Think Big in 2020 Attend Our Largest Annual Conference for Compliance and Ethics Professionals Across All Industries

19th Annual

CEICompliance & Ethics Institute September 13–16, 2020 • Grapevine, TX Think Big in 2020 Attend our largest annual conference for compliance and ethics professionals across all industries.

Follow a Learning Track • Risk • General Compliance/ Hot Topics • Ethics • Investigations • Case Studies • Utilities & Energy • Multi-National/International • Professional Skills • Compliance Law • Discussion Groups • Privacy & Data Security 200+ 11 100+ 70+ SPEAKERS LEARNING SESSIONS SOLUTION TRACKS PROVIDERS

Start planning your conference experience corporatecompliance.org/2020CEI About the CEI

The 19th Annual Compliance & Ethics Institute (CEI) will host more than 1,800 compliance and ethics professionals for 4 days of professional development and networking opportunities. CEI speakers are industry experts who cover real-world compliance issues, emerging trends, and practical applications. Join us to gain insights, skills, and tactics to help develop and maintain a more effective compliance and ethics program at your organization. Build your conference experience, connect with more than 70 solution providers in our exhibit hall, get a complimentary headshot, attend networking receptions, participate in the volunteer project, and join our fitness challenge.

NEW in 2020 Knowledge levels Utilities & Energy track Choose from basic, intermediate or advanced Deep dive into topics specific to the highly- for the best educational fit for your needs. regulated utilities and energy industries.

Rooster sessions Investigations track Rise with the sun and shine a spotlight on Improve your interviewing skills and get compliance and ethics issues with our new valuable tools for each stage, from initial Rooster Session slots. Explore a range of topics inquiries to presenting the final report. with your fellow early birds before breakfast on Tuesday and Wednesday mornings.

Do you qualify? Become certified! Certification can enhance your career and give you credibility with your organization and peers. Immediately following the Compliance & Ethics Institute, we offer optional Certified Compliance & Ethics Professional (CCEP)®, and Certified Compliance & Ethics Professional - International (CCEP-I)® exams. A separate application and fee submitted directly to the Compliance Certification Board (CCB)® is required.

Please note: Although the Institute can provide the CEUs you need to qualify for the exam, it is not a preparation course for the exam itself.

2 corporatecompliance.org/2020CEI Program at a Glance

Saturday, September 12 8:30 am – 12:00 pm Volunteer Project 1:00 – 6:30 pm Conference Registration Sunday, September 13 7:00 am – 6:15 pm Conference Registration 7:30 – 8:15 am First Time Attendee Networking Breakfast (By invitation) P1 Effective E&C Risk Management Practice: Program Essentials and Core Practice Considerations – Basic 8:30 – P2 Dangerous Rationalizations: How Personal Values Present Ethical Risks – Intermediate 10:00 am P3 3... 2... 1... Liftoff! Operationalizing Ethics and Compliance – Intermediate Level TBA PRE- P4 Crossing Borders: Globalizing your Compliance Program – CONFERENCE P5 What Compliance Professionals Need to Know about Immigration Law – Basic BREAKOUT P6 Building Best-in-Class Compliance Programs in Small Organizations – Basic SESSIONS P7 Weaving Compliance into the Operations of Your Organization – Intermediate P8 Intro to Investigations, Part I – Basic 10:00 – 10:20 am Break P9 The Use of Big Data to Reduce Risk – Intermediate 10:20 – P10 Developing an Ethical Culture: West Point’s Model – Advanced 11:50 am P11 Choose Your Own Adventure: Leading a Distributed Team of Compliance Managers – Intermediate Level TBA PRE- P12 The Practical Who, What, When, Why and How’s of Third-Party Risk Assessment and Due Diligence – CONFERENCE P13 What Compliance Professionals Need to Know about Employment Law – Intermediate BREAKOUT P14 Avoid a Compliance Hangover: Maintain Momentum in Your Compliance Program After the Regulators Have Left – Advanced SESSIONS P15 Website Accessibility: Practical Steps to Reduce Risk, Promote Compliance, and Understand the Law – Intermediate P16 Intro to Investigations, Part II – Basic 11:50 am – 1:20 pm Lunch (On your own) P17 Third Party Risk Management – Intermediate 1:20 – P18 Ethical Leadership and Trust-Tools all CCOs Need in Their Toolkits to Build a Culture of Integrity – Advanced 2:50 pm P19 Organizational Integrity: The Bedrock of Compliance & Ethics – Intermediate Intermediate PRE- P20 Europe, Balkans and the Americas: Dealing with Compliance in Our New Reality - Why Should You Care? – CONFERENCE P21 What Compliance Professionals Need to Know about Environmental Law – Intermediate BREAKOUT P22 Effective Partnership Strategies with Your Board of Directors – Intermediate SESSIONS P23 Leveraging Little Data to Operationalize Compliance – Intermediate P24 TBA – Level TBA 2:50 – 3:10 pm Break P25 Congratulations, You’ve Been Acquired! Practical Tips and Strategies for How to Integrate Compliance and Ethics Programs After a Merger or Acquisition – Intermediate 3:10 – P26 5 Steps to Ethical Problem Solving – Intermediate 4:40 pm P27 How to Promote and Reinforce Your Company’s Values Through an Ambassador Program – Intermediate PRE- P28 Latin America: How to Survive Doing Business in Our Region – Level TBA CONFERENCE P29 What Compliance Professionals Need to Know about Privacy & Cybersecurity Law – Intermediate BREAKOUT Intermediate SESSIONS P30 Warnings, PIPs, and Terminations: Developing a Consistent Approach to Discipline for Compliance Shortcomings – P31 ISO 37001 Anti-Bribery Management System—Is it Needed? – Advanced P32 TBA – Level TBA 4:40 – 6:15 pm Opening Reception

MULTI-NATIONAL/ COMPLIANCE PRIVACY & DATA GENERAL COMPLIANCE/ UTILITIES & PROFESSIONAL RISK ETHICS CASE STUDIES INTERNATIONAL LAW SECURITY HOT TOPICS INVESTIGATIONS ENERGY SKILLS DISCUSSION GROUPS

