LOOK INSIDE FOR Educational opportunities Books and other resources Solution providers Web-based networking SCCE membership application 2014 SCALENDAR Our wall calendar includes dates from major corporate scandals use it to remind people about the importance of compliant, ethical behavior 2014 COMPLIANCE & ETHICS RESOURCE GUIDE SCCE exists to champion ethical practice and compliance standards in all organizations and to provide the necessary resources for compliance professionals and others who share these principles www.corporatecompliance.org
Contents Membership Application...5 Events Calendar...6 Products...13 Solution Providers...23 Scalendar...33
It is my pleasure to share with you SCCE s 2014 Compliance & Ethics Resource Guide. As we all seek to maximize the effectiveness of compliance and ethics programs in a time of constrained resources, this guide is designed to provide you with a convenient tool for finding the products, solutions and educational opportunities you need to keep your career and compliance and ethics program moving forward. Inside the Guide you ll find: Solution provider listings. Use them to find the right solutions for your organization. Online resource guide. From Twitter to LinkedIn, we have you covered, and inside you ll learn how to take advantage of all of these opportunities. Educational opportunities. We ve mapped out for you our educational opportunities where they ll take place and when so you can determine which one has the most information for your unique needs. Books and other program resources. The SCCE has developed a wide range of books and other tools for helping you to efficiently and effectively improve your program. A corporate Scalendar. Want to know when Bernie Madoff was arrested? Martha Stewart sold her stock? Our wall calendar provides humor and the groundwork for a year s worth of reminders to your workforce about the consequences of unethical, non-compliant behavior. We hope you find the 2014 Compliance & Ethics Resource Guide to be a valuable resource to your career and program, and we look forward to serving you in 2014 and beyond. Sincerely, Roy Snell Chief Executive Officer Society of Corporate Compliance and Ethics
Why join SCCE? Join today and you ll enjoy the support of thousands of compliance and ethics professionals worldwide. The Society of Corporate Compliance and Ethics provides compliance and ethics professionals with a host of benefits all year round, and all around the world. Our magazine and electronic newsletter will keep you informed of the latest issues, and give you insight into how to effectively manage both current and long-term challenges. Our conferences will enable you to build out your network and hear directly from other professionals, at a discounted, members-only rate. In sum, SCCE can help you tap into a vast network of information and resources to help move your ethics and compliance program forward. To learn more about SCCE and how we can help, visit us online at www.corporatecompliance.org, and join the thousands of other professionals who already call themselves members of the Society of Corporate Compliance and Ethics. Our online social network provides interaction with thousands of compliance and ethics professionals globally. Or try a web conference, and enjoy a live presentation direct to your desktop.
Fax your application to +1 952 988 0146 today, and SCCE will invoice you later SCCE Membership Application Contact Information (PLEASE TYPE OR PRINT) Mr Mrs Ms Dr First name MI Last name Credential(s) Job title(s) Name of employer Street address City State/Province Zip/Postal code Country Telephone Fax Email Membership Options Individual Membership...$295 Group Employee Membership...$250 Four or more from the same company: please fill out one form for each applicant and submit together Corporate Membership... $2,500 Includes four individual memberships plus corporate publicity benefits Student Membership...$150 Full- or part-time students enrolled in a program related to compliance that leads to a baccalaureate degree, or a graduate student who is not employed in a full-time compliance position TOTAL ENCLOSED $ Payment Options Check enclosed (payable to SCCE) Invoice me I authorize SCCE to charge my credit card (choose card below) Due to PCI Compliance, please do not provide any credit card information via email. You may email this form (without credit card information) and call SCCE at +1 952 933 4977 or 888 277 4977 with your credit card information. credit card: American Express MasterCard Visa Credit card number Credit card expiration date Cardholder s name Cardholder s signature Apply online at: www.corporatecompliance.org/join Mail application to: Society of Corporate Compliance and Ethics 6500 Barrie Road, Suite 250 Minneapolis, MN 55435, United States RG2014 www.corporatecompliance.org 5
Start planning now for SCCE s 2014 Events The Society of Corporate Compliance and Ethics is a premier provider of compliance and ethics education. Faculty includes industry experts from around the world and professionals from the corporate environment, academia, government, and the law. Attracting over 2,000 compliance and ethics professionals a year, SCCE s events provide unparalleled networking opportunities, all with special discounts for members. Programs are offered in a variety of formats to meet the diverse needs of this evolving profession. Utilities & Energy Compliance & Ethics Conference February 23 26 Houston, TX European Compliance & Ethics Institute May 18 21 London, UK Higher Education Compliance Conference June 1 4 Austin, TX Compliance & Ethics Institute September 14 17 Chicago, IL Regional Conferences February 14 Desert Southwest Phoenix, AZ March 14 South Atlantic Miami, FL April 25 Midwest Chicago, IL May 9 East Coast Washington DC May 16 Upper Northeast New York, NY June 13 Upper West Coast San Francisco, CA June 26 27 Alaska Anchorage, AK October 24 Upper Midwest Minneapolis, MN November 7 Southeast Atlanta, GA November 14 New England Boston, MA December 5 Southwest Dallas, TX Basic Compliance & Ethics Academies February 17 20 San Francisco, CA March 17 20 New Orleans, LA April 14 17 Boston, MA June 9 12 Scottsdale, AZ August 4 7 New York, NY September 29 October 2 Nashville, TN October 20 23 Las Vegas, NV October 27 30 Chicago, IL November 17 20 Lake Buena Vista, FL December 1 4 San Diego, CA International Basic Compliance & Ethics Academies May 12 15 Brussels, Belgium July 7 10 Shanghai, China July 21 24 Vancouver, BC August 25 28 São Paulo, Brazil December 14 17 Dubai, UAE Web Conferences Explore hot topics for compliance professionals with instant and up-to-date education from the convenience of your own office. SCCE announces new conferences regularly, and prior sessions are available for purchase on CD-ROM. Visit www.corporatecompliance.org for the latest updates. Learn more about SCCE events at www.corporatecompliance.org 6 Dates and locations are subject to change.
Register now. Seats fill up fast. More than 6,500 compliance professionals hold a Compliance Certification Board (CCB) credential In the US San Francisco, CA February 17 20, 2014 New Orleans, LA March 17 20, 2014 Boston, MA April 14 17, 2014 Scottsdale, AZ June 9 12, 2014 New York, NY August 4 7, 2014 2014 Basic Compliance & Ethics Academies Take the Certified Compliance & Ethics Professional (CCEP) exam after you complete this intensive training session Nashville, TN Sept 29 Oct 2, 2014 Las Vegas, NV October 20 23, 2014 Chicago, IL October 27 30, 2014 Lake Buena Vista, FL November 17 20, 2014 San Diego, CA December 1 4, 2014 International Brussels, Belgium May 12 15, 2014 Shanghai, China July 7 10, 2014 Vancouver, BC July 21 24, 2014 São Paulo, Brazil August 25 28, 2014 Dubai, UAE December 14 17, 2014 7
CURRICULUM SCCE s Basic Compliance & Ethics Academies MONDAY 8:00 8:30 AM Registration and Continental Breakfast (provided) 3:15 5:00 PM Creating & Reviewing Compliance Policies and Procedures Marjorie W. Doyle, JD, CCEP-F, CCEP-I, Marjorie Doyle & Associates, LLC 12:45 2:00 PM Discipline & Program Improvement Marjorie W. Doyle, JD, CCEP-F, CCEP-I, Marjorie Doyle & Associates, LLC 8:30 8:45 AM Welcome and Introduction 8:45 10:30 AM Organizational Ethics Marjorie W. Doyle, JD, CCEP-F, CCEP-I, Marjorie Doyle & Associates, LLC This is a focus on what an ethical culture is and its importance as the underlying basis for a strong culture of compliance and ethics. It focuses on the legal requirement of an ethical culture and the business value of one. The course also covers the current ethical landscape and the practical steps to creating and maintaining a strong ethical corporate culture. 10:45 AM 12:15 PM Introduction to Compliance Practice: Abbreviated Compliance 101 Sheryl Vacca, CCEP-F, CCEP-I, CHC-F, CHRC, CHPC, Senior Vice President/ Chief Compliance & Audit Officer, University of California This course provides a basic introduction to compliance and compliance programs. It covers the seven essential elements of a compliance program and reviews the organizational steps necessary to implement a successful compliance program. The laws, rules and regulations pertinent to compliance programs are introduced. Challenges confronting compliance offi cers are discussed. 12:15 1:15 PM Lunch (provided) 1:15 3:00 PM Compliance Infrastructure Debbie Troklus, CCEP-F, CCEP-I, CHC-F, CHRC, CHPC, Managing Director, Aegis Compliance and Ethics Center This course is designed to help compliance professionals understand the components of an effective compliance infrastructure. Implementation of a compliance program, selection of qualifi ed staff, budgeting for compliance and the overall structure of the offi ce are discussed. Time is spent discussing the various positions needed and the qualifi cations for each. The auditing position along with qualifi cations (coding credentials) is discussed. A compliance professional should be able to use what is taught in this course to design an adequate structure to facilitate an effective compliance program. This course focuses on the importance of policies and procedures as the foundation for any strong ethics and compliance program. It covers the legal, cultural, and effi ciency reasons for having policies and procedures. The main purpose of the course is to clearly defi ne what policies, procedures and guidelines are, what their specifi c elements are, and how to create effective policies and procedures. It covers an updated view of best practices on codes of conduct. Finally, it covers the ways to review and update policies and procedures. TUESDAY 7:30 8:00 AM Continental Breakfast (provided) 8:00 9:45 AM Enterprise-Wide Risk Assessment Sheryl Vacca, CCEP-F, CCEP-I, CHC-F, CHRC, CHPC, Senior Vice President/ Chief Compliance & Audit Officer, University of California If there were an eighth key element of compliance program guidance, risk assessment would be it. In this session, participants will learn what risk is and how it can be assessed, who should be involved in risk assessments, ways to identify risk areas, and what to do with the results of a risk assessment. 10:00 10:15 AM CCEP Exam Discussion 10:15 11:45 AM Privacy David J. Heller, CCEP, VP and Chief Ethics and Compliance Officer, Edison International This session is an overview of key privacy laws and regulations that could impact a US or global company. The Privacy session provides a basic high level introduction to law and regulations in all segments of industry. It covers laws and regulations from both the private and governmental industry segments. Laws and regulations for activities in the US, Europe, Asia and other areas of the world are touched on in this session. 