Compliance Roundtable 2015

Transcription

1 Learning and sharing successful compliance strategies DISCOVER OUR PROGRAM Feedback from participants to the 2014 season Definitely a fruitful experience, even for companies not coming from the banking sector. Topics are practical and focused, documentation is useful. The Compliance Roundtable creates learning and sharing opportunities for compliance managers and legal counsel in charge of compliance. We focus on how to organize and manage the compliance function, and how to design and implement successful compliance programs. All our workshops are accredited by the Belgian FSMA. An initiative by

2 2015 Workshops Overview HOW TO DESIGN YOUR POLICY ON POLICIES? Many companies are facing policy chaos : too many policies, no coherent structure, lack of consistency, etc. Can a policy on policies solve the problem? Bastion Tower, Brussels - Friday 23 Jan h30-17h HOW TO ENGAGE MANAGERS AND EMPLOYEES IN COMPLIANCE PROGRAMS? Ideas, methods and tools to motivate senior management, managers and employees to take compliance seriously and act accordingly. Bastion Tower, Brussels - Friday 6 Feb h30-17h HOW TO DESIGN AND LEAD A SUCCESSFUL COMPLIANCE TRAINING? If you have to design and lead compliance training or awareness sessions, this workshop is for you. Dolce, La Hulpe - Friday 6 March h -17h HOW TO BETTER COMMUNICATE POLICIES? Many compliance initiatives crash because policies are not properly communicated. What are the drivers of effective policy communication, and how to apply it in practice? Dolce, La Hulpe - Friday 24 April h-17h HOW TO WRITE A CODE OF CONDUCT THAT MAKES SENSE? Do s and don ts to produce meaningful, relevant, impactful and well-written codes of conduct. Bastion Tower, Brussels - Friday 19 June h30-17h HOW TO APPLY RISK MANAGEMENT TO LEGAL AND REGULATORY COMPLIANCE? What is compliance risk management? How can it help you do your work better? How to integrate compliance into your organization s global risk management? Dolce, La Hulpe - Friday 18 Sept h30-17h HOW TO CONDUCT A COMPLIANCE AUDIT? HOW TO CRAFT A STRATEGIC PLAN FOR THE COMPLIANCE FUNCTION? HOW TO DEFINE KPIS FOR THE COMPLIANCE FUNCTION? Launching a compliance program without a solid assessment of the situation is foolish. Learn how to conduct an effective compliance audit. Get your compliance plans ready for 2016! Share key lessons from 2015, refresh your inspiration, and get tools and tips to draw a great business plan for the next year. Everyone has KPIs. Do you have yours? What to measure, and how? Bastion Tower, Brussels - Friday 16 Oct h30-17h Bastion Tower, Brussels - Friday 20 Nov h30-17h Bastion Tower, Brussels - Friday 11 Dec h30-17h

3 Antoine Henry de Frahan Founder and leader of the Compliance Roundtable You can reach Antoine by mail at and by phone at Antoine is a very inspiring speaker who makes each session very interactive. Antoine is a strategy advisor. He is the co-founder of the management consulting firm FrahanBlondé. He works with clients on a broad range of strategic and organizational issues. In the area of compliance, Antoine has helped large and international companies, as well as domestic companies improve their compliance organization and strategies. He has led assignments across Europe, in China and Russia. His recent assignments in relation to compliance include: Advising a company with worldwide operations on designing from scratch a new framework for the compliance function; Advising a major company, the market leader in a regulated sector, to design a new compliance strategy and organization; Advising a leading, industrial group on developing a methodology for compliance risk management in the EMEA region; Advising several companies on designing their code of conduct and policies, and on creating a framework for effective policy management (policy on policies); Designing and leading awareness workshops on the code of conduct for a leading international technology company across Europe; Conducting interviews and surveys for compliance risk assessments; Advising several companies on communication in relation to compliance programs.