Agenda subject to change *Discussion Groups will be filled on a first‑come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

corporatecompliance.org/2020CEI 3 Program at a Glance

Monday, September 14 6:45 am – 6:00 pm Conference Registration 7:00 – 8:20 am Breakfast with Exhibitors 8:20 – 8:30 am Opening Remarks 8:30 – 9:30 am General Session 1 - Lessons learned from the COVID-19 Pandemic 9:30 – 10:00 am Networking Break with Exhibitors 101 The Ups and Downs of Social Media Compliance – Intermediate 102 Ethics and Compliance: Same or Different? – Basic 103 Beyond Awareness: Build A Compliance Program That Will Leave Your Employees Cheering – Intermediate 104 The Compliance Olympics: What were the Gold Medal Performances of the Last 12 Months? – Level TBA 105 Compliance in the Crosshairs: What the Courts Are Saying About Effective Compliance Practices in Compliance Officer 10:00 – Liability Cases – Intermediate 11:00 am 106 Privacy Compliance 101 – Basic BREAKOUT 107 Change Management: Transforming a Long-Established Compliance Program – Advanced SESSIONS 108 The Landscape of Fraud in 2020 – Intermediate 109 60 Minute Compliance Coach: Solutions to your Sleepless Nights – Advanced 110 A Case Study: Agile Ethics & Compliance - Beyond the Normal – Intermediate DG1* Engaging your Board Relevance in 2021 – Advanced DG2* Cultivation of Culture and Compliance Partnerships – Basic 11:00 – 11:30 am Break 201 The Dreaded “F” Word - “Fraud” - What Can You Do About This Risk? - Assessment and Mitigation – Intermediate 202 Calling all Champions! Best Practices for Expanding Your Ethics Programs Footprint by Establishing and Promoting an Ethics Champions Network – Intermediate 203 Boeing’s 737 MAX: A Trifecta of Ethics & Compliance Failures – Basic 204 How to Conduct Independent Investigations on Foreign Operations – Level TBA 11:30 am – 205 Expanding into the Federal Marketplace: Compliance Issues to Consider When Doing Business with the Government – Basic 12:30 pm 206 From Paper to Practice: Best Practices for Compliance Professionals to Collaborate with Tech Teams and Monitor Data Intermediate BREAKOUT Regulatory Compliance – SESSIONS 207 Creating Great Compliance Training in a Digital World – Intermediate 208 Unconscious Bias, Cognitive Errors, and the Compliance Professional – Basic 209 New Tone at the Very Top: CECOs on Boards, Why it Matters, How to Get There – Advanced 210 Cybersecurity and Incident Response in the Energy and Utilities Sector: How Your Peer Companies Are or Should Be Preparing – Intermediate DG3* Doing a Lot with a Little: How to Get the Most Out of a Small Ethics Program – Basic DG4* Public Agency Ethics and Compliance Programs: Challenges and Solutions for Government Professionals – Intermediate 12:30 – 1:15 pm Lunch 1:15 – 1:45 pm Dessert with Exhibitors

MULTI-NATIONAL/ COMPLIANCE PRIVACY & DATA GENERAL COMPLIANCE/ UTILITIES & PROFESSIONAL RISK ETHICS CASE STUDIES INTERNATIONAL LAW SECURITY HOT TOPICS INVESTIGATIONS ENERGY SKILLS DISCUSSION GROUPS

4 corporatecompliance.org/2020CEI Program at a Glance

Monday, September 14 301 Antitrust Compliance 2.0: Tackling the Toughest Parts of the DOJ Compliance Program Guidance – Intermediate 302 How to Reinvigorate a Global Code of Conduct: The Sony Way – Intermediate 303 Building a Culture of Compliance – Intermediate 304 Asia, State of the Union: Compliance Relations in Asia – Level TBA 1:45 – 305 Leverage Legal Developments to Assess and Advance Your Program – Intermediate 2:45 pm 306 Learn More from Your Data While Improving Data Security – Intermediate BREAKOUT 307 Building an Effective Policy Management and Governance Program with Intentionality – Basic SESSIONS 308 Challenges of Implementing a Risk-Based Third-Party Due Diligence Program – Intermediate 309 Keep Calm and Compliance On - 2.0 Edition – Basic 310 Highly Regulated and Limited Resources Doesn’t Have to Mean Boring – Intermediate DG5* TBA – Level TBA DG6* Big Picture E&C Program Challenges: A Day in the Life of the Successful Compliance Officer – Advanced 2:45 – 3:15 pm Networking Break 3:15 – 3:30 pm Awards Presentation and Announcements 3:30 – 4:30 pm General Session 2 - Fraud Is Not a Trade Secret: A Conversation with Tyler Shultz 4:30 – 6:00 pm Networking Reception Tuesday, September 15 6:45 am – 6:00 pm Conference Registration 7:00 – RS1 ROI: Return on Investment or Really Obscure Idea? Demonstrating the Value of Compliance to the Board, Executive 8:00 am Management, Employees and Every Other Stakeholder in Your Organization – Basic ROOSTER Level TBA SESSIONS RS2 TBA – 7:00 – 8:20 am Breakfast with Exhibitors 8:20 – 8:30 am Awards Presentation and Opening Remarks 8:30 – 9:30 am General Session 3 - Why We Act: Turning Bystanders into Moral Rebels 9:30– 10:00 am Break 401 From Data to Insights: Managing Risk using Continuous Monitoring Analytics – Intermediate 402 Lessons in Ethical Leadership from Recent Events – Basic 403 Case Study: Involving Employees to Bring your Ethics & Compliance Communication Campaigns to Life – Intermediate 404 Building an International Speak-up and Compliance Culture – Level TBA 405 The Ethical, Professional and Personal Challenges of Being Both a Company’s Lawyer and its Compliance and Ethics Professional – Intermediate 10:00 – Intermediate 11:00 am 406 Our Brave New World: International Privacy and Data Security Challenges for US Based Organizations – 407 Responsible Use of Emerging Technology – Intermediate BREAKOUT 408 Keep Calm, Eat Chocolate and Never Let Them See You Sweat! Tips from the Trenches on How to Lead Your Organization SESSIONS Through a Crisis – Intermediate 409 Clear, Concise, and Captivating - Tips on How to Communicate with the C-Suite and Board of Directors – Intermediate 410 Investigating and Communicating Compliance in Far-Flung Places: Challenges with a Distributed Workforce – Intermediate DG7* Leadership Roundtable: Navigating Defining Moments in Your Compliance Career – Advanced DG8* “This is Not the Hill I’m Going to Die On” and Other Rationalizations Used by Even the Very Best Compliance Professionals. (This session Should Make You Uncomfortable) – Intermediate 11:00 – 11:30 am Break

MULTI-NATIONAL/ COMPLIANCE PRIVACY & DATA GENERAL COMPLIANCE/ UTILITIES & PROFESSIONAL RISK ETHICS CASE STUDIES INTERNATIONAL LAW SECURITY HOT TOPICS INVESTIGATIONS ENERGY SKILLS DISCUSSION GROUPS

