BREAKOUT SESSIONS C

Track 1: Corporate Culture in Uncertain Times – Influencing Employee Conduct Amid Intensifying Risks and Business Pressures: Concrete Examples of Enhancing Ethical Decision-Making and Compliance Awareness
Track 2: The Big Return of Monitorships: When They Will Be Imposed and How to Satisfy DOJ and Monitor Expectations
Track 3: Easing the Newest Concerns of the Board: What Needs to Be Addressed Moving Forward

November 30, 2022 5:05pm

Track 1:
Stephanie C. Davis

Stephanie Davis
Chief Ethics & Compliance Officer
Volkswagen Group of America

Hui Chen

Hui Chen
Senior Adviser, R&G Insights Lab
Ropes & Gray LLP

David Kass
Chief Compliance Officer
Verizon

Claire Rajan
Partner
Allen & Overy LLP

Marilyn Batonga
Partner
Baker & McKenzie LLP

Track 2:

Robert A. Johnston
Partner
Lowenstein Sandler LLP

Corinne A. Lammers
Partner
Paul Hastings LLP

Anne Murray

Anne Murray
Partner
Orrick Herrington & Sutcliffe LLP

Tim Treanor
Partner
Sidley Austin LLP

Andrew Gentin
Assistant Chief, Fraud Section, Criminal Division
U.S. Department of Justice

Track 3:
John D. Buretta

John D. Buretta
Partner
Cravath, Swaine & Moore LLP

Lynn Haaland

Lynn Haaland
Chief Compliance and Ethics Officer, Chief Privacy Officer
Zoom Video Communications

Stacey Hanna
General Counsel, E&C
Lonza

Dr. Donatus Kaufmann
Strategic Executive GRC Advisor
Kaufmann & Company (Germany)

Jeremy Zucker
Partner
Dechert LLP

Track 1: Corporate Culture in Uncertain Times – Influencing Employee Conduct Amid Intensifying Risks and Business Pressures: Concrete Examples of Enhancing Ethical Decision-Making and Compliance Awareness

With an intensifying enforcement landscape and newfound compliance pressures, there has never been a more crucial time to foster and strengthen an ethical corporate culture.

In this session we will review how to foster and sustain a “see something, say something” culture to ensure that employee concerns and complaints of potential ethical lapses are appropriately handled; by:

  • Ensuring the commitment and accountability of senior management, the C-suite and the Board
  • Training and educating team members to spot and mitigate compliance risks
  • Influencing the behavior of the workforce to develop a strong and ethical culture of compliance through hypotheticals and other alternative methods of training
  • Encouraging a view beyond

Track 2: The Big Return of Monitorships: When They Will Be Imposed and How to Satisfy DOJ and Monitor Expectations

Most compliance professionals anticipate that the DOJ’s new policies relating to corporate criminal enforcement will result in greater scrutiny of compliance programs and the imposition of more monitorships.

The recent policy shift is likely indicative of what is to come, as the DOJ seeks to ensure that companies have strong compliance programs in place. In this session we will discuss key components and challenges for a monitorship’s successes and missteps, such as:

  • Conditions, process, criteria and selection of monitors
  • Steps companies under investigation should take to avoid a monitor
  • Best practices for managing an independent compliance monitorship

Track 3: Easing the Newest Concerns of the Board: What Needs to Be Addressed Moving Forward

With the evolving DOJ enforcement posture, program certification and heightened liability risks, what should the Board consider moving forward? Be sure to join us in the interactive session as our group will look to provide answers to some of the most pertinent questions related to the new requirements and corporate governance challenges, such as:

  • The impact of the CCO Certification Requirement on Board priorities and concerns
  • New types of questions being asked by the Board and how to best address them
  • Evolving liability risks for the Board and Board members and perspectives on how to mitigate them
  • Winning the Board over: Securing buy-in for key initiatives and resources amid competing priorities