4 HOW TO DESIGN YOUR POLICY ON POLICIES? Bastion Tower, Brussels - Friday 23 January h30-17h Many companies are facing policy chaos : too many policies, no coherent structure, lack of consistency, etc. A meta-policy is necessary to define how the company will manage policies and ensure that policies compose together a coherent, consistent system. That is what the policy on policies is meant to be. In this workshop, we will explore the following questions: Will your policy on policies be a solution or aggravate the problem created by policies? Can a policy cure policy-related diseases? What issues should be covered in your policy on policies? For each issue, what are the possible solutions? How to choose the solution that fits your organization? Drawing lessons from practical examples Based on practical examples, do s and don ts for the drafting of your policy on policies. HOW TO ENGAGE MANAGERS AND EMPLOYEES IN COMPLIANCE PROGRAMS? Bastion Tower, Brussels - Friday 6 February h30-17h You may have a code of conduct and a set of policies, but is that enough to motivate managers and employees to actually comply? Often, they are indifferent or even hostile to policies and compliance programs. How to change that perception? What can you do to win the hearts and minds and to motivate your colleagues to take compliance and policies seriously? We will explore: The Motivation Formula, and how it applies to compliance. Practical consequences. How to know, understand and assess better your target audience? The four compliance management styles: when should you apply which style? A new grid to assess your corporate culture. How does compliance fit in the picture? Tone at the top : why leadership matters, and what you can do about it. A three-step approach to get people on board. Top down vs. bottom up approaches to designing compliance policies. Aren t you too ambitious? How to set realistic compliance goals? How to protect yourself when nobody seems to care about compliance? How to shift from a push to a pull compliance strategy, and when should you do it? Practical examples and case studies.

5 HOW TO DESIGN AND LEAD A SUCCESSFUL COMPLIANCE TRAINING? Dolce, La Hulpe - Friday 6 March h-17h HOW TO BETTER COMMUNICATE POLICIES? Dolce, La Hulpe - Friday 24 April h-17h Compliance professionals have increasingly to create and deliver themselves compliance training and awareness sessions. In this workshop, you will receive and practice a wealth of practical ideas to make your compliance training engaging, effective and successful. (The workshop is about classroom compliance training, not e-learning.) What makes compliance training so challenging? What makes the difference between mediocre, acceptable and great training? How to announce the training and sell it to the participants? How to optimize the structure of your session? What information should you focus on, and how to communicate it? How to involve participants and keep them active and engaged? How to establish and nurture a positive, energizing atmosphere? How to create and use powerful visual aids? Alternatives to a long series of PowerPoint slides (posters, interactive walls, etc.) How to react to incidents during the session such as negative comments or disengagement? How to use the outcome of the training to push your compliance agenda forward. Many compliance initiatives crash because policies are not properly communicated. In this workshop, we will explore the drivers of effective policy communication, and how to apply them to make your policy communication efforts more efficient: Why do most policy communication efforts end up in failure? How to design an effective communication strategic plan for your policy? How to create a smart, engaging environment around your policies? How to write policies that people want to read? Examples and exercises. How to make policies visually powerful? Examples and exercises. How to make the right policy accessible to the right people at the right time? How to combine pull and push strategies to reach your target audience? How to give authority and gravitas to your policies? What is the job description of the policy owner?