corporatecompliance.org/2020CEI 5 Program at a Glance

Tuesday, September 15 501 The Risk You Don’t Know: Could Your Conflicts of Interest Process Be Creating Risk? – Intermediate 502 TBA – Level TBA 503 Building an Employee Concerns Program – Basic 504 Sexual Harassment and Abuse — Learning from the Response from Within the United Nations & Other Large Organizations – Level TBA 11:30 am – 505 Educating Your Board About Compliance Law – Advanced 12:30 pm 506 California Consumer Privacy Act Enforcement Update – Intermediate BREAKOUT 507 Does All This Really Work? – Intermediate SESSIONS 508 Recession-proof Your Career TODAY! – Basic 509 Considering Consulting or Starting Your Own Compliance Business? What to do NOW to Prepare for Success – Advanced 510 Leveraging Culture at Utility and Energy Companies – Advanced DG9* Cultures of Integrity - We Know What They Are and What They Should Look Like, But How Do We Get There? – Advanced DG10* Identifying Personnel Needs and Leveraging Varied Skill Sets to Staff an Effective Compliance Department – Intermediate 12:30 – 1:15 pm Lunch 1:15 – 2:00 pm Dessert with Exhibitors 601 So Much Risk, So Little Time: How to Conduct a Risk Assessment that Provides Actionable Insights – Basic 602 Talent Management and Ethics Outreach: How Lockheed Martin Reaches out to Future Engineers – Advanced 603 How to Conduct a Compliance Program Self-Assessment – Intermediate 604 The Challenges of Data Protection and Privacy: GDPR, Brazil DP Law, Japan DP Law – Level TBA 605 Individual Accountability for Corporate Wrongdoing – Basic 2:00 – Basic 3:00 pm 606 Three Idiots: The Breach Response That Goes Wrong – 607 Whistleblowers, Incident Management & Training: The Trifecta for Creating an Effective Speak-Up Culture – Intermediate BREAKOUT SESSIONS 608 Ethics & Compliance Training is the Worst! Two Creative Agencies Share Some Different Ideas and Options – Advanced 609 The 7 Habits of an Effective Compliance & Ethics Professional – Intermediate 610 Making Compliance and Ethics Relevant: Perspectives from the Utilities Industry – Basic DG11* TBA – Level TBA DG12* Whistleblowers and Retaliation: What Can We Do to Assure the Identity of Known Reporters of Misconduct are Kept Confidential and Protected from Retaliation – Intermediate 3:00 – 3:30 pm Break 701 Anti-Bribery Risk Assessments: Measuring Business Bribery Risk, Updating Procedures and Making Program Modifications – Intermediate 702 The Ethical Leadership Model: How to Turn Tone at the Top into a Measurable Program Element – Intermediate 703 Transform Your Policies: A (Relatively) Pain-Free Guide – Intermediate 704 State of the Union: Compliance Risk in Africa and the Middle East – Level TBA 3:30– 705 Antitrust Compliance: What Does the Government Really Want? – Intermediate 4:30 pm 706 What Red Adair Teaches us About Cybersecurity – Intermediate BREAKOUT 707 TBA – Level TBA SESSIONS 708 Your Acquisition Has Closed—Now What? New Frontiers in Post-Close Compliance Diligence and Integration – Intermediate 709 Inquiring Minds Want to Know: The Ins and Outs of the Hiring Process 710 Overview: SEC Resource Extraction Rule – Advanced DG13* The Trouble with Moral Relativism – Advanced DG14* Successful Engagement to Seamless Integration: Advancing your Compliance Program – Intermediate

MULTI-NATIONAL/ COMPLIANCE PRIVACY & DATA GENERAL COMPLIANCE/ UTILITIES & PROFESSIONAL RISK ETHICS CASE STUDIES INTERNATIONAL LAW SECURITY HOT TOPICS INVESTIGATIONS ENERGY SKILLS DISCUSSION GROUPS

6 corporatecompliance.org/2020CEI Program at a Glance

Tuesday, September 15 4:30 – 4:45 pm Break 4:45 – 5:45 pm General Session 4 - Fostering a Culture of Compliance 5:45 pm Closing Remarks Wednesday, September 16 7:00 am – 12:15 pm Conference Registration RS3 Managing Investigations Before They Start: Organizing an Effective Investigation Process through Thoughtful Preparation 7:00 – – Advanced 8:00 am ROOSTER Intermediate SESSIONS RS4 Bringing Effective Ethics and Compliance Training to a Multi-generational Workforce –

W1 Blending with the Federal Workforce: What Ethics & Compliance Officers Need to Know When Providing Services to the Federal Government – Basic 8:30– W2 Speak-Up Success: Training and Communications to Truly Encourage Reporting and Reduce Retaliation – Intermediate 10:00 am W3 Calibrating Ethics and Compliance Programs – Intermediate POST W4 Crystal Gazer/ Magical Man: What’s the Future of Compliance? – Level TBA CONFERENCE W5 Presenting Steps the Board May Take to Ensure Management Accountability for Compliance – Intermediate BREAKOUT W6 Current Pressures in Whistleblower Retaliation and the Effect on Compliance Program Effectiveness – Intermediate SESSIONS W7 Taking Your Code Digital: Here’s How to Do It Right – Intermediate W8 Large-Scale Investigations in Multinational Companies – Level TBA 10:00 – 10:20 am Break W9 Managing an Effective Export Compliance Program in a Global Market, Because Nobody Looks Good in Day Glow Orange – Intermediate 10:20– W10 Current Developments in Compliance Programs: Ethics Considerations for Compliance Officers and Attorneys – Basic 11:50 am W11 TBA – Level TBA W12 Global Compliance Training: What Works Across Borders? – Level TBA POST CONFERENCE W13 Compliance, Ethics and Crisis Management: Helping Your Organization Navigate in Challenging Times – Basic BREAKOUT W14 Artificial Intelligence in Compliance: Myths and Reality – Intermediate SESSIONS W15 Internal Accounting Controls and Internal Compliance Controls: What Public Companies Need to Know for Anti-Corruption, Sanctions, and Anti-Money Laundering Compliance Programs – Intermediate W16 TBA – Level TBA 12:45 pm Check-In for CCEP and CCEP-I Certification Exams 1:00 – 4:30 pm Certified Compliance & Ethics Professional (CCEP)® Exam (optional) 1:00 – 5:00 pm Certified Compliance & Ethics Professional - International (CCEP‑I)® Exam (optional)

MULTI-NATIONAL/ COMPLIANCE PRIVACY & DATA GENERAL COMPLIANCE/ UTILITIES & PROFESSIONAL RISK ETHICS CASE STUDIES INTERNATIONAL LAW SECURITY HOT TOPICS INVESTIGATIONS ENERGY SKILLS DISCUSSION GROUPS

corporatecompliance.org/2020CEI 7 Saturday, September 12 CASE STUDIES Level: Intermediate 8:30 AM–12:00 PM* Volunteer Project P3 3... 2... 1... Liftoff! Operationalizing Ethics Time subject to change and Compliance Sunday, 8:30–10:00 AM

