2012 Annual Convention. Corporate Compliance and Ethics (CCE) Programs

Transcription

1 2012 Annual Convention Corporate Compliance and Ethics (CCE) Programs Corporate Counsel Section 2.5 General CLE Hours May 2-4, 2012 Cincinnati

2 CONTRIBUTORS Andrew C. Hall Estate Information Services LLC Columbus, Ohio Mr. Hall received his bachelor s degree from Otterbein College and his JD from Capital University Law School. His professional memberships include the Ohio State Bar Association, Columbus Bar Association, National Association of Retail Collection Attorneys, Association of Corporate Counsel, and Society of Corporate Compliance and Ethics. Mr. Hall manages all compliance and legal issues for Estate Information Services LLC. In addition to being a licensed attorney, he holds the Certified Compliance and Ethics Professional certification issued by the Compliance Certification Board. Mr Hall s practice focuses primarily in the areas of business and corporate law, commercial real estate, estate planning, and probate administration. He has made numerous presentations to academic, civic, and professional groups in the areas of estate planning and nonprofit law. For additional information, please visit Steve Worster Modern Medical, Inc. Lewis Center, Ohio Mr. Worster received his bachelor s degree from The Ohio State University and his JD from the Villanova University School of Law. He is the director of compliance at Modern Medical, Inc. Mr. Worster s expertise is in creating broad-based compliance programs that integrate the traditional compliance function with elements of physical security, data security, and privacy. He believes one key to a successful program is to establish a public-private partnership. For additonal information, please visit Karen S. Hockstad Shumaker Loop & Kendrick LLP Columbus, Ohio Ms. Hockstad received her BA from the University of Michigan, her JD from Michigan State University Detroit College of Law, and her LLM from Capital University Law School. Her professional memberships include the Columbus Bar Association, Ohio State Bar Association (Chair, Section Counsel, Corporate Counsel Section; Litigation Section, Section Counsel), State Bar of Michigan, and American Bar Association. Ms. Hockstad is a partner in the corporate practice, tax practice, and litigation practice groups of her firm. Her principal areas of practice are general business and corporate matters, tax controversy and tax planning, commercial litigation (including complex business litigation and employment matters), and intellectual property litigation. Ms. Hockstad has extensive experience in representing a wide range of businesses, including restaurant and entertainment companies, real estate holding companies, Internet and e-tail companies, as well as individual entrepreneurs with all of their business-related needs. She also has significant experience litigating at the state and federal levels on behalf of these clients. For additional information, please visit

3 Chapter 1 Corporate Compliance and Ethics (CCE) Programs Session # 501 Compliance and Ethics Program Andrew C. Hall Compliance and Ethics Programs: An Introduction PowerPoint Presentation Chapter 2 Compliance and Ethics Programs Case Study: IFCO SYSTEMS North America Steve Worster Compliance and Ethics Programs Case Study: IFCO SYSTEMS North America PowerPoint Presentation

4 Compliance and Ethics Programs: An Introduction 1 Andrew C. Hall Estate Information Services LLC Columbus, Ohio

5 Compliance and Ethics Programs 1.1

6 1.2 Corporate Compliance and Ethics (CCE) Programs

7 Compliance and Ethics Programs 1.3

8 1.4 Corporate Compliance and Ethics (CCE) Programs

9 Compliance and Ethics Programs 1.5

10 1.6 Corporate Compliance and Ethics (CCE) Programs

11 Compliance and Ethics Programs 1.7

12 1.8 Corporate Compliance and Ethics (CCE) Programs

13 Compliance and Ethics Programs 1.9

14 1.10 Corporate Compliance and Ethics (CCE) Programs

15 Compliance and Ethics Programs 1.11

16 1.12 Corporate Compliance and Ethics (CCE) Programs

17 Compliance and Ethics Programs Case Study: IFCO SYSTEMS North America 2 Steve Worster Modern Medical Inc. Lewis Center, Ohio

18 Compliance and Ethics Programs 2.1

19 2.2 Corporate Compliance and Ethics (CCE) Programs

20 Compliance and Ethics Programs 2.3

21 2.4 Corporate Compliance and Ethics (CCE) Programs

22 Compliance and Ethics Programs 2.5

23 2.6 Corporate Compliance and Ethics (CCE) Programs

24 Compliance and Ethics Programs 2.7

25 2.8 Corporate Compliance and Ethics (CCE) Programs

26 Compliance and Ethics Programs 2.9

27 2.10 Corporate Compliance and Ethics (CCE) Programs

28 Compliance and Ethics Programs 2.11

29 2.12 Corporate Compliance and Ethics (CCE) Programs

30 Compliance and Ethics Programs 2.13

31 2.14 Corporate Compliance and Ethics (CCE) Programs

32 Compliance and Ethics Programs 2.15

33 2.16 Corporate Compliance and Ethics (CCE) Programs