6 HOW TO WRITE A CODE OF CONDUCT THAT MAKES SENSE? Bastion Tower, Brussels - Friday 19 June h30-17h If you are involved in the drafting or in the re-drafting of the code of conduct of your company, then this workshop is for you. Even more so if you want to do better than myriads of codes of conduct that look like a collection of uninspiring clichés and that nobody reads anyway. You will get insights on how to write a Code of conduct that is meaningful, relevant and impactful. What s wrong with most codes of conduct? What distinguishes an effective code of conduct from the rest? A short introduction to a systemic approach of codes of conduct Seven questions to think strategically about codes of conduct How to structure and lead or participate in a code of conduct drafting project? As a compliance officer / legal counsel, what should be your role? Tips and tricks for effective structure, design, and writing Good and not-so-good examples of codes of conduct How to make the most of the code of conduct once it has been written? HOW TO APPLY RISK MANAGEMENT TO LEGAL AND REGULATORY COMPLIANCE? Dolce, La Hulpe - Friday 18 September h30-17h Enterprise Risk Management is becoming an important corporate function and is imposing its own tools and terminology (risk analysis, risk matrix, risk appetite, etc.) throughout organizations. Applied to legal issues, it becomes legal risk management. How to get the most of it? How to apply risk management to legal and regulatory compliance? What is risk management? Overview of history, models, strategies, and methodology. Applying risk management to legal and regulatory issues: What is new and innovative? What is your definition of legal risk, and why does it matter more than you think? Sense and non-sense of the risk matrix for legal and regulatory compliance. How to manage legal and regulatory compliance with a risk management mindset? How to become fluent in risk management mumbo jumbo? How to integrate legal and regulatory compliance into enterprise risk management?

7 HOW TO CONDUCT A COMPLIANCE AUDIT? Bastion Tower, Brussels - Friday 16 October h30-17h Nobody likes an audit, but launching compliance programs without a clear view of the situation and where the real issues are (or not) is the best way to waste your time and your credibility. Whether you want to call it audit or assessment, you have to figure out what the issues are before anything else. This workshop will give you plenty of ideas to do it in a effective way. The risks of doing compliance work without an assessment How a compliance audit will save you money, time and credibility Essential project management models and tools for your compliance audit The steps of a compliance audit, and do s and don ts for each step Walking through the minefield. How to react when you discover serious issues? From tick-the-box to confidential interviews: When to use which method? How to report the outcomes of your compliance assessment? HOW TO CRAFT A STRATEGIC PLAN FOR THE COMPLIANCE FUNCTION? Bastion Tower, Brussels - Friday 20 November h30-17h Get your compliance plans ready for 2016! How to draw a realistic yet ambitious compliance calendar? What should you start doing, stop doing, or keep on doing? How can you reenergize your plans? Looking back at 2015: achievements, golden ideas, and lessons to be learned. Models and tools for assessing the compliance function. What are the trends for compliance in 2015? Are you keeping up? What will your compliance priorities be for the next year? How to energize your compliance programs in 2015? How to design your compliance business plan? Models, examples and tools. Are you ready to take the compliance function to the next level? How to report to top management about compliance? Do s and don ts. How to present your plans for the coming year to top management? Do s and don ts.

8 HOW TO DEFINE KEY PERFORMANCE INDICATORS (KPIS) FOR THE COMPLIANCE FUNCTION? Bastion Tower, Brussels - Friday 11 December h30-17h Many organizations expect all their units to have KPIs. The compliance department is no exception. Sometimes, without any organizational pressure, compliance officers want to develop KPIs as a way to communicate proactively to senior management what they do and how they perform. But what should be measured, and how? The critical triangle: you, your organization, and KPIs. What s the dynamic? KPIs: Are you in the proactive vs. reactive mode? Sense and nonsense of KPI culture What do we mean by performance of the compliance function? Internal measures vs. external benchmarks A list of key performances for the compliance function, and how to measure them Communicating KPIs: How? To whom? When? What makes sense in your situation and for your organization?