Sunday 1:00 PM–6:30 PM June Lassiter, Sr Global Compliance Manager, Ferguson Conference Registration Enterprises Hillah O. Culman, Sr. Risk Analyst - Enterprise Risk Management Dept, Farmer Mac Sunday, September 13 - Launching a new compliance initiative could be daunting This session will provide attendees practical steps in assuring 7:00 AM–6:15 PM a successful launch Registration Open - Presenters will work with participants on defining a path to full adoption through milestones - The discussion will also include measurable results 7:30–8:15 AM through metrics First‑timer Networking Breakfast (by invitation) MULTI-NATIONAL/INTERNATIONAL 8:30–10:00 AM Level: TBA Pre-Conference Breakout Sessions P4 Crossing Borders: Globalizing your Compliance Program RISK Sunday, 8:30–10:00 AM Level: Basic Marc Ferzan, Senior Managing Director, Ankura P1 Effective E&C Risk Management Practice: Adam Balfour, General Counsel Compliance, Bridgestone Program Essentials and Core Practice Considerations COMPLIANCE LAWYER Sunday, 8:30–10:00 AM Level: Basic Greg Triguba, Principal, Compliance Integrity Solutions, SCCE & HCCA Board Member P5 What Compliance Professionals Need to Know - Gain a deeper understanding of the basic roles, resources, and about Immigration Law fundamentals necessary to facilitate and manage an effective ethics and compliance risk management program Sunday, 8:30–10:00 AM - Explore the challenges planning considerations and strategic Angelo A. Paparelli, Certified Immigration Specialist, Seyfarth solutions for implementing and leading effective ethics and Shaw LLP compliance risk assessment processes Nicole A. Kersey, Managing Director, Kersey Immigration - Consider outcomes derived from basic risk assessment findings Compliance, LLC and explore opportunities to use this valuable information to prioritize and build strategic plans for effective management Brendan Ryan, Manager, Field Compliance, Dycom Industries, Inc. and mitigation - Provide a general overview of the various immigration laws that may impact ethics and compliance - Discuss how to interact with internal stakeholders to address the ETHICS ethics and compliance risks that may arise under immigration laws Level: Intermediate - Provide guidance regarding how to interact with the federal agencies overseeing immigration laws and respond to audits and P2 Dangerous Rationalizations: How Personal investigations Values Present Ethical Risks Sunday, 8:30–10:00 AM Christina G. Glassco, Senior Vice President Corp Ethics & Compliance, Mental Health Systems - Explore how an individual’s personal values can shape rationalizations to excuse unethical behavior - Review top rationalizations used and the ethical risks presented by each - Identify best practices which help teams mitigate the risk posed by rationalizations

8 corporatecompliance.org/2020CEI Sunday GENERAL COMPLIANCE/HOT TOPICS RISK Level: Basic Level: Intermediate P6 Building Best-in-Class Compliance Programs in P9 The Use of Big Data to Reduce Risk Small Organizations Sunday, 10:20–11:50 AM Sunday, 8:30–10:00 AM Douglas J. Dunham, Dir, Ethics & Business Conduct, Tracy E. Tracy, VP- Compliance and Legal, CCPO, NovuHealth Lockheed Martin - Small organizations can be viewed as big sources of risk, especially Ellen Daly, Ethics Analysis Senior Manager, Lockheed Martin if you are a vendor to large organizations. Let’s make sure you have - Utilize data analytics to evaluate worksite ethics risk the right pieces in place to ensure you are a credible partner for your clients - Identify factors that may contribute to increased risk and potential need for enhanced engagement - This session will share helpful strategies for managing big compliance obligations with small teams - Develop a database and algorithmically assign a risk score for each worksite to prioritize outreach efforts and maximize risk mitigation - You CAN manage the audits you have to respond to, as well as the audits you should be performing. Let’s talk about ways to tell your highly effective compliance program story through your audit processes ETHICS Level: Advanced GENERAL COMPLIANCE/HOT TOPICS P10 Developing an Ethical Culture: West Point’s Level: Intermediate Model Sunday, 10:20–11:50 AM P7 Weaving Compliance into the Operations of Your Organization Pete Kilner, Chair for Character Development, U.S. Military Academy Sunday, 8:30–10:00 AM - Describes West Point’s approach to fostering the character Joseph Agins, Compliance Officer, Sam Houston State University development of its personnel. Participants can reflect upon, Deena King, Chief Compliance Officer, The University of Texas critique, and then adopt or adapt elements of the model to meet the needs of their own organizations at Tyler - Explains why a solely regulations-based approach to ethics is - According to one source, in 1993 there were 4,369 final rules in incomplete. Building and sustaining trust—within your organization the Federal Register. Over the years that number has expanded and with external partners—requires personnel who will do what’s exponentially. In 2017, there were 101,380 final rules. How can right even when no one is watching compliance leaders keep up? - Offers collective responsibility as the key to building an ethical - One strategy is to strengthen the compliance front lines in your culture. West Points Honor Code requires Cadets to intervene and organization by identifying existing compliance subject-matter report wrongdoing by their peers, which is as difficult for them as it experts, building a compliance network, and leveraging that is for everyone else. Yet, they do it expertise for the good of the entire organization - This session will discuss how to weave compliance into the operations of your organization. This approach can result in CASE STUDIES stronger and more effective compliance function Level: Intermediate INVESTIGATIONS P11 Choose Your Own Adventure: Leading a Distributed Team of Compliance Managers Level: Basic Sunday, 10:20–11:50 AM P8 Intro to Investigations, Part I Garrett Slate, Regional Compliance Manager, Kiewit Corporation Sunday, 8:30–10:00 AM Chris R. Caron, Regional Compliance Manager, Kiewit Meric Bloch, Vice President, Global Investigations, Booking Construction Holdings, Inc. - Audience will apply methods used to identify project-specific regulatory risks 10:00–10:20 AM - How to deploy and integrate risk mitigation tools across many Break remote locations - Interactive scenarios on remotely monitoring compliance activities 10:20–11:50 AM Pre-Conference Breakout Sessions

corporatecompliance.org/2020CEI 9 MULTI-NATIONAL/INTERNATIONAL GENERAL COMPLIANCE/HOT TOPICS Level: TBA Level: Intermediate P12 The Practical Who, What, When, Why and How’s P15 Website Accessibility: Practical Steps to Reduce of Third-Party Risk Assessment and Due Diligence Risk, Promote Compliance, and Understand the Law Sunday, 10:20–11:50 AM Sunday, 10:20–11:50 AM

Sunday Andy Hinton, VP, Global Ethics & Compliance, Google Robert Bond, Partner & Notary Public, Bristows LLP, SCCE & Sarah Powell, Global Compliance Manager, Pearson HCCA Vice President Douglas Huberts, Ethics and Compliance Consultant, Eli Lilly Michelle Landis, Co-Founder, Accessible360, LLC & Company Steve Hellend, Partner, Fredrikson & Byron Yong Charles - Business and technical context: Explanation of what “accessibility” means for websites, apps, and digital tools. Litigation explosion - Action items to increase accessibility. Demo of screen-reading COMPLIANCE LAWYER tool JAWS - Legal: Highlights of the Americans with Disabilities Act and other Level: Intermediate laws. Top recent cases P13 What Compliance Professionals Need to Know about Employment Law INVESTIGATIONS Sunday, 10:20–11:50 AM Level: Basic Louis Sapirman, VP and Chief Ethics & Compliance Officer, Panasonic Corporation of North America P16 Intro to Investigations, Part II James Oh, Member, Epstein, Becker & Green, P.C. Sunday, 10:20–11:50 AM - Provide a general overview of the various employment laws that Meric Bloch, Vice President, Global Investigations, Booking may impact ethics and compliance Holdings, Inc. - Discuss trending compliance-related employment issues, including #MeToo, Cannabis legalization, and government agency initiatives focusing on the workplace, such as the NLRB’s position that social 11:50 AM–1:20 PM media can be used to engage in protected concerted activity and Lunch (on your own) the EEOC’s Equal Pay Act focus, including the requirement that employers submit pay data to the EEOC 1:20–2:50 PM - Provide guidance regarding how to leverage HR to drive success in your ethics and compliance program Pre-Conference Breakout Sessions

