richard J. Battaglia, Jay C. Mumford

12:15 Luncheon Program: Keynote Address

NY: Hon. Christopher J. Christie, U.S. Attorney for the District of New Jersey

SF: Hon. Ruben Castillo, Vice Chair, United States Sentencing Commission, District Judge, United States District Court, Northern District of Illinois

AFTERNOON SESSION: 1:15 P.M. – 4:30 P.M.

AFTERNOON COMPLIANCE MARATHON

Participants will take part in an afternoon of quick but thorough exploration of a series of important topics in the field of compliance, followed by a cocktail hour during which they can ask questions of the panelists and share best practices with each other.

1:15 Structuring Your Program

• Infrastructure issues: Centralized or decentralized compliance function?

• Setting up local business unit COs and committees

• Right-sizing your compliance program

NY: Kristen K. McGuffey    SF: Steven M. Fleisher

1:45 Reporting to and Educating the Board

• What directors need to know: Getting them the important information

• Practical tips on training directors

NY: Mari B. Maloney, Henry T.A. Moniz     SF: David C. Farrell, Monica J. Shilling

2:30 Break

2:45 Compliance Auditing and Assessment

• Auditing for compliance violations

• Leveraging compliance for SOX 404 and 404 for compliance

• Employee surveys

• Assessing your program

NY: Pamela McGuire, Jeffry P. Neidhardt    SF: Melissa M. Allain, Gary F. Giampetruzzi

3:30 Help for Your Helplines

• Implementing effective helplines

• Mitigating the fear of retaliation

• Helplines in the E.U.

NY: Gilen Chan     SF: Eric Pressler

4:00 Investigating and Responding to Compliance Concerns

• When is an investigation needed?

• Guidelines for investigations

• When to bring in outside advisors

• What is the government’s perspective on internal investigations?

• How should the compliance program respond, and be useful?

NY: Timothy J. Coleman    SF: Bart H. Williams

4:30 Cocktail Reception

*Cocktail reception generously underwritten

by Cadwalader, Wickersham & Taft LLP and Walker Compliance, P.C.

9:00 Compliance Officer Case Study: Real World Hypothetical Scenarios

• Explore the evolving role and responsibilities of the compliance officer

• Compliance officer positioning: To whom should you report?

• Dealing with common challenges and obstacles

NY: Joan Dubinsky, David I. Greenberg,   Rebecca Walker (Moderator)

SF: David I. Greenberg, Odell Guyton,    Rebecca Walker (Moderator)

10:00 Global Compliance Issues

• Compliance developments outside the U.S.

• Avoiding international backlash

• How your compliance program can break the law overseas

• Developments in Europe, Australia and Asia

• Importing compliance into the international M&A context

NY: Carole L. Basri, Hon. Michael E. Horowitz (Moderator),  Janis Innis-Thompson

SF: John P. Giraurdo, Joseph E. Murphy

11:00 Break

11:15 Training and Communication Strategies - Live and Web

• Latest developments in web training

• Live training strategies

• Compliance at the movies

• Creative communication methods

NY: Theodore L. Banks, Alexander F. Brigham, Rebecca E. Goodell

SF: Alexander F. Brigham, Rebecca E. Goodell, Diana M. Lutz

12:15 Closing Remarks and Summing it Up

NY & SF: Hon. Michael E. Horowitz, Rebecca Walker

*LIVE WEBCAST AVAILABLE

A simultaneous live online broadcast of the San Francisco session of this program is available for individual viewing from your computer. Webcast participants will receive streaming audio / video instantaneously from the live program, can view and/or print the Course Handbook, and submit questions electronically. Get “real-time” education right from your PC!

*To participate in the simultaneous LIVE webcast of the San Francisco, CA session, you must register no later than September 24, 2006: CLICK HERE TO REGISTER FOR WEBCAST