11:45 AM 12:45 PM Lunch (provided) This session focuses on two of the most important elements of a program. When a failure is detected, discipline shows the culture that enforcement of the standards of the organization is serious. Discipline not only affects the individuals involved but is a message to the culture. Program improvement is an analysis after every failure to see what can be done to which elements of the program to prevent the same failure in the future. The program is always a work in progress 2:00 3:00 PM Legal Issues, Risk Factors, and Disclosure Issues Art Weiss, JD, CCEP-F, CCEP-I, Chief Compliance & Ethics Officer, TAMKO Building Products This session will cover the need to identify legal risks, the need to investigate those risks, disclosure of wrongdoing, and the prevention of damage arising from both risks and non-disclosure. 3:15 5:00 PM Ethics & Compliance Programs: Best Practices and Perspectives Greg Triguba, JD, CCEP, CCEP-I Senior Practice Leader, Ethics, Compliance and Risk, Affiliated Monitors, Inc. This interactive session provides a comprehensive overview of ethics, compliance, and risk management best practices, including strategies and insights for taking your program to the next level. Highlights of this session include considerations and fi rst steps to best practices programs; highlights and metrics on industry trends and perspectives; exploration of program successes, challenges, and opportunities; resources available for developing and enhancing your programs; and an interactive networking and information sharing opportunity. 6:00 PM Networking Dinner WEDNESDAY 8:00 8:30 AM Continental Breakfast (provided) 8:30 10:15 AM Education and Training Art Weiss, JD, CCEP-F, CCEP-I, Chief Compliance & Ethics Officer, TAMKO Building Products This session will cover the need for compliance and ethics training, the different types of training, targeted training, the dangers of ineffective training, and the use of data to help prove effectiveness. 48 www.corporatecompliance.org www.corporatecompliance.org
CURRICULUM SCCE s Basic Compliance & Ethics Academies 10:30 AM 12:15 PM Auditing & Monitoring Urton Anderson, CCEP, Director, Von Allmen School of Accountancy, Gatton College of Business and Economics, University of Kentucky The goal for this session is to provide compliance professionals with a solid understanding of the role of auditing and monitoring in the compliance system. It begins with determining the role of auditing and monitoring in the organizational governance process specifi cally what assurances the board and management need to meet their responsibilities. Next the session explores the relationship between monitoring activities and internal control. A practical process for developing effective monitoring plans and strategies is then presented along with attributes needed for these plans to provide assurance on the effectiveness of the compliance program. Finally, the session ends with a discussion of internal reporting systems as a key part of an organization s monitoring activities. 12:15 1:15 PM Lunch (provided) 1:15 3:00 PM Investigations Meric Bloch, CCEP-F, JD, CFE, PCI, Senior Director, Global Compliance, Jabil Circuit, Inc This session is focused on the aspects of a compliance investigation. The session overviews the considerations for who should conduct such investigations based on the nature of the investigation as well as considerations for determining if the investigation should be conducted under attorney client privilege. The session also addresses considerations for what information to provide to the workforce during an investigation and how to report the investigation fi ndings. The duties and obligations of the board of directors and key leaders in the organization are also addressed in this session. 3:15 5:00 PM E&C Programs: Evaluation and Effectiveness Greg Triguba, JD, CCEP, CCEP-I Senior Practice Leader, Ethics, Compliance and Risk, Affiliated Monitors, Inc. This session looks at the evaluation of compliance program effectiveness. What are the things that can be measured, what are the tools for doing this measurement, and what else do you need to know to avoid pitfalls and get valid results? We consider why it is not enough simply to do surveys, and how different tools work best for measuring effectiveness in addressing different compliance risks. We also consider who should do the evaluations and who should get the results. THURSDAY 7:30 8:00 AM Continental Breakfast (provided) 8:00 9:45 AM Conflicts of Interest Martin T. Biegelman, CFE, CCEP-F Executive Vice President, IPSA International Confl icts of interest are some of the most common and challenging issues for compliance and ethics programs. Employees are expected to act in the best interests of their organizations and exercise sound judgment unclouded by personal interest or divided loyalties, but that does not always occur. This session is designed to assist compliance professionals in understanding ethical and organizational risks that result from confl icts of interest. It will review the many kinds of confl icts of interest and how they occur; gifts, gratuities, and kickbacks; policy development; disclosure programs; detection and auditing for compliance; training; case studies; and best practices. 10:00 AM 11:45 AM FCPA Anti-Corruption & Bribery Odell Guyton, CCEP, CCEP-I, SCCE Co-Chair; Vice President, Global Compliance, Jabil Circuit, Inc This course explores the domestic and global administrative and law enforcement efforts surrounding anti-corruption enforcement principles, and provides a practical (hands-on) approach for dealing with these and other organizational compliance and ethics risk. 11:45 AM Boxed Lunch (provided) 2:15 3:00 PM CCEP Exam Check-In 3:00 5:00 PM CCEP Exam The exam is optional. You must pre-register for the CCEP exam separately from the Academy. To register for the exam, download the PDF application for your Academy from www.corporatecompliance.org/academies Academy and certification exam are offered only in English at this time. AGENDA IS SUBJECT TO CHANGE Europe. Asia. Canada. South America. UAE. Now you and your international colleagues around the world can benefi t from the invaluable, intensive training only the SCCE provides. Our international Academies cover critical content in-depth and are a great preparation course for the Certifi ed Compliance & Ethics Professional International exam. Topics addressed include: - Standards, policies and procedures - Compliance and ethics program administration - Communications, education and training - Monitoring, auditing and internal reporting systems - Response and investigation, discipline and incentives - Anti-corruption and bribery - Risk assessment So let your colleagues around the world know about SCCE s Academies in Europe, Asia, Canada, South America and the UAE and get your entire compliance team on the same page. Brussels, Belgium 12-15 May 2014 Vancouver, Canada 21-24 July 2014 Dubai, UAE 14-17 December 2014 Shanghai, China 7-10 July 2014 Sao Paulo, Brazil 25-28 August 2014 Learn more & register at corporatecompliance.org/academies www.corporatecompliance.org www.corporatecompliance.org 95
Come to the 2014 European Compliance & Ethics Institute MAY 18 21 / LONDON, UK 2013 was a hit. 2014 will be bigger adding a second track of sessions. Watch your email for the agenda and speakers. Here s what people had to say about the 2013 program Just as in business compliance itself, the bar for meetings of compliance practitioners continues to be raised everywhere. The choice of topics, quality and preparation by the speakers, venue + opportunities for connecting with others resulted in this SCCE meeting sailing over the bar with flying colors! Alan Greenwood, Chief Ethics & Compliance Officer, Dow Corning Corporation A great venue to network and exchange experiences with compliance professionals from leading European companies! Carsten Tams, Senior Vice President, Bertelsmann Ethics & Compliance Executive I was very impressed with the level of professionalism that we found at the Compliance Conference in London. Not only were the topics relevant to all industries and very informative, the ensuing discussions brought insight on how to overcome the various, yet similar, challenges we all face. Without a doubt, I really saw value in the candidness of the participants. A win/win situation for me. I very much enjoyed the Conference and will most likely be attending in the future! Andrea Amann, Senior Finance Manager, Controls & Compliance Manager, CPA, Microsoft Deuschland GmbH The program was both practical (covering the how-to aspect of compliance) and big think in delving into global issues in a thought-provoking way. The speakers were real experts in their fields and the quality of the delegates made every networking break a real pleasure. Lisa Kate Osofsky, Regulatory Advisor, Control Risks As a speaker at the European CEI, I enjoyed the opportunity to present compliance expertise to an attentive and engaging audience. Robert Bond, BA, CCEP, Solicitor & Notary Public, Speechly Bircham LLP Being a US-based corporation and myself being based out of the US I seldom get a chance to interact with international colleagues. This event provided a tremendous opportunity to do just that and allowed me to learn more about the cultural challenges faced in multi-jurisdictional compliance programs. Jacki Cheslow, CRM, CCEP, CCEP-I, CHRRM, Corporate Compliance & Corporate Records, Avis Budget Group Register now at www.corporatecompliance.org
Network locally and get the latest on key challenges facing your compliance community SCCE 2014 Regional Conferences February 14 Desert Southwest Phoenix, AZ March 14 South Atlantic Miami, FL April 25 Midwest Chicago, IL May 9 East Coast Washington DC May 16 Upper Northeast New York, NY June 13 Upper West Coast San Francisco, CA June 26 27 Alaska Anchorage, AK October 24 Upper Midwest Minneapolis, MN November 7 Southeast Atlanta, GA November 14 New England Boston, MA December 5 Southwest Dallas, TX www.corporatecompliance.org 11
Take Your Career to the Highest Level CCEP-FELLOW CERTIFICATION Advanced Certification for Compliance and Ethics Professionals The importance of compliance and ethics keeps increasing, and with it the importance of having compliance leaders who know how to solve the most complex compliance and ethics challenges. The CCEP-Fellow certifi cation demonstrates that you have the experience, wisdom, and investment in compliance and ethics to lead the profession. To learn more about the program and how you can set yourself apart, visit us online at www.compliancecertification.org. It s a simple step to meeting the challenge of complex times. Build upon your CCEP certification Demonstrate your advanced knowledge Distinguish yourself from your peers Expand the profession s knowledge base Learn from a personal mentor Certified Compliance & Ethics Professional
SCCE Products www.corporatecompliance.org 13