GENERAL COMPLIANCE/HOT TOPICS RISK Level: Advanced Level: Intermediate P14 Avoid a Compliance Hangover: Maintain P17 Third Party Risk Management Momentum in Your Compliance Program After the Sunday, 1:20–2:50 PM Regulators Have Left John Bruns, Assistant Vice President, AT&T Chief Compliance Sunday, 10:20–11:50 AM Office Gregory Bates, Counsel, Miller & Chevalier - Proven key principles for improving the effectiveness of a third- Richard P. Davies, Global Chief Compliance Officer, Avon party risk management program. Discuss principles based on Products, Inc. current third-party risk management program and the partnership between business units and the Chief Compliance Office Harvard B. Smith, Chief Compliance Officer, Universal - We will address several critical areas such as senior leadership Corporation support, proactive risk identification, risk-based program structure, - Provide practical tactics to resist calls from management and business partnership and ownership, and the use of Key Risk the board of directors to undo compliance enhancements after Indicators and technology settlements with regulators and external monitors - We’ll provide the audience with some practical actions they can - Address your organizations realities, such as compliance fatigue take back to their companies to immediately start to elevate their at a sensitive time, while maintaining an effective program and third-party risk management game regardless of the level of demonstrating the programs value to stakeholders maturity of their current program - Learn to identify and protect what’s important, prudently adjust to changing realities, and be a good corporate teammate while shielding your company from recidivism

10 corporatecompliance.org/2020CEI Sunday ETHICS COMPLIANCE LAWYER Level: Advanced Level: Intermediate P18 Ethical Leadership and Trust-Tools all CCOs P21 What Compliance Professionals Need to Need in Their Toolkits to Build a Culture of Integrity Know about Environmental Law Sunday, 1:20–2:50 PM Sunday, 1:20–2:50 PM Ellen M. Hunt, SVP, Audit, Ethics & Compliance Officer, AARP Joshua H. Van Eaton, Principal, Beveridge & Diamond, P.C. Patrick J. Gnazzo, Principal, Better Business Practices Craig Sturtz, Associate General Counsel, EH&S, Hexion Inc. Donna C. Boehme, Principal, Compliance Strategists LLC Peter C. Anderson, Chief Ethics and Compliance Officer, Carnival - Why Trust, building a high-Trust workplace, and Ethical Leadership Corporation must be an important part of the CCOs SME and work - Provide a general overview of the various environmental laws that - Discussing the link between ethical leadership, incentives, and may impact ethics and compliance high-trust cultures. Also discover a groundbreaking tool that can - Discuss how to interact with internal environmental professionals help CCOs assess trust weaknesses in their companies to address the ethics and compliance risks that may arise under - A review of the Wells Fargo and General Motors cases and an environmental laws application of Trust and Ethical Leadership as demonstrated in - Provide guidance regarding how to interact with environmental these two case studies regulators and other stakeholders to drive success in your ethics and compliance program

CASE STUDIES GENERAL COMPLIANCE/HOT TOPICS Level: Intermediate Level: Intermediate P19 Organizational Integrity: The Bedrock of Compliance & Ethics P22 Effective Partnership Strategies with Your Sunday, 1:20–2:50 PM Board of Directors Jonathan Aronie, Partner, Sheppard Mullin Richter & Hampton LLP Sunday, 1:20–2:50 PM A. Joseph Jay, Special Counsel, Cadwalader, Wickersham & John Fons, Former Director, Global Compliance, Modine Taft LLP Manufacturing Company - Define the concept of organizational integrity and its primacy as a Michael l. Volkov, CEO, Volkov Law Group LLC bedrock of ethics and compliance in the modern organization - Chief Compliance Officers must develop an effective working - Consider case studies of organizational integrity in action—where relationship with its Board of Directors to ensure that the company’s values were or were not followed in instances of reputational threat compliance program has adequate authority, resources and or compliance challenge independence - Consider how organizational integrity can help corporations - Recent court decisions — Marchand v. Barnhill and Clovis prepare for reputational threats and compliance and ethics Oncology, Inc. Derivative Litigation — have increased risks for challenges including applications before a problem occurs individual Board member liability; as a result, CCOs must train board members on proper oversight and monitoring functions - Given this new environment, this session will identify positive MULTI-NATIONAL/INTERNATIONAL strategies to increase board engagement, ensure effective reporting, and increase overall board support of the compliance Level: Intermediate function P20 Europe, Balkans and the Americas: Dealing with Compliance in Our New Reality – Why Should GENERAL COMPLIANCE/HOT TOPICS You Care? Level: Intermediate Sunday, 1:20–2:50 PM Susan Du Becker, Global Compliance Enablement, Cisco P23 Leveraging Little Data to Operationalize Systems BV Compliance Maria Lancri, Attorney, Partner, Squair Sunday, 1:20–2:50 PM Yulia Eliseeva, Managing Partner, Ru Compliance LLC Wes Worsham, Regional Director, Ethics & Compliance, Rush Enterprises, Inc. - Using the law as an excuse; emergency laws, Brexit, Europe and the Balkans. Do they exist, what are they and, how do we work Theodore Kelly, Director - E&C Business Systems, Rush together.? Enterprises, Inc. - Using the economy as an excuse; Now we have new laws, Force - What is Little Data? Providing bite-sized chunks of visual information Majeure and our new reality. What is the cause and effect with our to organization leaders allows them to focus on compliance and Compliance Programs, Anti-Trust, Privacy and corruption. How do ethics risks we steer and guide our people? - Where Does it Come From? Harnessing your organization’s Big - Relationships between you, me and others and the necessity Data to identify, analyze, and address key risks of ethical relationships in the aftermath of Covid 19; New bonds, - How Does it Drive Action & Remediation? Leveraging Little Data to new opportunities, new behaviors, new ways of thinking in our seamlessly implement remediation efforts and measure program new world effectiveness

corporatecompliance.org/2020CEI 11 INVESTIGATIONS CASE STUDIES Level: TBA Level: Intermediate P24 TBA P27 How to Promote and Reinforce Your Company’s Sunday, 1:20–2:50 PM Values Through an Ambassador Program Sunday, 3:10–4:40 PM

