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Third Annual Corporate Compliance Institute

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  • Third Annual Corporate Compliance Institute
  • Rutgers Law School - Camden

Third Annual Corporate Compliance Institute

Friday, April 13, 2018 8:30 a.m. – 3:45 p.m., Reception following

Rutgers Law School 217 North Fifth Street | Camden, NJ 08102

An effective corporate compliance program integrates many aspects of a firm’s compliance efforts. These efforts include complying with governmental laws and regulations, compliance with internal rules and procedures, and developing a culture that values compliance in the organization. An important part of the compliance function is to ensure that various areas in an organization work together to maintain high standards and prevent failures and disasters that can cause harm both inside and outside of the firm.

This year’s Institute will again feature practitioners, current and former government officials, and business and legal scholars, who have broad and deep background and experience in corporate compliance. This year’s program will include expert discussion of sexual harassment in the workplace, the use of cutting-edge psychological research in designing compliance programs, the use of data analytics to improve the compliance function, and the intersection of compliance and risk management. The Institute will also feature a keynote presentation by Pulitzer Prize-winning reporter Jesse Eisinger of ProPublica, who will discuss his new book, The Chickenshit Club: Why the Justice Department Fails to Prosecute Executives. Attendees will have the chance to discuss their own experiences with other compliance officers, lawyers, academics, and other professionals.

Detailed descriptions below.

CLE:  NJ: 6.6 incl. 1.5 ethics |  NY: 6.5 incl. 1.5 ethics  |  PA: 5.5 incl. 1.0 ethics.     Registration Fee: $150         Register at rutgerscle.com 

Free for guests who do not want CLE.  Register at events.camden.rutgers.edu/cclg

If you have questions, please contact Carol Shaner carol.shaner@law.rutgers.edu.

TENTATIVE AGENDA

8:30-9:00        Breakfast

9:00–9:15       Welcome & Introduction

9:15–10:30     Sexual Harassment in the Workplace

With sexual harassment issues dominating the news, this panel will consider effective sexual harassment policies in the context of a company’s overall compliance efforts. The panel will discuss the extent to which sexual harassment presents a compliance issue, as opposed to an HR issue. It will also discuss whether corporate structures that typically segregate harassment as a HR issue rather than as a compliance or ethics issue, may have created an ineffectual reporting system or other negative incentives. The panel will focus on developing an appropriate ethical culture that reduces harassment in the workplace. The speakers will discuss the role that corporate culture plays in reducing the likelihood of harassment and in encouraging reporting and whistleblowing when inappropriate conduct has occurred. They will also address how firms develop ethical cultures that discourage misconduct, and whether strategies exist to change attitudes to encourage bystanders to intervene appropriately rather than avoiding or trivializing the issue.

Sarah M. Bachner | Duane Morris, LLP

Karen McDonough | EEOC, Philadelphia District Office

Eric W. Orts | The Wharton School

Moderator: Katie Eyer | Rutgers Law School

10:30–10:45   Break


10:45–12:00   Use of Data Analytics to Improve the Compliance Function                  

A recent Harvard Business Review article puts it simply: “One of the main reasons that companies keep investing more and more in compliance is that they do not have the right measures and thus cannot tell what works and doesn’t work … Firms cannot design effective compliance programs without effective measurement tools.” Panelists will consider how the growing use of sophisticated data analytics techniques can improve a company’s compliance efforts. Panelists will tackle difficult questions concerning what goals or outputs a company should be attempting to measure, and what metrics are most useful in making such assessments. Panelists will discuss the growing practice of continuous auditing, which uses cutting edge data science to perform continual, ongoing risk assessment.

Michael Alles | Rutgers Business School

Kelly L. Gibson │ SEC Division of Enforcement

Patrick J. McGowan│United Technologies Corp.

Moderator:  Seth Rosensweig │ PwC

12:00–12:30  Lunch

12:30-1:30      Keynote Speaker: Jesse Eisinger, ProPublica

Pulitzer Prize winning reporter Jesse Eisinger will discuss his new book, The Chickenshit Club: Why the Justice Department Fails to Prosecute Executives.

1:30 – 2:15     Conflicts of Interest and Compliance

This session will provide insights into “behavioral compliance” highlighting how conflicts of interest and disclosure of such conflicts can affect compliance. Compliance efforts should be better informed by the vast and growing literature in behavioral psychology and findings from that field are often counterintuitive and undermine conventional wisdom in ways that can have important implications. These range from how disclosure may change behavior to which strategies can be most effective at overcoming conflicts of interest and encouraging compliance.

Sunita Sah │ Cornell Graduate School of Management

2:15-2:30        Break

2:30 – 3:45     The Intersection of Compliance and Risk Management 

This panel will focus on risk management, designing effective structures for compliance, and whistleblowing. Panelists will consider how the compliance function should integrate with the rest of the organization, and what can be done to encourage other parts of an organization to consider compliance as part of everyone’s role. Current structures frequently assign the evaluation of different risks to different divisions—cybersecurity to IT, government issues to a regulatory department, legal risks to the general counsel—but is this fragmentation effective? Moreover, compliance is often seen as at best a cost center, or at worst an impediment to business practice. Panelists will consider whether the design of a firm’s compliance structure can help it function as a partner in business decision-making, help it identify the variety of risks it faces, and help it identify how to manage and mitigate those risks. The panel will also consider the role of whistleblowers, how to measure the effectiveness of a firm’s whistleblowing hotline, and the incentive effects of a whistleblowing program on behavior and culture.

Lee J. Dobkin | University of Pennsylvania and Penn Medicine

Patrick W. Kelley | Formerly Office of Integrity and Compliance │FBI

Jennifer M. Pacella | City University of New York | Baruch College Zicklin School of Business

George A. Stamboulidis │BakerHostetler

Moderator: Nicholas Harbist | Blank Rome

3:45-4:45        Reception on the Clark Commons