The Complete Compliance and Ethics Manual (2014) Written by experienced compliance and ethics professionals, this updated resource offers assistance for every area of the compliance and ethics world. What s new in this edition? Members $375 Non-members $419 y New material offers more guidance on implementation of the seven elements of an effective compliance & ethics program y Updates will now come in an annual reissuing of the publication y More reference documents (now included on data CD only) Updated Expanded Softcover Bound y Softcover binding is more durable, more portable than three-ring binder International Compliance 101 While laws and regulatory authorities may vary nation to nation, the basic job of compliance and ethics professionals remains the same-to prevent, detect and respond to misconduct. What s more, no matter where your organization is based, the steps required to build and maintain an effective program are essentially the same. International Compliance 101 provides the basic information you need to build and maintain an effective compliance and ethics program. This book is ideal for compliance professionals new to the field, compliance liaisons, board members and others with compliance duties. Its coverage includes: Members $50 Non-members $60 y The Importance of Compliance and Ethics y The Seven Essential Elements of a Compliance Program y Steps for Putting an Effective Program in Operation y Tips for Tailoring a Program to Your Organization y Sample Compliance Materials y Glossary of Compliance Terms New 14 To order, complete and fax the included form, call +1 952 933 4977 or 888 277 4977, or visit www.corporatecompliance.org
Compliance 101: How to Build and Maintain an Effective Compliance and Ethics Program Compliance 101 provides the basic information you need to develop an effective compliance and ethics program in any organization. Whether you re building a program from scratch or seeking to revitalize an existing program, this manual will get you on track. Its coverage includes: Members $50 Non-members $60 y The Importance of Compliance and Ethics y The Seven Essential Elements of a Compliance Program y Organizational Steps for an Effective Program y Tips for Tailoring Your Compliance Plan y Sample Compliance Materials This book is ideal for compliance professionals new to the field, compliance committee members, compliance liaisons, board members, and others tasked with compliance and ethics duties. Members & Non-members Softcover $29.95 Hardcover $34.95 Building a Career in Compliance and Ethics: Find your place in the business world s hottest new field Authors Joseph E. Murphy and Joshua H. Leet have condensed their original book, Working for Integrity, to offer step-by-step instructions on how to establish a career in compliance and ethics. You ll discover: y the wide range of compliance and ethics jobs y the skills and temperament needed for this field y practical ways to prepare for and get ahead in your career y steps for conducting an effective job search y advice from seasoned compliance and ethics professionals y tips for selling your compliance and ethics program to upper management This book is an immensely valuable contribution to the field. It will not only help guide a new generation of compliance and ethics officers through the many professional challenges that await them, but will also provide considerable useful insight and know-how to their experienced counterparts. Jeffrey M. Kaplan, Partner, Kaplan & Walker LLP, a compliance law firm; former Program Director of the Conference Board s Business Ethics Conference To order, complete and fax the included form, call +1 952 933 4977 or 888 277 4977, or visit www.corporatecompliance.org 15
Audit Committees: A Guide for Directors, Management, and Consultants, 6th Ed. Published by CCH, a Wolters Kluwer business This manual presents an overview of the responsibilities and operation of audit committees. It offers guidance based on real-world experiences from serving on audit committees. The book focuses primarily on publicly held companies, but also includes a short chapter on audit committees for not-for-profit and public sector entities. Members $162 Non-members $180 Written in a non-technical, active-voice, easy-to-read format, it is intended for directors serving on audit committees, other members of the board of directors, CEOs, CFOs, legal inhouse counsels, internal and external auditors, outside legal counsels, and other consultants to audit committees. This practical book comes with a companion CD containing work papers, checklists and document templates that can be put to immediate use. The First Information Is Almost Always Wrong: 150 Things to Know About Workplace Investigations Effective workplace investigations are equal parts art and science. Author Meric Bloch has mastered both aspects through years of hard-earned experience. In this book, he details the strategies and tactics he knows work best. His approach is mapped out in three sections: y Protect Your Career How to Think Like a Workplace Investigator y Protect Your Company How to Integrate Your Investigations into Your Company s Operations y Protect Your Case How to Conduct an Effective Workplace Investigation Members $80 Non-members $90 Save money when you buy both of Meric Bloch s books: The First Information: Members $80 / Non-members $90 Workplace Investigations: Members $90 / Non-members $100 BOTH BOOKS AS A SET: Members $150 / Non-members $170 Workplace Investigations: Techniques and Strategies for Investigators and Compliance Officers Author Meric Bloch is back with more expert guidance! His new book offers step-by-step guidance on internal investigations, covering how to: Members $90 Non-members $100 y Structure the process y Select an investigations team y Plan the investigation y Interview reporters and witnesses y Interview implicated employees y Secure relevant documents y Evaluate evidence y Reach conclusions y Write a final report and move forward New 16 To order, complete and fax the included form, call +1 952 933 4977 or 888 277 4977, or visit www.corporatecompliance.org
Compliance Is Just the Beginning Video training produced by QMR The Respectful Workplace Company How do you make better ethical decisions at work? Just because a particular choice is legal does not make it right. This two-program video series introduces a three step process for handling tough ethical decisions. The first program, 3 Steps to Ethical Decisions, introduces the three steps we can take when faced with a tough ethical choice. The second program, Ethical Situations to Consider, presents eight dramatized scenarios to spark discussion about familiar ethical issues. program one: 3 Steps to Ethical Decisions (24 minutes) Members $625 / Non-members $720 FULL ONLINE PREVIEW! Visit SCCE s Web site: www.corporatecompliance.org program two: Ethical Situations to Consider (32 minutes) Members $625 / Non-members $720 two-program package: Compliance Is Just the Beginning Members $1,062 / Non-members $1,224 You Can STOP Harassment Video training produced by QMR The Respectful Workplace Company Harassment goes beyond gender issues. Racial, religious, ethnic, and other forms of workplace harassment are equally dangerous to an organization and its employees. This two-program series (one for all employees, the other for managers) looks at all forms of illegal work-related harassment. Each program is comprised of short dramatizations that explore harassment issues that are common within organizations. Each scenario is then analyzed by a diverse group of legal, human resources, and communications experts. FULL ONLINE PREVIEW! Visit SCCE s Web site: www.corporatecompliance.org program one: Taking Responsibility (26 minutes) Members $625 / Non-members $720 program two: The Responsible Leader (25 minutes) Members $625 / Non-members $720 two-program package: You Can STOP Harassment Members $1,062 / Non-members $1,224 The SCCE and Amazon.com Compliance & Ethics Reference Library SCCE has partnered with Amazon.com to help our members have easy access to a wide range of compliance and ethics reference works. We have scoured the Amazon.com catalog and put together a library of high quality compliance and ethics titles. If you purchase through our Amazon.com store, SCCE receives a small commission so everyone wins! Visit the store at http://astore.amazon.com/sociofcorpcom-20 To order, complete and fax the included form, call +1 952 933 4977 or 888 277 4977, or visit www.corporatecompliance.org 17
PATTERNS Training Series Video training produced by QMR The Respectful Workplace Company Sexual harassment at work is more than a legal issue. It is fundamentally a behavioral problem. PATTERNS takes on the behavioral challenge, arming employees and managers with the information they need to prevent sexual harassment and the tools that will help them to respond when incidents occur. program 1: Preventing Sexual Harassment (26 minutes) Members $625 / Non-members $720 For employees and managers, Program 1 looks at four common patterns of inappropriate behavior. FULL ONLINE PREVIEW! Visit SCCE s Web site: www.corporatecompliance.org program 2: Responding to Sexual Harassment (26 minutes) Members $625 / Non-members $720 For managers, Program 2 examines the legal liability issues and questions of personal responsibility that managers and supervisors must face. program 3: Rights & Responsibilities (10 minutes) Members $395 / Non-members $455 For new employees, Program 3 is a brief introduction to the issue of sexual harassment prevention intended for new employees. three-program package Members $1,285 / Non-members $1,478 The Ethics Series with Dr. Marianne Jennings Produced by DuPont Sustainable Solutions Ethics Is a Competitive Advantage lists five key reasons why ethics matter. This program explores why working in the gray areas is risky and a recipe for non sustainable business. (20 min.) Members $450 per segment or $1,175 for the series Non-members $495 per segment or $1,295 for the series Speaking Up Without Fear discusses work environments where employees keep silent and fear retaliation if ethical concerns are reported. This program explores how organizations can draw out wrongdoing and help create a culture where employees feel empowered. (15 min.) Ethical Leadership: Tone at All Levels explores how employees can handle the tension between increasing an organization s bottom line and protecting its good reputation. This program discusses what every employee can do to help build and sustain an ethical culture. (20 min.) Each segment is available individually, or all together on one DVD. 18 To order, complete and fax the included form, call +1 952 933 4977 or 888 277 4977, or visit www.corporatecompliance.org