Sunday 2:50–3:10 PM JP Shotwell, Director, Corporate Compliance and Information Break Governance, Southern California Edison Michael Chinn, Senior Advisor, Corporate Compliance, Southern 3:10–4:40 PM California Edison Pre-Conference Breakout Sessions Toni-Lynne Langeveld, Senior Advisor, Corporate Compliance, Southern California Edison - Want to start an ambassador program at your company, but don’t RISK know where to start? In this session, learn how to garner leadership support for your program, select the right ambassadors, and Level: Intermediate engage them through meaningful dialogue, tools and resources - How can you promote an ethical and compliant culture? Start an P25 Congratulations, You’ve Been Acquired! ambassador program! In this session, learn what it takes to start a Practical Tips and Strategies for How to Integrate program from the ground up and sustain it with the right people to Compliance and Ethics Programs After a Merger or reinforce behaviors you want your employees to embody Acquisition - Want to reinvent your ambassador program to promote a values- based culture? Learn how SCE transformed its Ethics Ambassador Sunday, 3:10–4:40 PM Program to its current Values Ambassador Program and the Rebecca Rohr, Vice President, Hewlett Packard Enterprise impact its ambassadors have had on fostering a positive work environment Frank Mirkow, Vice President and International Corporate Counsel, Feld Entertainment, Inc. Natalie Walker, Chief Compliance and Ethics Officer, MULTI-NATIONAL/INTERNATIONAL Washington Gas Level: TBA - This panel has lived through the integration of compliance and ethics programs. During this session, they will call upon their first- P28 Latin America: How to Survive Doing Business hand experiences to discuss how they identified the “must do” and “nice to have” items and what success would look like in Our Region - Identifying and minimizing risk is particularly important after Sunday, 3:10–4:40 PM an acquisition. The presenters will discuss the role of risk Natasha Trifun, Executive Director, R&D, Global Medical, External assessments-how you do one, what compliance gaps you look Funding, Quality and Operations, Alexion Pharmaceuticals, Inc. for, and what the outcome should be-in the post-acquisition environment Parth Chanda, CEO, Lextegrity - Developing and cultivating key partnerships is essential to a Patricia Colombo, Director of Legal and Compliance, FUJIFILM successful integration too. This panel will highlight how to develop those partnerships, and manage change for employees, from the perspective of both parties involved in the acquisition COMPLIANCE LAWYER Level: Intermediate ETHICS Level: Intermediate P29 What Compliance Professionals Need to Know about Privacy & Cybersecurity Law P26 5 Steps to Ethical Problem Solving Sunday, 3:10–4:40 PM Sunday, 3:10–4:40 PM James Mariani, Associate, Privacy & Data Security Group at Marcy J. Maslov, Chief Integrity Builder, e-Factor!®- the Frankfurt Kurnit Klein & Selz educational board game for business ethics Laurel Burke, Director and Associate General Counsel – - We assume everyone has the same definition of ethics as we do… Compliance & Data Privacy, Peabody Energy until there’s a problem. Every business issue we face has an ethical Leona Lewis, Privacy Manager, Shutterfly, Inc. dilemma at its core. Do you know how to recognize the ethical dilemma? - Provide a general overview of the various privacy and cybersecurity laws that may impact ethics and compliance - Employers of new graduates are complaining their new hires are not Job Ready in one critical area: ethics. So where do we learn - Discuss how to interact with internal personnel to address the how to solve ethical dilemmas? Who taught you, and how do you ethics and compliance risks that may arise under various laws know if you’ve made the right decision? - Provide guidance on managing security incidents and - It’s important to provide a framework for ethical problem solving. interacting with regulatory agencies that enforce privacy and This program offers a 5-step framework and a gamified approach cybersecurity laws to teaching not only decision-making but critical thinking, leadership and team-building skills

12 corporatecompliance.org/2020CEI Monday GENERAL COMPLIANCE/HOT TOPICS 7:00–8:20 AM Breakfast with Exhibitors Level: Intermediate P30 Warnings, PIPs, and Terminations: Developing 8:20–8:30 AM a Consistent Approach to Discipline for Compliance Opening Remarks Shortcomings Sunday, 3:10–4:40 PM 8:30–9:30 AM Todd Braunstein, Head of Legal Investigations, Willis General Session 1 – Lessons learned from the Towers Watson COVID-19 Pandemic Ann Sultan, Counsel, Miller and Chevalier Justin Ross, Staff Dir Integrity & Compliance, Fedex - How does a company balance sometimes competing interests Blair Marks, Vice President, Ethics and Business Conduct, of (various) key regulators and the needs of the business in Lockheed Martin determining appropriate approaches to discipline across the organization? Art R. Weiss, Chief Compliance & Ethics Officer, TAMKO Building - We will walk through examples to discuss how variations in Products LLC; SCCE & HCCA President individual jurisdictions in culture and employment law can impact, - Working with distributed workforces, including the compliance and complicate, substantive outcomes team, itself - Discuss common approaches and tips for navigating the most - Adjusting to rapidly changing situations and risk profiles: how to difficult disciplinary situations and developing a robust global stay compliant while the ground is still shifting discipline program - Implications for post-pandemic compliance programs and looking to the new normal GENERAL COMPLIANCE/HOT TOPICS 9:30–10:00 AM Level: Advanced Networking Break with Exhibitors P31 ISO 37001 Anti-Bribery Management System— Is it Needed? 10:00–11:00 AM Breakout Sessions Sunday, 3:10–4:40 PM Segev Shani, Chief Compliance & Regulatory Officer, Neopharm Ltd RISK Peter Loftspring, Chief Compliance Manager, Black & Veatch Corporation Level: Intermediate Emily R. Vijayakirthi, Compliance Counsel, Dar USA 101 The Ups and Downs of Social Media Compliance - ISO 37001 provides the requirements and guidance for Monday, 10:00–11:00 AM establishing, implementing, maintaining, and improving an anti- bribery management system designed to help organizations Kortney Q. Nordrum, Regulatory Counsel & Chief Compliance prevent, detect, and respond to bribery acts and comply with anti- Officer, Deluxe Corporation bribery law - Examine the risks of employee and company use of social media - It is debated whether an organization with a fully implemented - Learn where the risks hide and how to find, identify, and fix them compliance program would find any advantage in implementing the ISO 37001 standard, as it does not address other corrupt practices - Leave with a sample social media policy and tips on how to and requires additional resources for implementation implement best practices - ISO 37001 certification may help demonstrate that the organization committed to and implemented internal controls in case of authorities’ investigation and may serve as an external proof for the ETHICS effectiveness of the organization’s compliance program Level: Basic

INVESTIGATIONS 102 Ethics and Compliance: Same or Different? Monday, 10:00–11:00 AM Level: Basic Grace C. Wu de Plaza, Group Head of Ethics, Ferguson P32 TBA - Some companies bifurcate the ethics and compliance functions. Sunday, 3:10–4:40 PM This session will explore the benefits and challenges to this approach - Discussion will focus on the similarities and differences between 4:40–6:15 PM the two functions, using approaches to training and policy creation Opening Reception as examples - Attendees will leave with a better understanding of how both the ethics and compliance functions are essential in demonstrating an effective ethics and compliance program pursuant to the 2019 Monday, September 14 Department of Justice Guidance 6:45 AM–6:00 PM Conference Registration corporatecompliance.org/2020CEI 13 CASE STUDIES PRIVACY & DATA SECURITY Level: Intermediate Level: Basic 103 Beyond Awareness: Build A Compliance 106 Privacy Compliance 101 Program That Will Leave Your Employees Cheering Monday, 10:00–11:00 AM Monday, 10:00–11:00 AM Brad Hammer, Attorney - Founder, Vakaris Adam D. Balfour, General Counsel Compliance, Bridgestone Robert Bond, Partner & Notary Public, Bristows, SCCE & HCCA Monday - Too many companies make the mistake of focusing on raising Vice President awareness about their compliance programs - While questions abound as to the impact of current and - Brand experts look past brand awareness to measure brand forthcoming data privacy regulation around the world, compliance relevance and resonance. Compliance must do the same in order programs must be responsive to current regulatory frameworks and to engage your employees and get their buy in business needs as well as adaptable to the changing landscape - Hear practical and cost-effective ideas that have worked and - This session starts by providing tools to understand how to left employees cheering and punching the air in celebration evaluate the privacy risk and regulatory impact of your business: during compliance trainings (including Bridgestone’s Compliance What data do you have? What laws are you subject to? How do you Battle Royale) determine risk? How do you talk to the business about privacy? - Once we go through evaluating your compliance needs, we will discuss basic strategies for putting together a compliance plan and MULTI-NATIONAL/INTERNATIONAL program that is effective at mitigating current risk and adaptable to changes in the law and business Level: TBA