9 WHAT YOU WILL GET Before the workshop CUSTOMIZATION. We will give you a chance, ahead of each workshop, to influence its content and focus to meet your expectations and address the issues you are facing. For example, you may be invited to share before the training a policy, a code of conduct, training material, etc., and we will discuss them at the workshop so that you can get specific feedback. We are not working on generic, theoretical case studies; we are working on the real stuff: your stuff. Each workshop on a same topic is always different, because we adapt it to the participants situation. At the workshop The price covers the usual: documentation, lunch, refreshments and beverages, and also breakfast for the day-long sessions. In addition, you can expect from the workshop: To-the-point, hands-on, relevant and practical contents Open and dynamic discussions The possibility to expose your own compliance-related challenges, and to receive feedback Effective networking with your peers in other organizations Useful documentation with ready-for-use checklists, forms and templates. Language flexibility: the program is in English, but participants preferring to use French or Dutch are welcome to do so. After the workshop COACHING. The price includes a 2-hour follow up individual session with Antoine Henry de Frahan. It can be planned anytime after the workshop within 12 months. You can discuss and get advice from Antoine on any specific issue or question in relation to the workshop. The 2-hour period can be split into smaller units, at your best convenience. The session is normally done by phone or Skype (or equivalent). A meeting can be arranged if mutually convenient. CONTINUOUS SUPPORT. In addition, as a Compliance Roundtable participant, you are at all times entitled to seek Antoine s advice and counsel on any issue related to the sessions you have followed at any time. As long as your question can be answered by or by a short telephone conversation, it is completely free. PRIORITY INVITATIONS. From time to time, we organize open compliancerelated events with external speakers (e.g. working breakfast). They are free or there may be a limited price. In any event, as a member of the Compliance Roundtable, you will have the priority to register to such events. COMMUNITY. As a member of the Compliance Roundtable, you will become part of a permanent, supportive, and dynamic community. You will have access to the Compliance Roundtable Linkedin group, get networking opportunities, be encouraged to connect and share with the other members, receive newsletters, etc.

10 PRICE GENERAL CONDITIONS The price per session per participant is: for a full-day session for a lunch + afternoon session. VAT must be added Discounted prices are available in case of registration to several sessions and registration of several delegates from the same organization. Please contact us for details.. Attending the Compliance Roundtable was a very nice experience. Contact For information and to register, please send an to events@frahanblonde.com or contact us at Payment To register, please fill in the registration form and send it to us as indicated. You will then receive an invoice with the corresponding amount, and your registration will be final upon receipt of your payment. Payment is due within 30 days as from the date of the invoice. Cancellations You may cancel your participation up to 31 days before the date of the workshop. In such a case, you may either send another delegate from your organization at no additional cost, or obtain a reimbursement of 80% of the price you have paid, or attend freely a catch-up session if we decide to set up one, or attend freely another session with the same topic to be scheduled in the following season. In the case of reimbursement, we will retain an amount corresponding to the discount that you had received upon registration, if as a result of the cancellation, the conditions for the discount are no longer met. If you cancel your participation 31 or less than 31 days before the date of the workshop, you may not obtain any reimbursement, but you may benefit from all the other options described above (sending a colleague, attending a catch-up session if any, attendind the same session the following year). FrahanBlondé may cancel any workshop for lack of participants or force majeure, in which case you will be entitled to a 100% refund for that workshop. FrahanBlondé may also propose another date, but if that date is not convenient to you, you may still get the refund. Change of location Depending on the number of participants, FrahanBlondé may decide to change the location of the workshops. However, the location will be either in Brussels or in the immediate surroundings (La Hulpe). A change of location is not a motive for cancellation and refund.

11 REGISTRATION FORM BILLING DETAILS First Name Name Job Title Workshops How to Design Your Policy on Policies? How to Engage Managers and Employees in Compliance Programs? How to Design and Lead a Successful Compliance Training? How to Better Communicate Policies? How to Write a Code of Conduct that Makes Sense? How to Apply Risk Management to Legal and Regulatory Compliance? How to Conduct a Compliance Audit? How to Craft a Strategic Plan for the Compliance Function? How to Define KPIs for the Compliance Function? You do not have to fill this section if your company has already received an invoice from FrahanBlondé and if your billing details have not changed. Company Address 1 Address 2 City code City VAT The invoice may be send by to The participant Another person Name I have read and agree with the general conditions. To register, please fill in this registration form, save it and send it to events@frahanblonde.com. Or send it by fax to