501 Ideas for Your Compliance and Ethics Program: Lessons from 30 Years of Practice Members $50 Non-members $60 Author Joe Murphy has spent his career collecting great ideas for building an effective compliance and ethics program. He shares 501 of them here ideas big and small to help others find new ways to improve their programs. All are practical and ready to use. For those who want more background on the ideas, Joe has included print and Web citations right next to each idea. Topics covered in this collection include: y identifying compliance & ethics risks y preparing for investigations y establishing and enforcing a program y evaluating effectiveness y conducting audits y benchmarking against industry practices y and much more! Sample ideas from the book: #12: Online comment period. Put the draft code of conduct online and invite all employees to provide input and comments. #66: Field participation. Invite field managers to participate in compliance committee meetings to bring fresh perspectives, and to spread understanding about the compliance and ethics program. #283: Employee surveys. Use employee surveys to gauge employee awareness of the compliance and ethics program and their views of its effectiveness. #470: Bribery red flag lists. Provide a list of corruption red flags to all those who are at risk for bribery opportunities. This list can include things like agents with no offices, and consultants requiring payment to third parties outside of the country. Members $345 Non-members $395 Corporate Compliance & Ethics: Guidance for Engaging Your Board This video training kit serves as a call to action for board members. In this 12-minute video, your board of directors will learn their responsibilities in identifying compliance risks, engaging in compliance program oversight, ensuring needed resources for program monitoring, and assessing the effectiveness of the whistle-blowing detection system. With this valuable training kit, you receive the DVD as well as such key support materials. The Board s role in corporate compliance is a critical one. This video calls attention to the need for board action in this area. John F. Morrow, CPA, Vice President, American Institute of Certified Public Accountants Working for Integrity: Finding the Perfect Job in the Rapidly Growing Compliance and Ethics Field Members $145 Non-members $195 Joseph Murphy, one of the leading experts in compliance, has collaborated with Joshua Leet to offer an in-depth look at the fast-expanding field of compliance and ethics. This comprehensive guide explores the variety of jobs available, the training needed to enter and advance in the profession, strategies for establishing an effective program, tactics for finding the right employees for your program, and protections for compliance and ethics professionals. Interviews with 20 working professionals offer additional insights into this vital field. You ll value this book if you are seeking a job in compliance, aiming to advance your compliance and ethics career, or hiring compliance professionals. To order, complete and fax the included form, call +1 952 933 4977 or 888 277 4977, or visit www.corporatecompliance.org 19
SCCE Web Conference CDs Learn about timely compliance and ethics topics from the comfort of your computer. Each Web conference offers our expert speakers original multimedia presentation a complete audio recording and corresponding PowerPoint presentation, all on one CD. No special technology is needed just a computer with a CD drive, audio speakers (or headphones) and a standard Web browser. As an added benefit, you can earn 1.2 CEUs for each 90-minute conference. Each part of a multi part conference may be purchased separately or as a cost saving bundle. For information about additional Web conferences on CD, visit www.corporatecompliance.org/pastweb One-part conferences Members $99 / Non-members $119 Two conferences or both parts of a two-part conference (as a bundle) Members $180 / Non-members $220 Three conferences or all three parts of a three-part conference (as a bundle) Members $270 / Non-members $330 Four or more conferences Members $85 per CD / Non-members $105 per CD Ten or more conferences Members $75 per CD / Non-members $99 per CD A SELECTION OF RECENT WEB CONFERENCES... What New Whistleblower Protection Laws Mean for Your Company (ACS041713) y Analysis of recently enacted whistleblower protections y Examination of practices that foster compliance with relevant statutes and encourage internal reporting by employees y Discussion of how employee concerns should be handled, documented, and investigated. Facilitators: Christopher Calsyn, Counsel, Crowell & Moring; Peter J. Eyre, Partner, Crowell & Moring; Rebecca L Springer, Counsel, Crowell & Moring The Proposed EU Data Protection Regulation: How to Prepare for Its Impact (ACS043013) y Overview of the regulation, its key principles and its likely date of enforcement y Analysis of the compliance duties for the controller, processor and producer and the data protection officer y Explanation of the new regimes for data transfers, data subjects rights and the enhanced enforcement powers of the supervisory authorities Facilitators: Robert J Bond, Head of Information Law and CSR, Speechly Birham; James Castro-Edwards, EU Data Protection Specialist, Speechly Bircham; Janine Regan, Solicitor, Speechly Birham Computer Forensics 101: Proactive Compliance (051513) Real life case studies are used to highlight what the computer forensic expert looks for on computers, smart phones and tablets. Identification of Electronically Stored Information (ESI) and how computer forensics is used to identify fraud as well as proactive compliance programs and regulatory inquires. Learn what you can expect to gather from computers and smart phones whose contents become evidence in your cases. Facilitator: Michael McCartney, CFCE, President & CEO, Digits, LLC Driving Better FCPA Compliance Through Information Governance, the Missing Element of Your Compliance Program (ACS061113) y Managing and controlling FCPA-related records and documents y Rolling out and managing your information governance program globally y Creating defensible legal holds on a worldwide basis y Avoiding the significant yet often under-addressed pitfalls that can stymie your FCPA program. Facilitator: Mark Diamond, President & CEO, Contoural, Inc. Best Practices in Detecting and Addressing Human Trafficking and Forced Labor in Global Supply Chains (082813) y The nature, scale, root causes, and red flag indicators of the problem y Risks to global businesses, limitations of existing approaches, and emerging compliance requirements y Case studies on best practices employed by companies effectively detecting and addressing the issues. Facilitator: Declan Croucher, Director, Verite Data Governance and Electronic Discovery: Trends, Case Law, and Leading Practices (052313) y Identify major areas of legal and regulatory risk related to poorly controlled data governance programs y Better understand how data is identified, collected, and used during major litigation and investigations y Contribute to risk management discussions about managing data more effectively and defensibly; and y Articulate ways to improve data governance by leveraging existing organizational efforts related to compliance, data privacy, and information security (and vice versa). Facilitator: Johnny Lee, Managing Director, Forensic, Investigative & Dispute Services, Grant Thornton LLP 20 To order, complete and fax the included form, call +1 952 933 4977 or 888 277 4977, or visit www.corporatecompliance.org
SCCE Product Catalog Order Form Qty Description Members Non-members Total 501 Ideas for Your Compliance & Ethics Program... $50.... $60 Audit Committees: A Guide for Directors, Management, and Consultants... $162....$180 Building a Career in Compliance and Ethics (softcover)...$29.95.... $29.95 Building a Career in Compliance and Ethics (hardcover)...$34.95.... $34.95 Compliance 101.... $50.... $60 International Compliance 101... $50.... $60 The Complete Compliance and Ethics Manual..................................................................................................$375....$419 Corporate Compliance & Ethics: Guidance for Engaging Your Board.... $345....$395 Workplace Investigations...$90....$100 The First Information Is Almost Always Wrong: 150 Things To Know About Workplace Investigations....$80.... $90 Meric Bloch s Investigations Two-Book Set... $150....$170 Working for Integrity...................................................................................................................................... $145....$195 The Ethics Series with Dr. Marianne Jennings segment(s): price: SCCE Web Conferences segment(s): segment(s): price: price: QMR Video Training (please call +1 952 933 4977 or 888 277 4977 to order the streaming video format) Compliance Is Just the Beginning Please check Program 1 or Program 2... $625....$720 Two-program package...$1,062.... $1,224 PATTERNS Training Series Please check Program 1 or Program 2 or Program 3... $625....$720 Three-program package............................................................................................................................... $1,285.... $1,478 You Can STOP Harassment Please check Program 1 or Program 2... $625....$720 Two-program package...$1,062.... $1,224 Join SCCE and pay member prices for your order! Add $200 to join (regular price $295)....$200 Please type or print your mailing information below Mr Mrs Ms Dr Subtotal TOTAL SCCE Member ID First Name Last Name Job Title Name of Employer MI Please make your check payable to SCCE. Questions? Call +1 952 933 4977 / 888 277 4977. Mail check to: SCCE, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435, United States Fax order to: +1 952 988 0146 Check enclosed (payable to SCCE) Invoice me I authorize SCCE to charge my credit card (choose card below) Due to PCI Compliance, please do not provide any credit card information via email. You may email this form (without credit card information) and call SCCE at +1 952 933 4977 or 888 277 4977 with your credit card information. Credit card: American Express MasterCard Visa Street Address (NO PO BOXES) Credit Card Account Number City/Town Credit Card Expiration Date State/Province Zip/Postal Code Cardholder s Name Country Cardholder s Signature Phone Email Prices are subject to change without notice. Shipping is complimentary to addresses within the continental United States via FedEx Ground. Please include your full physical address. Products shipped via FedEx cannot be delivered to a PO box. Addresses outside the continental United States are subject to standard shipping rates: Contact SCCE for pricing. Please note that SCCE will charge your credit card the correct amount should your total be miscalculated. To order, complete and fax the included form, call +1 952 933 4977 or 888 277 4977, or visit www.corporatecompliance.org 21
Your member magazine is expanding in 2014 SCCE members will begin receiving a monthly issue of their member magazine, Compliance & Ethics Professional, beginning in January. The magazine has been published bi-monthly since 2004. A must read Each month you ll enjoy articles written by compliance and ethics professionals, for compliance and ethics professionals. Get the latest insights on national and global compliance issues such as: NN NN NN NN NN NN Anti-trust Anti-bribery FCPA Dodd-Frank Codes of ethics Whistleblowers NN NN NN NN Third-party risks Data protection and privacy Building an effective compliance program And much, much more Compliance & Ethics September/October 2013 Professional A PUBLICATION OF THE SOCIETY OF CORPORATE COMPLIANCE AND ETHICS Lessons from the SEC Whistleblower Program an interview with Stephen Cohen Associate Director, Division of Enforcement U.S. Securities and Exchange Commission See page 14 25 Organizational conflicts of interest Paula Saddler Breaking trust: The heart of corruption an interview with Loretta Lynch U.S. Attorney, Eastern District of New York See page 65 31 Games-based compliance training: Engaging learners with interactive experiences Nic McMahon 39 An ISO Standard for compliance programs? Lillian Wylie www.corporatecompliance.org 45 Are you ready? Preparing for the Executive Order against trafficking Declan Croucher Look for Compliance & Ethics Professional in your mailbox each month starting in January. It s twice the learning and value at the same low price!