104 The Compliance Olympics: What were the Gold GENERAL COMPLIANCE/HOT TOPICS Medal Performances of the Last 12 Months? Level: Advanced Monday, 10:00–11:00 AM Kris Robidoux, Senior Compliance and Regulatory Counsel, 107 Change Management: Transforming a Long- Gran Tierra Energy Inc. Established Compliance Program Jonathan P. Armstrong, Partner, Cordery (UK) Monday, 10:00–11:00 AM - By popular demand, the speakers are returning with a Christopher Annand, Director of Operations – Ethics & comprehensive look at some of the main issues affecting Compliance, Cargill Inc. compliance globally. We’ll contrast and compare between the main theatres of operation – the Americas, EMEA and Asia Pacific in a Neha Gupta, Chief Executive Officer, True Office Learning truly international and diverse panel. Michael Duran, CECO, 3M - Top rated speakers discuss a wide range of issues including how regulators are adapting to the ‘new normal’, cyber threats, bribery - Revisit your compliance risks to refine your training curriculum and corruption, workforce compliance issues (like modern slavery - Enlist change champions to deliver messaging and promote and immigration), privacy, the increasingly global nature of the engagement across the firm media and whether ‘legal’ is ever enough. - Deploy a plan to rebrand and relaunch your program to achieve - Common threads running across borders will help you manage maximum impact (and enjoyment!) with employees your global operations effectively whilst staying sensitive to local cultures. GENERAL COMPLIANCE/HOT TOPICS COMPLIANCE LAWYER Level: Intermediate Level: Intermediate 108 The Landscape of Fraud in 2020 105 Compliance in the Crosshairs: What the Courts Monday, 10:00–11:00 AM Are Saying About Effective Compliance Practices in Bruce Dorris, President & CEO, the Association of Certified Fraud Compliance Officer Liability Cases Examiners Monday, 10:00–11:00 AM - The latest ACFE research into how fraud is perpetrated, how it is detected, and who the perpetrators are David Applebaum, Partner, Jones Day - Trends in what organizations are doing to protect themselves from Arielle S. Tobin, Associate, Jones Day would-be fraudsters, including how they employ various anti-fraud technologies Michael Henry, Senior Compliance Counsel, Boston Energy Trading and Marketing - What anti-fraud controls have the greatest impact, and variations in how the fraud investigation function is positioned and - Presentation from litigation and enforcement attorneys, and a approached senior in-house compliance counsel, on judicial decisions holding corporate compliance officers liable - When and why do courts hold compliance officers liable—and what steps to take to reduce risk and avoid liability - Other lessons from recent court and agency decisions on how to make your compliance program more effective

14 corporatecompliance.org/2020CEI Monday PROFESSIONAL SKILLS DISCUSSION GROUP Level: Advanced Level: Basic 109 60 Minute Compliance Coach: Solutions to your DG2* Cultivation of Culture and Compliance Sleepless Nights Partnerships Monday, 10:00–11:00 AM Monday, 10:00–11:00 AM Amii L. Barnard-Bahn, Managing Principal, Barnard-Bahn Jaclyn Badeau, President, Badeau Consulting Coaching & Consulting Ashley Lewis, Senior Compliance Manager, McAfee Mary Shirley, Senior Director, Ethics and Compliance, Fresenius - Cross functional partnerships: who to connect with how often Medical Care North America and why - To be an effective Compliance Officer, you need to be a high - Engaging employees: why engagement is key to proving Ethics performer not just technically but also navigating office politics and Compliance is not the enemy and tricky soft skills issues. This session will impart actionable - Rebranding your hotline solution: why words matter and how takeaways from a qualified and experienced executive coach you can use words to connect with your employees - Sit down with Amii and Mary to hear about approaches for dealing with some of the most common and complex professional problems for Compliance Officers, including difficult stakeholders, 11:00–11:30 AM championing yourself to promotions, and negotiating pay Break increases - In addition to hearing about solutions for managing upwards when 11:30 AM–12:30 PM you have an incapable or difficult boss, rising above malicious colleagues, and getting yourself a seat on the board, you’ll have an Breakout Sessions opportunity to pose your own quandaries coached to success

RISK UTILITIES & ENERGY Level: Intermediate Level: Intermediate 201 The Dreaded “F” Word - “Fraud” - What 110 A Case Study: Agile Ethics & Compliance - Can You Do About This Risk? - Assessment and Beyond the Normal Mitigation Monday, 10:00–11:00 AM Monday, 11:30 AM–12:30 PM Speaker TBA Sonal J. Shah, Former Sr. Vice President, Compliance and - An entrepreneurial approach to collaborative E&C “touch points” Risk Officer across two energy companies and their contractors - Preparing for Fraud: Have you done a Fraud Risk Assessment? - BP/Shell approach to investing in strategic E&C thinking, What are your Internal Controls and Monitoring Mechanisms? Do development, sharing, and learning “beyond the normal” you run Data Analytics? - Weaving the boundaries and developing / coaching leaders to - Mitigation of Assessed Risk: Preventive and Detective Controls build E&C capability and confidence Collaboration between Operations, Legal, Compliance, Ethics, Internal Audit, Privacy and Enterprise Risk Management (ERM) - Three recent Case Studies: Enforcement Actions DISCUSSION GROUP