Solution Providers www.corporatecompliance.org 23
Aegis Compliance & Ethics Center, LLP Kara A. Murray, Project Coordinator +1 773 697 3894 or 888 739 8194 kmurray@aegis-compliance.com www.aegis-compliance.com Aegis provides expert compliance and ethics consulting services across a broad range of industries including Health Care, Finance, Energy, Manufacturing, Retail, Government, and others. Our professionals hold leadership positions in national compliance organizations and have worked as Chief Ethics and Compliance Officers and government attorneys. We draw on decades of leadership experience to create and implement hands-on solutions tailored to our clients unique needs. The programs we develop have been heralded by both industry experts and government officials as models for the field. We arm our clients with the knowledge and organizational framework to effectively maintain organizational ethics, compliance, manage risk and succeed in today s environment of increasing global regulatory and reputational scrutiny. Association of Certified Fraud Examiners +1 512 478 9000 or 800 245 3321 (US) MemberServices@ACFE.com www.acfe.com The Association of Certified Fraud Examiners is the world s largest anti-fraud organization and premier provider of anti-fraud training and education. Together with more than 65,000 members in over 150 nations, the ACFE is reducing business fraud worldwide and inspiring public confidence in the integrity and objectivity within the profession. For more information about the ACFE, visit ACFE.com. Baker & McKenzie LLP Stephen Martin, Managing Director stephen.martin@bakermckenzie.com www.bakermckenzie.com In today s global market, a multijurisdictional approach to compliance is essential. With offices in key financial centers and emerging markets, our lawyers are already on the ground, ready to tackle investigations. Our approach ensures that your compliance program satisfies the expectations of enforcement authorities around the globe, providing protection where you need it most. BDO Consulting Brian Mich, Managing Director +1 212 885 8007 bmich@bdo.com www.bdoconsulting.com BDO CONSULTING BDO s Anti-Corruption Compliance and Investigations practice helps orga nizations address increasingly stringent and expanding anti-corruption regulations imposed by governmental and quasi-governmental authorities. BDO is able to deploy resources globally, with 1,204 offices in 138 countries throughout the world, providing organizations with insights, advice and best practices to combat corruption and comply with laws, including the U.S. Foreign Corrupt Practices Act and the UK Bribery Act. BDO Consulting provides litigation, investigation, restructuring, risk advisory and valuation services to major corporations, law firms, insurance companies, financial ser vices entities and government organizations. Broad and Cassel Gabriel Imperato, Managing Partner +1 954 764 7060 gimperato@broadandcassel.com www.broadandcassel.com For more than 30 years, Broad and Cassel has successfully handled matters in virtually every area of health law, fraud and abuse, and enforcement and compliance matters with all types and sizes of clients. Our attorneys are uniquely qualified to serve the legal needs of health industry clients because of the seamless integration of our Health Law and White Collar Defense and Compliance Practice Groups. This integrated organization and experience allows us to successfully navigate complex enforcement, compliance and legal issues and avoid litigation and enforcement action wherever possible. Click 4 Compliance, LLC Suleman Siddiqui, Sales Director +1 703 424 7643 info@click4compliance.com www.click4compliance.com Click 4 Compliance is an e-learning company created to meet the needs of today s global market with online compliance training programs that are practical, easy-to-use, internationally relevant and, most importantly, do not contain confusing legalese. 24 www.corporatecompliance.org
Complí Jonica Smith, Director of Marketing 866 294 5545 (US) jonica.smith@compli.com www.compli.com Compliance Week Donna O Neill, Director +1 617 570 8617 donna.oneill@complianceweek.com www.complianceweek.com Combining the power of customized workflow builders with industry specific content and API connector technology, Complí delivers Complí Portfolio, the first comprehensive compliance obligation management system of its kind. Think of Portfolio as your virtual three-ring binder that unites all of your compliance activities, securely, in one place. With Portfolio, you can have the confidence that all of your critical compliance obligations are integrated and under control from anywhere, at any time, on any device. For more information about Complí and our newest product Portfolio, visit: www.compli.com or call 1.866.294.5545. Compliance Concepts, Inc. www.complianceconcepts.com Compliance Week provides an information service on corporate governance, risk and compliance that features a weekly electronic newsletter, a monthly print magazine, proprietary database, industry-leading events, and a variety of interactive features. Receive the latest compliance information and updates available online, in print, and via e-mail. Subscribers can earn free CPE and CLE credits by attending our webcasts or on demand webcast library. Compliance Week publishes information from known, credible, trusted securities and governance experts, including former SEC Deputy Chief Accountant Scott Taub, former SEC Chairman Harvey Pitt, and many others. Join the more than 20,000 financial, legal, risk, audit, and compliance executives that already subscribe. Contoural Silvia Malaccorto, VP of Business Development +1 650 390 0800 smalaccorto@contoural.com www.contoural.com Compliance Concepts, Inc. s primary mission is to assist organizations in designing, developing and implementing effective compliance programs, and, in so doing, create a controlled environment that reinforces the commitment of the organization to compliance, and to address and rectify any instances of non-compliance. We offer Healthcare Consulting, a 24-hour compliance and ethics reporting service (ComplianceLine), and sanction screening services (SanctionCheck) for debarred and excluded individuals. Compliance Wave LLC Joel A. Rogers, CEO +1 732 492 7444 jrogers@compliancewave.com www.compliancewave.com Working with more than 20% of the Fortune 500, and mid-sized and public-sector organizations, Contoural is the largest independent provider of information governance consulting services. Providing strategic consulting services on RIM, litigation readiness, and control of sensitive information, we enable our client to become proactive in controlling, managing, and defensibly deleting their records. Contoural is independent: we do not sell any products, provide reactive discovery services, or document storage. Convercent Theresa Guerra, Specialist +1 303 526 7600 theresa.guerra@convercent.com www.convercent.com Our sole focus is to dramatically increase the effectiveness of your compliance program. We accomplish this by empowering our clients with the strongest mechanism available for delivering, tracking and reporting enterprise-wide, compliance-specific communications and with access to the largest, multi-media library of behavior-changing assets and tools within the compliance and ethics marketplace. Compliance Wave: transforming compliance communications. Through the industry s first intelligent dashboard, Convercent provides multi-dimensional insight into an organization s health. No other solution gives users an integrated suite for managing company policies, tracking employee education and streamlining case management all while aligning with company values. Hundreds of companies rely on Convercent to systematically align corporate values with individual behavior to create thriving, productive and compliant cultures of engaged, high-performing employees. Based in Denver, Convercent funding is led by Azure Capital Partners and Mantucket Capital. www.corporatecompliance.org 25
Datacert Shayne Forsyth, Sr. Manager, Global Marketing +1 832 369 6024 shayne.forsyth@datacert.com www.datacert.com Hiperos Sharon Marcone, Senior Marketing Manager +1 908 981 0090 smarcone@hiperos.com www.hiperos.com Datacert is the premier provider of enterprise legal management software and services for corporate legal, compliance, and risk departments and claims organizations. With Passport GRC, a platform-based framework for managing broad governance, risk, and compliance programs, organizations can eliminate data silos and prove compliance, close the loop between GRC and legal, and gain better insight into policy and control effectiveness. The solution addresses compliance, policy, risk, internal audit, incident and inquiry and third-party risk management. DEVESYS Jim Preysz +1 608 223 1311, ext. 205 info@devesys.com www.devesys.com Hiperos 3PM is the industry s first automated, intelligent, SaaS-based third party management. 3PM helps organizations to fully realize the benefits of using third parties, while mitigating regulatory risk, brand/ reputational risk, and supply chain performance issues. 3PM simultaneously addresses multiple business processes that are critical to the management of third parties: from onboarding, to due diligence and risk assessment, to addressing specific regulatory requirements, to performance management. Hiperos customers include global 500 companies across many industries. Hitec Laboratories Mike Adams, Senior Vice President +1 508 620 5372 mike.adams@hiteclabs.com www.hiteclabs-us.com TrakEnterprise and TrakWeb case management systems are flexible and efficient. Searchable attachments; board-quality reports; data encryption; behind-the-firewall data security; email ticklers; integration with helplines; HR data lookup. Devesys introduced the first commercially available E&C case management software in 1995. Other adopters include HR, Security, Audit, Legal, Investigations, and Privacy. Health Care Compliance Strategies, Inc. David Rosenthal, VP, Marketing & Strategy +1 516 478 4100 dmr@hccs.com www.coismart.com COI-SMART helps organizations electronically manage and track conflict of interest disclosures. COI-SMART brings ALL of the communications and source materials relevant to a COI disclosure into one organized, accessible and searchable online database. COI-SMART provides comprehensive tools for the development of multilevel questionnaires, automated assignment of reviewers, the development of COI management plans, and data mining tools for auditing, tracking and reporting on potential conflicts of interest. The ability to create, track and report a plan for each disclosure facilitates mutual understanding. The result is quicker, clearer and more consistent decision making and conflict management. NEW! Now includes administrative dashboards. Hitec Laboratories offers market leading Compliance services such as its award winning PolicyHub Policy and Procedures Management software. PolicyHub gives companies across all industry sectors control and visibility of the entire life-cycle of key corporate or regulatory policies and operational procedures. PolicyHub lifecycle workflows span from creation, review, collaboration and distribution to automated knowledge assessments, auditing and reporting. It enables organizations to create, communicate and manage enterprise-wide policies and procedures that ensure all staff and stakeholders read and signal their understanding and agreement. Built with user interfaces that are multi-lingual, PolicyHub enables an ease of communicating compliance initiatives in multiple geographics. Hitec Laboratories provides its customers with simple acquisition and implementation methods such as installing PolicyHub on premise in an organization, or utilizing its Hosted SaaS or subscription models to assist in rapid deployment. i-fact@nalysis, Inc. Dennis Moschella, Managing Director +1 949 258 4330 dmoschella@i-factanalysis.com www.i-factanalysis.com i-fact@nalysis is a leading global risk provider of due diligence solutions, investigations and related professional services. i-fact@nalysis offices in Asia, Europe and the Middle East leverage local knowledge, contacts and intelligence with decades of experience. Our managing partners and directors have four decades of experience assisting clients in making high value business decisions in a challenging, competitive and intelligence driven global market. 26 www.corporatecompliance.org
Ingenuiti Megan Riggs, Solutions Architect +1 757 893 7278 megan@ingenuiti.com www.ingenuiti.com Kroll Lonnie Keene, Managing Director +1 212 833 3254 lkeene@kroll.com www.kroll.com For companies requiring turnkey solutions to multilingual training needs, Ingenuiti is the leading provider of global solutions. Ingenuiti is able to leverage a vast network of in-country resources to maximize its clients global reach. Services provided by Ingenuiti include localization of elearning, software, and website content, as well as translation, multilingual desktop publishing, voice-over recording, website development, web-portal creation and global resourcing. i-sight Investigation Platform Joe Gerard, Vice President Marketing and Sales 800 465 6089 (US) jgerard@i-sight.com www.i-sight.com i-sight is a highly configurable case management platform for corporate investigations. Companies such as CVS, Coca-Cola and Allstate have implemented i-sight to ensure a consistent approach to investigations across their entire organizations. With i-sight they re able to restrict access to sensitive data, comply with privacy regulations, identify repeat offenders, improve the consistency of investigations, quickly prepare final reports and enhance management oversight with real time dashboards and analytics. KPMG Fraud Risk Management Timothy Hedley, Partner +1 212 872 3496 thedley@kpmg.com www.kpmg.com Kroll is the leading global provider of risk solutions. Clients partner with Kroll for the highest value intelligence and insight to drive confident decisions about protecting companies, assets and people. Leveraging 40 years of expertise, Kroll s advisory solutions span investigations, due diligence, compliance and cyber security. Kroll s advisory business is headquartered in New York with offices in 29 cities across 17 countries. The business has a multidisciplinary team of 700 employees. Learn more at www.kroll.com. Lexis Nexis www.lexisnexis.com LexisNexis is a leading global provider of content and technology solutions that enable professionals in legal, corporate, tax, government, academic and non-profit organizations to make informed decisions and achieve better business outcomes. As a digital pioneer, the company was the first to bring legal and business information online with its Lexis and Nexis services. Today, LexisNexis Legal & Professional harnesses leading-edge technology and world-class content, to help professionals work in faster, easier and more effective ways. Through close collaboration with its customers, the company ensures organizations can leverage its solutions to reduce risk, improve productivity, increase profitability and grow their business. Part of Reed Elsevier, LexisNexis Legal & Professional serves customers in more than 100 countries. Littler Mendelson, P.C. Katherine Cooper Franklin, Shareholder +1 206 381 4900 kfranklin@littler.com www.littler.com KPMG Forensic is a global network comprised of over 2,500 multidisciplinary professionals from member firms of KPMG International who assist clients in achieving the highest levels of business integrity through the prevention, detection, and investigation of fraud and misconduct, and by avoiding and resolving disputes. Our Fraud Risk Management services are aimed at helping clients prevent, detect, and respond to fraud and misconduct risks. We do this by working with our clients to design, implement, and evaluate ethics and compliance programs and related antifraud programs and controls. Each project we undertake is as distinct as the clients we serve and geared toward balancing risk and control to achieve performance with integrity. We are accustomed to working with clients in a variety of situations, particularly when the level of scrutiny is high and the margin for error is low. With 980+ attorneys and 57 offices, Littler Mendelson is the world s largest law firm exclusively devoted to representing management in employment and labor matters. A centerpiece of Littler s practice is our ability to help employers take preventive measures to avoid costly litigation and administrative penalties, while helping to build a workplace of mutual respect and high ethical standards. We provide effective services designed to address the increasing government pressures to maintain compliance and ethics programs. www.corporatecompliance.org 27
LRN 745 5th Ave, 8th Floor, New York, NY 10151 866 439 3071 (US) www.lrn.com Navigant Shawn DeGroot +1 303 867 4227 shawn.degroot@navigant.com www.navigant.com LRN helps more than 500 companies and 15 million employees across the globe navigate complex regulatory environments, foster resilient, do it right, innovative cultures, and inspire principled performance in their operations. Our combination of education, practical tools, metrics, and strategic advice helps companies translate their values into concrete corporate practices and behaviors that create advantage and economic value. MetricStream Sneha Misra, Associate Marketing +1 650 620 2955 sneha.misra@metricstream.com www.metricstream.com Navigant (NYSE: NCI) is a specialized, global expert services firm dedicated to assisting clients in creating and protecting value in the face of critical business risks and opportunities. Through senior level engagement with clients, Navigant professionals combine technical expertise in Disputes and Investigations, Economics, Financial Advisory and Management Consulting, with business pragmatism in the highly regulated Construction, Energy, Financial Services and Healthcare industries to support clients in addressing their most critical business needs. Navigant Consulting has offices in over 43 cities in North America, Europe and Asia. The Network, Inc. 800 253 0453 (US) info@tnwinc.com www.tnwinc.com MetricStream is a market leader in Enterprise-wide Governance, Risk, Compliance (GRC) and Quality Management Solutions for global corporations and has consistently been rated as best-in-class by independent analysts. The MetricStream GRC suite includes solutions for managing policy and procedures, enterprise risk, regulatory compliance, corporate compliance, incident and case management, regulatory reporting and submissions, ethics, supplier governance and IT GRC. Modevity, LLC (ARALOC Platform) Tom Canova CMO +1 610 251 0700 x 119 tomc@modevity.com corporate.araloc.com Modevity, a leader in SaaS based content distribution and protection solutions was founded in 2004. Our ARALOC system provides clients with a powerful mobile content distribution and protection platform with extensive content rights management security controls and viewer tracking, reporting and analytics. ARALOC Policy Management includes a secure, mobile-centric way to manage, distribute and track acknowledgements for corporate policies and associated training materials. Modevity is headquartered in Malvern, PA. Find out more at corporate. NAVEX Global, Inc. Chris Simone, Vice President info@navexglobal.com www.navexglobal.com The Network is a leading provider of integrated governance, risk and compliance (GRC) solutions that allow organizations to create better workplaces and ethical cultures. The Network s SaaS-based Integrated GRC Suite, the first natively integrated enterprise platform in the industry, leverages the way employees retain and apply ethics and compliance information and helps companies prevent, detect and remediate noncompliance and unethical conduct. Originally established as the first whistleblower hotline provider in 1982, The Network serves thousands of organizations in every industry, including nearly half of the Fortune 500. New England College of Business & Finance Amy Amaru, Director of Corporate Partnerships +1 203 512 8989 Amy.Amaru@necb.edu www.necb.edu For over 100 years New England College of Business and Finance (NECB) has been educating business professionals. NECB offers business related Associate s, Bachelor s and Master s degrees including the nation s first Master of Science in Business Ethics and Compliance. 100% online, allows students to pursue their degree without interrupting their busy schedules. Courses can be taken anytime, anywhere. To learn more about NECB and our Corporate Partnership program, contact Amy Amaru, 203-512-8989 or Amy.Amaru@necb.edu. NAVEX Global is the trusted global ethics and compliance expert for more than 8,000 clients in over 200 countries the largest ethics and compliance community in the world. We provide a comprehensive suite of software and services to manage governance, risk and compliance (GRC), providing critical cross-program insights thorough unmatched expertise and actionable data. More information can be found at www.navexglobal.com. 28 www.corporatecompliance.org
NYSE Governance Services, Corpedia Amy Paul, Events Coordinator +1 602 712 9919 Apaul@corpedia.com www.corpedia.com Second City Communications Ronnie Feldman, Product Director, RealBiz Shorts +1 312 475 3568 rfeldman@secondcity.com www.realbizshorts.com www.secondcitycommunications.com NYSE Governance Services is an integrated suite of resources companies worldwide seeking to create a leadership advantage through corporate governance, risk, ethics and compliance practices. NYSE Governance Services leverages the expertise of Corpedia and Corporate Board Member, both NYSE Euronext companies. NYSE Governance Services offers training programs, advisory services, benchmarking analysis and scorecards, exclusive access to peer-to-peer events and thought leadership on key governance topics for company directors and C-level executives. The Red Flag Group Limited Thomas Pirro, Head of Sales, Americas D: +1 678 566 3564 M: +1 678 951 6346 thomas.pirro@redflaggroup.com www.redflaggroup.com Second City Communications (SCC) is the innovative corporate services division of the world-renowned improvisational comedy institution, The Second City. With a focus on creative approaches to training and communications, SCC created RealBiz Shorts to help improve compliance culture. RealBiz Shorts is the social communication video series of short, engaging ethics and compliance videos designed to get attention, improve retention and change perceptions for how these important subjects are received. After all, you can t bore people into changing behavior. SkillSoft Melynda Hilliard, Manager of Events, Marketing mhillard@skillsoft.com www.skillsoft.com The Red Flag Group is The Compliance Firm that helps companies turn compliance into a competitive advantage. We create customized and integrated compliance programs that help customers add value to their business. SAI Global Scot McLeod, Chief Marketing Officer +1 678 527 2454 scot.mcleod@saiglobal.com www.saiglobal.com/compliance Skillsoft is a pioneer in the field of learning with a long history of innovation, providing cloud-based learning solutions for customers worldwide, including global enterprises, government, education, and small to mid-sized businesses. Skillsoft provides off-the-shelf and custom content to over 5,000 customers and more than 13,000,000 learners around the world. STEELE CIS Tony Charles, Senior Director of Sales & Marketing +1 415 354 3846 tcharles@steelecis.com www.steelecis.com SAI Global Compliance provides a full range of governance, risk and compliance (GRC) software applications, learning and awareness solutions and advisory services. With over twenty-five years experience and offices worldwide, we combine deep expertise with practical technology solutions to help thousands of organizations reduce risk, enhance compliance, streamline governance and make better decisions. For more information about our solutions and services, visit www.saiglobal.com/compliance. STEELE Compliance and Investigation Services (CIS) is a global business advisory and compliance intelligence firm offering comprehensive thirdparty due diligence solutions that help organizations comply with regulatory requirements and align with current best practices. With more than 20 years of experience, STEELE CIS provides Fortune 1000 companies and mid-sized businesses with pragmatic solutions including Regulatory Due Diligence, Third-Party Program Advisory Services, Program Management Services and Compliance Analytics and Benchmarking services. With engagements in over 170 countries, STEELE CIS delivers local and regional expertise with on-the-ground resources. Visit www.steelecis.com to learn more. www.corporatecompliance.org 29
TerraNua Brian Fahey, CEO +1 866 951 2279 info@mycomplianceoffice.com www.mycomplianceoffice.com Widener University School of Law +1 302 477 2704 lawgradprograms@mail.widener.edu http://law.widener.edu/mjdegrees TerraNua s MyComplianceOffice is a Web-based software solution specifically designed for Investment advisers, Hedge Funds, and Broker Dealers. It automates and centralizes a firm s compliance procedures and activities such as certifications, code of ethics, personal trading, policy management, testing, tracking of issues and compliance document management. It implements the firm s customized compliance program in the most costeffective manner possible while simultaneously ensuring long-term stability to the compliance program. Thomson Reuters Accelus James Bruni VP of Sales Americas, Governance, Risk & Compliance +1 404 861 8738 james.bruni@thomsonreuters.com accelus.thomsonreuters.com www.world-check.com Widener University School of Law offers an award-winning online Masters of Jurisprudence program with specializations in either health law or corporate law. Widener Law s CCB-accredited programs offer concentrations in Health Care Regulatory Compliance, Legal Nurse Consulting & Hospital Regulatory Compliance, Global Compliance, and Corporate Regulatory Compliance. Widener Law also offers an online LL.M. specializing in corporate law. For more information visit our website at law.widener.edu/mjdegrees, email lawgradprograms@mail.widener.edu, or call 302-477-2704. WorldCompliance Lee Moran, Global Marketing Executive 877 258 1877 (US) lee.moran@worldcompliance.com www.worldcompliance.com Thomson Reuters Accelus brings together market-leading solutions for global regulatory intelligence, financial crime, anti-bribery and corruption, enhanced due diligence, compliance management, internal audit, training and e-learning, risk management, and board of director and SEC disclosure services. Thomson Reuters Accelus approach to addressing screening, anti-money laundering (AML), Know Your Customer (KYC), and anti-fraud requirements is unique and trusted across the industry. Our Screening solutions deliver a total end-to-end connection, bringing together regulatory obligations, policies, Know Your Customer tasks, transaction monitoring, and enhanced due diligence through a unified risk-based approach. Our coverage includes Sanctions and Enforcements, Politically Exposed Persons Research, Enhanced Due Diligence Reporting, Adverse Media Searches, Vessel Data and customized options tailored to meet your specific needs. WeComply Jeffrey Frankel, VP of Marketing +1 201 880 7675 marketing@wecomply.com www.wecomply.com WeComply is a leading provider of ethics and compliance training for employees in all industries. We offer more than 100 courses that are easily customized and available in multiple languages both online and offline. Companies can host our courses in their own LMS or use WeComply s patented system, which provides centralized administration, custom reporting and other advanced features. WeComply is the exclusive ACC Alliance partner for compliance training. WorldCompliance has the most comprehensive database of individuals and organizations, which may pose a risk to the financial system. We offer the most comprehensive screening tools for due diligence by offering in-depth profiles with portrait photographs along with other unique identifying details including dates and place of birth plus multiple address information. WorldCompliance solutions help identify individuals and companies linked to over twenty risk categories. Our services conform to over 100 local antiterrorism and money-laundering legislations including The USA PATRIOT Act, Foreign Corrupt Practices Act (FCPA), Financial Action Task Force (FATF), the 3rd EU Money Laundering Directive and the Bank Secrecy Act (BSA). Call +1 877 258 1877) in the U.S., or visit www.worldcompliance.com for the representative in your region. Xcelus, LLC Kaly Ruck, Director +1 801 224 0071 kaly@xcelus.com www.xcelus.com celus Xcelus, an award-winning training development company, develops innovative and unique online training. Xcelus training development capabilities include video production, e-learning, rapid development and mobile courses for ipad and Android devices. Xcelus online compliance courses are designed to bring awareness to your company s compliance policies in a brief and entertaining way. Each course is tailored specifically to engage employees with your company s unique guidelines. Our staff includes proven leaders in instructional design, script writing, mobile learning, design, animation, and video production. If you re ready for a whole new approach to training, or want to evolve your compliance courses to the next level, we re eager to show you how partnering with Xcelus will enhance your online compliance learning solutions. 30 www.corporatecompliance.org
Download SCCE s new Mobile App A robust App helps you experience all of SCCE in one place From networking to education and training, SCCE s all-in-one App has many features: Login to your online SCCE account through the App to purchase products, register for events, and more. Explore compliance and ethics positions posted on SCCE s Job Board. Easily view SCCE s 2014 events. Network with peers on all your favorite social media sites and view compliance videos on SCCE s YouTube channel. Save and store contacts. Use the Bump feature or QR code to easily share contact information. Going to SCCE s annual Compliance & Ethics Institute? Download this all-in-one App to get conference schedules, room locations, hotel maps, and more. Automatically sync your Compliance & Ethics Institute schedule to your mobile device through an easy login in the App. Sessions and events that you are registered for will automatically be added to your conference calendar. MOBILE Download the Apple or Android version now! Search SCCE Mobile in your App store, or scan the QR codes at right. Those with Windows devices can use the web version at www.corporatecompliance.org/webapp www.corporatecompliance.org 31
Know where you stand Turn to the Code of Professional Ethics for Compliance and Ethics Professionals While most of our work involves helping others to act ethically and in compliance with the law, there are times when we in the compliance and ethics community may find ourselves in an ethical grey area, a place where it s difficult to see which path is the right one. To help provide guidance, six years ago the Society of Corporate Compliance and Ethics created the Code of Professional Ethics for Compliance and Ethics Professionals. The Principles it contains are broad standards that provide a framework, and the Rules of Conduct prescribe the minimum level of professional conduct expected. It ll help you know exactly where you stand. Download a copy today in the language of your choice at www.corporatecompliance.org/code 32 www.corporatecompliance.org
2014 Scalendar Society of Corporate Compliance and Ethics Educational opportunities and corporate scandal dates Society of Corporate Compliance and Ethics, 6500 Barrie Road, Suite 250, Minneapolis, MN 55435-2358, United States +1 952 933 4977 or 888 277 4977 www.corporatecompliance.org helpteam @ corporatecompliance.org
2014 JANUARY 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 FEBRUARY 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 MARCH 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 APRIL 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 26 27 28 29 30 31 23 24 25 26 27 28 30 31 27 28 29 30 MAY 1 2 3 JUNE 1 2 3 4 5 6 7 JULY 1 2 3 4 5 AUGUST 1 2 4 5 6 7 8 9 10 8 9 10 11 12 13 14 6 7 8 9 10 11 12 3 4 5 6 7 8 9 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 SEPTEMBER 1 2 3 4 5 6 OCTOBER 1 2 3 4 NOVEMBER 1 DECEMBER 1 2 3 4 5 6 7 8 9 10 11 12 13 5 6 7 8 9 10 11 2 3 4 5 6 7 8 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 12 13 14 15 16 17 18 19 20 21 22 23 24 25 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 26 27 28 29 30 31 30 28 29 30 31
Start planning now for SCCE s 2014 Events The Society of Corporate Compliance and Ethics is a premier provider of compliance and ethics education. Faculty includes industry experts from around the world and professionals from the corporate environment, academia, government, and the law. Attracting over 2,000 compliance and ethics professionals a year, SCCE s events provide unparalleled networking opportunities, all with special discounts for members. Programs are offered in a variety of formats to meet the diverse needs of this evolving profession. Utilities & Energy Compliance & Ethics Conference February 23 26 Houston, TX European Compliance & Ethics Institute May 18 21 London, UK Higher Education Compliance Conference June 1 4 Austin, TX Compliance & Ethics Institute September 14 17 Chicago, IL Basic Compliance & Ethics Academies February 17 20 San Francisco, CA March 17 20 New Orleans, LA April 14 17 Boston, MA June 9 12 Scottsdale, AZ August 4 7 New York, NY September 29 October 2 Nashville, TN October 20 23 Las Vegas, NV October 27 30 Chicago, IL November 17 20 Lake Buena Vista, FL December 1 4 San Diego, CA International Basic Compliance & Ethics Academies May 12 15 Brussels, Belgium July 7 10 Shanghai, China July 21 24 Vancouver, BC August 25 28 São Paulo, Brazil December 14 17 Dubai, UAE Regional Conferences February 14 Desert Southwest Phoenix, AZ March 14 South Atlantic Miami, FL April 25 Midwest Chicago, IL May 9 East Coast Washington DC May 16 Upper Northeast New York, NY June 13 Upper West Coast San Francisco, CA June 26 27 Alaska Anchorage, AK October 24 Upper Midwest Minneapolis, MN November 7 Southeast Atlanta, GA November 14 New England Boston, MA December 5 Southwest Dallas, TX Web Conferences Explore hot topics for compliance professionals with instant and up to date education from the convenience of your own office. SCCE announces new conferences regularly, and prior sessions are available for purchase on CD ROM. Visit www.corporatecompliance.org for the latest updates. Learn more about SCCE events at www.corporatecompliance.org Dates and locations are subject to change.
Sunday Monday Tuesday Wednesday Thursday Friday Saturday 29 30 31 1 2 3 4 January 2014 DECEMBER 2013 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 1 2 3 4 FEBRUARY 2014 26 27 28 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 1 New Year s Day Last day to register 5 6 7 8 9 10 11 at the early bird rate for SCCE s Utilities & Energy Compliance & Ethics Conference 2009 / Satyam CEO resigns and admits inflated financial results 2013 / Banks agree to $18.9 billion in settlements to resolve federal allegations of mortgage wrongdoing SCCE OFFICE CLOSED 2010 / Former University of Louisville dean pleads guilty to fraud 2013 / Transocean Ltd reaches $1.4 billion DOJ settlement over Gulf oil spill 12 13 14 15 16 17 18 Mawlid an-nabi begins 19 SCCE OFFICE CLOSED 20 21 22 23 24 25 2007 / New York Times reports that Tyco s Kozlowski and Swartz both sold more than $100 million in Tyco stock Martin Luther King Jr Day 2007 / Broadcom announces $2.4 billion restatement of results 26 27 28 29 30 31 1
Sunday Monday Tuesday Wednesday Thursday Friday Saturday 26 27 28 29 30 31 1 Maha Shivaratri February 2014 JANUARY 2014 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 1 MARCH 2014 23 24 25 26 27 28 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 Last day to register 2 3 4 5 6 7 8 at the early bird rate for SCCE s European Compliance & Ethics Institute 2004 / Janet Jackson experiences wardrobe malfunction Groundhog Day 2013 / Royal Bank of Scotland reaches $612 million settlement with UK and US governments for interest rate manipulation 9 10 11 12 13 14 15 2009 / BAE agrees to $450 million settlement in bribery probe 2009 / KBR pleads guilty to bribery charges, agrees to $402 million fine 2004 / Jeff Skilling arrested by FBI Valentine s Day 16 17 18 19 20 21 22 Basic Compliance & Ethics Academy San Francisco, CA CCEP Exam Desert Southwest Regional Conference Phoenix, AZ 2012 / Japanese police arrest seven in Olympus scandal 2011 / Former Indian telecom minister arrested amidst allegations of involvement in 2G spectrum scandal 2012 / Former Fiesta Bowl chief pleads guilty in scheme to funnel Presidents Day political contributions 23 24 25 26 27 28 1 Utilities & Energy Compliance & Ethics Conference Houston, TX CCEP Exam
Sunday Monday Tuesday Wednesday Thursday Friday Saturday 23 24 25 26 27 28 1 2 3 4 5 6 7 8 30 31 1 2 3 4 5 March 2014 FEBRUARY 2014 26 27 28 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 1 APRIL 2014 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 1 2 3 2004 / Former Worldcom CFO Scott Sullivan pleads guilty to several crimes Daylight Saving Time begins Purim 2010 / Former chairman of McKesson sentenced for securities fraud 2004 / Martha Stewart convicted in ImClone scandal Mardi Gras Ash Wednesday 9 10 11 12 13 14 15 16 17 18 19 20 21 22 Basic Compliance & Ethics Academy New Orleans, LA CCEP Exam Holi begins 2013 / Two affiliates of SAC Capital agree to $615 million settlement over St. Patrick s Day insider trading charges First Day of Spring South Atlantic Regional Conference Miami, FL 2005 / Worldcom s Bernard Ebbers found guilty 23 24 25 26 27 28 29
Sunday Monday Tuesday Wednesday Thursday Friday Saturday 30 31 1 2 3 4 5 April 2014 MARCH 2014 23 24 25 26 27 28 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 MAY 2014 27 28 29 30 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 April Fool s Day Last day to register at 6 7 8 9 10 11 12 the early bird rate for SCCE s Higher Education Compliance Conference 2011 / Johnson & Johnson agrees to $77 million global FCPA settlement Ramanavami 13 14 15 16 17 18 19 Basic Compliance & Ethics Academy Boston, MA CCEP Exam Palm Sunday 2013 / Bank of America reaches Passover begins 2008 / WSJ reports that banks may $500 million settlement with Tax Day be low-balling Libor scores investors over Countrywide debt Good Friday 20 21 22 23 24 25 26 Midwest Regional Conference Chicago, IL 2010 / Deepwater Horizon oil rig explodes 2012 / New York Times reports that Walmart allegedly paid bribes in Easter Mexico 2013 / NewsCorp directors agree to $139 million settlement with investors over phone hacking scandal 2012 / DOJ publicly declines to prosecute Morgan Stanley in FCPA case, citing effectiveness of company compliance program 2007 / Siemens confirms SEC investigation 27 28 29 30 1 2 3 2009 / Madoff Investment Securities LLC is auctioned off to the highest bidder
APRIL 2014 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 1 2 3 JUNE 2014 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 1 2 3 4 5 Sunday Monday Tuesday Wednesday Thursday Friday Saturday 27 28 29 30 1 2 3 2013 / Morgan Stanley and Goldman Sachs begin making $247 million in payments in settlement over foreclosure abuse allegations 4 5 6 7 8 9 10 25 26 27 28 29 30 31 May 2014 Corporate Compliance & Ethics Week May 4 10 East Coast Regional Conference Washington DC 2011 / Raj Rajaratnam of Galleon Group found guilty on 14 counts 2006 / UnitedHealth announces it may need to restate as much as $286 million in earnings Cinco de Mayo 11 12 13 14 15 16 17 International Basic Compliance & Ethics Academy Brussels, Belgium CCEP I Exam Upper Northeast Regional Conference New York, NY 2011 / Lindsey Manufacturing becomes first corporation convicted under the FCPA Mother s Day 18 19 20 21 22 23 24 European Compliance & Ethics Institute London, UK CCEP I Exam 2006 / Kenneth Lay and Jeff Skilling found guilty on a combined 25 counts SCCE OFFICE CLOSED Memorial Day 2013 / TOTAL agrees to $398 million settlement over charges of bribery in Iran
June 2014 MAY 2014 27 28 29 30 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 Sunday Monday Tuesday Wednesday Thursday Friday Saturday JULY 2014 29 30 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 1 2 Last day to register at 1 2 3 4 5 6 7 the early bird rate for SCCE s Compliance & Ethics Institute Higher Education Compliance Conference Austin, TX CCEP Exam 2002 / Dennis Kozlowski resigns from Tyco 2003 / Martha Stewart indicted 2002 / Dennis Kozlowski charged with avoiding $1 million in sales taxes 8 9 10 11 12 13 14 Basic Compliance & Ethics Academy Scottsdale, AZ CCEP Exam 2002 / ImClone s Sam Waksal arrested and charged with insider trading Upper West Coast Regional Conference San Francisco, CA 2012 / Allen Stanford sentenced to 110 years in jail in $7 billion fraud case 15 16 17 18 19 20 21 Flag Day 2010 / BP agrees to set up $20 billion 2005 / Dennis Kozlowski and Father s Day oil spill fund Mark Swartz convicted First Day of Summer 22 23 24 25 26 27 28 2002 / Worldcom announces need to restate financial results 2002 / Adelphia files Chapter 11 Alaska Regional Conference Anchorage, AK 2002 / Worldcom shares trade at $.21. Previous high was over $64 2012 / Barclays settle with DOJ for $453 million in Libor scandal 2009 / Technip SA agrees to pay $338 million after allegations of bribery in Nigeria Ramadan begins 29 30 1 2 3 4 5 2009 / Bernard Madoff is sentenced to 150 years in prison, the maximum punishment for his crimes
Sunday Monday Tuesday Wednesday Thursday Friday Saturday 29 30 1 2 3 4 5 July 2014 JUNE 2014 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 1 2 3 4 5 AUGUST 2014 27 28 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 6 7 8 9 10 11 12 2004 / Kenneth Lay indicted 2004 / Adelphia s John Rigas convicted 2012 / Glaxo Smith Kline pleads guilty and pays $3 billion to resolve fraud and safety data allegations 2010 / DOJ extradites Italian to U.S. for alleged involvement in FCPA violation International Basic Compliance & Ethics Academy Shanghai, China CCEP I Exam 2011 / News of the World publishes last issue and closes down in wake of phone hacking scandal SCCE OFFICE CLOSED Independence Day 13 14 15 16 17 18 19 2005 / Worldcom s Bernard Ebbers sentenced to 25 years in prison 20 21 22 23 24 25 26 International Basic Compliance & Ethics Academy Vancouver, BC CCEP I Exam 2002 / Worldcom files for Chapter 11 bankruptcy protection 2009 / Control Components, Inc. pleads guilty to an FCPA violation 27 28 29 30 31 1 2 Eid-al-Fitr (Ramadan ends)
JULY 2014 29 30 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 1 2 SEPTEMBER 2014 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 1 2 3 4 Sunday Monday Tuesday Wednesday Thursday Friday Saturday 27 28 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 31 1 2 3 4 5 6 August 2014 Basic Compliance & Ethics Academy New York, NY CCEP Exam 2001 / Jeff Skilling announces his resignation from Enron 17 18 19 20 21 22 23 Janmashtami 24 25 26 27 28 29 30 International Basic Compliance & Ethics Academy São Paulo, Brazil CCEP I Exam
Sunday Monday Tuesday Wednesday Thursday Friday Saturday 31 1 2 3 4 5 6 September 2014 AUGUST 2014 27 28 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 OCTOBER 2014 28 29 30 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 1 SCCE OFFICE CLOSED 2009 / Pfizer announces settlement; 2006 / HP discloses to SEC terms specify Compliance Officer it reviewed private phone Labor Day should not report to General Counsel records of board members 7 8 9 10 11 12 13 2006 / Broadcom announces $1.5 billion subtraction in earnings due to stock options irregularities 2003 / Enron treasurer pleads guilty 2009 / Two Hollywood executives convicted for FCPA violations 2002 / Tyco s Kozlowski and Swartz charged 14 15 16 17 18 19 20 13 th Annual Compliance & Ethics Institute Chicago, IL CCEP and CCEP I Exams 2005 / Tyco s Kozlowski and Swartz sentenced 21 22 23 24 25 26 27 2002 / Five execs at Adelphia indicted First Day of Autumn 2001 / Ken Lay tells employees Enron shares are an incredible bargain Rosh Hashanah begins Navaratri begins 2002 / Former Worldcom controller pleads guilty 28 29 30 1 2 3 4 Basic Compliance & Ethics Academy Nashville, TN CCEP Exam
SEPTEMBER 2014 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 1 2 3 4 NOVEMBER 2014 26 27 28 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 Sunday Monday Tuesday Wednesday Thursday Friday Saturday 28 29 30 1 2 3 4 Yom Kippur begins Eid al-adha 5 6 7 8 9 10 11 12 13 14 15 16 17 18 October 2014 Basic Compliance & Ethics Academy Nashville, TN CCEP Exam Columbus Day 2009 / Galleon Group Founder Raj Rajaratnam and five others arrested for alleged insider trading 19 20 21 22 23 24 25 Basic Compliance & Ethics Academy Las Vegas, NV CCEP Exam 26 27 28 29 30 31 1 Diwali Upper Midwest Regional Conference Minneapolis, MN Muharram begins 2001 / Andrew Fastow leaves Enron 2011 / Olympus admits to $1.7 billion accounting fraud 2010 / Glaxo Smith Kline pleads guilty and agrees to $750 million settlement Basic Compliance & Ethics Academy Chicago, IL CCEP Exam Halloween
Sunday Monday Tuesday Wednesday Thursday Friday Saturday 26 27 28 29 30 31 1 2 3 4 5 6 7 8 Southeast Regional Conference Atlanta, GA SCCE OFFICE CLOSED November 2014 OCTOBER 2014 28 29 30 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 1 DECEMBER 2014 30 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 1 2 3 Daylight Savings Time ends Election Day 2012 / JPMorgan Chase and Credit Suisse agree to $417 million settlement over subprime loans 9 10 11 12 13 14 15 16 17 18 19 20 21 22 Basic Compliance & Ethics Academy Lake Buena Vista, FL CCEP Exam 2006 / Police raid Siemens headquarters over bribery allegations Veterans Day New England Regional Conference Boston, MA 2012 / Walmart discloses that it has expanded an internal investigation into bribery accusations in Mexico to Brazil, China, and India 2012 / BP agrees to record $4.5 billion in penalties in criminal settlement of Gulf oil spill 23 24 25 26 27 28 29 2012 / UBS AG fined $47.6 million by UK FSA in rogue trading scandal SCCE OFFICE CLOSED Thanksgiving Day 2012 / US government temporarily bans BP from new federal contracts over lack of business integrity 2001 / SEC investigation of Enron begins 30 1 2 3 4 5 6
NOVEMBER 2014 26 27 28 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 JANUARY 2015 28 29 30 31 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 Sunday Monday Tuesday Wednesday Thursday Friday Saturday 30 1 2 3 4 5 6 December 2014 Basic Compliance & Ethics Academy San Diego, CA CCEP Exam Southwest Regional Conference Dallas, TX 2001 / Enron files for bankruptcy 7 8 9 10 11 12 13 Pearl Harbor Remembrance Day 2008 / Bernard Madoff is arrested on counts of securities fraud, but is released on $10 million bail 2012 / HSBC announces $1.92 billion settlement in money laundering case 14 15 16 17 18 19 20 International Basic Compliance & Ethics Academy Dubai, UAE CCEP I Exam Hanukkah begins 2012 / UBS subsidiary pleads guilty of fraud in case with $1.5 billion in fines 2012 / Eli Lilly agrees to pay $29.4 million to resolve allegations of possible corrupt business practices by overseas partners 21 22 23 24 25 26 27 SCCE OFFICE CLOSED SCCE OFFICE CLOSED First Day of Winter Christmas Eve Christmas Day Kwanzaa begins 2001 / Martha Stewart sells 3,928 shares of ImClone stock 28 29 30 31 1 2 3 New Year s Eve
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