Level: Advanced ETHICS DG1* Engaging your Board Relevance in 2021 Level: Intermediate Monday, 10:00–11:00 AM 202 Calling all Champions! Best Practices for Paige Shannon, Compliance Officer and Corporate Counsel, ATI Expanding Your Ethics Programs Footprint Adelle Elia, Chief Integrity Officer, Louis Berger by Establishing and Promoting an Ethics - How do you as a Compliance Officer tap into your Boards current Champions Network priorities to engage them? Monday, 11:30 AM–12:30 PM - How do ethics and compliance programs connect to the hot topics for Board members in 2021? Cristina M. Potter, Chief Ethics & Privacy Officer, SAIC - Focus Areas: the Board’s role in crisis management; stronger Shauna Brookshier, Sr. Ethics Analyst, SAIC demand for oversight of company culture; and the increasing Chelsea Dunkle, Ethics Analyst, SAIC importance of Environmental, Social and Governance (ESG) in M&A and other contexts - In a time when cost cutting and shrinking resources are commonplace, how do you “sell” an Ethics Champions program to your Board and leadership? - So you have buy-in, what steps can you take to make your Ethics Champions program roll-out a success? - Maybe you’ve successfully launched an Ethics Champions program, now how do you prove its impact? * Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions. corporatecompliance.org/2020CEI 15 CASE STUDIES PRIVACY & DATA SECURITY Level: Basic Level: Intermediate 203 Boeing’s 737 MAX: A Trifecta of Ethics & 206 From Paper to Practice: Best Practices for Compliance Failures Compliance Professionals to Collaborate with Tech Monday, 11:30 AM–12:30 PM Teams and Monitor Data Regulatory Compliance Michael R. Fricke, Associate Director, Center for Leadership Ethics, & Monday, 11:30 AM–12:30 PM Monday Sr. Lecturer, Department of Management & Organizations, University Nisha Sehn, Senior Technical Program Manager, Fastly of Arizona Eller College of Management Whittney A. Tom, Program Manager, Corporate Relations, - How Boeing’s organizational culture stifled concerns about safety and ethical behavior, and how your organization can steer clear of TechSoup this type of culture Martha Lackritz-Peltier, Senior Counsel, TechSoup Global - How regulatory and compliance failures turned a surmountable - As the compliance/legal focal point responsible for monitoring your challenge into a global disaster, and what we can learn when it company’s data regulatory compliance, learn best practices when comes to our own compliance efforts working with your tech team on data management. Come away - How ethical leaders take ownership of challenges and use moral with a foundational glossary of terms for you to use imagination to come through them even stronger, and how - Recent legal cases studies in the U.S., as well as outside the Boeing’s leadership failed the test U.S., in countries with new and emerging data privacy laws, and lessons learned - Peer-to-peer knowledge sharing on how companies work to MULTI-NATIONAL/INTERNATIONAL comply with ever-evolving privacy and data security regulations. Come ready to participate in small group discussions and Level: TBA activities! 204 How to Conduct Independent Investigations on Foreign Operations GENERAL COMPLIANCE/HOT TOPICS Monday, 11:30 AM–12:30 PM Level: Intermediate Shin Jae Kim, Partner, TozziniFreire Advogados Renata Muzzi, Partner, TozziniFreire Advogados 207 Creating Great Compliance Training in a Digital World Geert Aalbers, Partner, Control Risks Monday, 11:30 AM–12:30 PM Kirsten E. Liston, Principal, Rethink Compliance COMPLIANCE LAWYER Tricia Cornell, Head of Creative Services, Rethink Compliance Level: Basic Rachel Batykefer, Senior Director, Global Compliance, Teva Pharmaceuticals 205 Expanding into the Federal Marketplace: Compliance Issues to Consider When Doing - Reach and persuade your workforce through outstanding training Business with the Government - Focus on the needs and attitudes of a 21st-century audience - Train yourself and your staff to think like a lawyer, talk like a human Monday, 11:30 AM–12:30 PM Robert J. Wagman, Partner, Bracewell Matthew Neilsen, Partner, Bracewell GENERAL COMPLIANCE/HOT TOPICS - Through this session, attendees will gain a deeper understanding Level: Basic of the compliance requirements for doing business with the government, including the mandatory disclosure obligations in the 208 Unconscious Bias, Cognitive Errors, and the Federal Acquisition Regulation (FAR) Compliance Professional - We will discuss the unique risks that primarily commercial companies face — and the best ways those risks can be addressed Monday, 11:30 AM–12:30 PM — when doing business with the government while expanding into Michael W. Johnson, CEO, Clear Law Institute, LLC the federal marketplace - Strategies for compliance professionals to avoid and reduce the - The session will also cover recent developments, best practices impact of unconscious bias and cognitive errors in their work and practical steps for structuring and maintaining an effective compliance program that complies with the FAR - Cognitive errors that can impact compliance officers during investigations, including affinity bias, confirmation bias, expectancy effects, investigator bias, lie bias, priming, trustworthiness bias, and Dangerous Decisions Theory - Unconscious bias towards social groups, including how to assess bias using the Implicit Association Test

16 corporatecompliance.org/2020CEI Monday PROFESSIONAL SKILLS DISCUSSION GROUP Level: Advanced Level: Intermediate 209 New Tone at the Very Top: CECOs on Boards, DG4* Public Agency Ethics and Compliance Why it Matters, How to Get There Programs: Challenges and Solutions for Monday, 11:30 AM–12:30 PM Government Professionals Ellen M. Hunt, SVP, Audit, Ethics & Compliance Officer, AARP Monday, 11:30 AM–12:30 PM David Greenberg, Special Advisor, LRN Angelique P. Dorsey, Ethics Officer, Washington Suburban Sanitary Commission Ben DiPietro, Thought Leadership, LRN Corp - How do you address operational process issues revealed - How boards are looking for skills possessed by many chief ethics through ethics violations? and compliance officers, but often don’t think of CECOs as board candidates, and what CECOs can do to market their skills, build - What do you do if an ethics issue hits the media? their networks, and enlist support - How do you give information to legislators on proposed - What CECOs board members contribute to public and private changes to ethics laws? companies - How serving on a board makes one a better CECO and executive 12:30–1:15 PM Lunch

UTILITIES & ENERGY 1:15–1:45 PM Level: Intermediate Dessert with Exhibitors

210 Cybersecurity and Incident Response in 1:45–2:45 PM the Energy and Utilities Sector: How Your Peer Breakout Sessions Companies Are or Should Be Preparing Monday, 11:30 AM–12:30 PM Melanie Phillips, Associate, Orrick RISK Joseph Santiesteban, Managing Associate, Orrick Level: Intermediate - Overview of the unique and evolving threat landscape - Discussion of regulatory and enforcement developments 301 Antitrust Compliance 2.0: Tackling the Toughest Parts of the DOJ Compliance Program Guidance - Practical compliance and risk mitigation strategies Monday, 1:45–2:45 PM Pedro de la Torre, Global Compliance Officer & Corporate DISCUSSION GROUP Counsel, The Chemours Company Level: Basic Tim Bridgeford, Senior Director Antitrust Compliance, Walmart Douglas M. Tween, Partner, Linklaters LLP DG3* Doing a Lot with a Little: How to Get the Most Out of a Small Ethics Program - Examine in detail the latest U.S. Department of Justice Antitrust Division compliance guidance Monday, 11:30 AM–12:30 PM - Understand the DOJ’s expectations with respect to risk Kevin M. Robertson, Valiant Integrated Services assessments, auditing and monitoring, information exchange, and tracking competitor contacts - Many of the best practices we learn for E&C programs seem designed for established, mature programs with significant - Learn evolving competition compliance best practices, tips and resources tools from in-house experts and former enforcers to manage risk - What about companies where the program is just a person or two, or the program is just getting started? If you don’t have the time, money, or people power to do it all, how do you decide what really matters? - The session will focus on smaller or newer programs that are trying to go from good to great. Key discussion will be about how these programs can determine which elements are essential given limited resources

* Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions.

corporatecompliance.org/2020CEI 17 ETHICS COMPLIANCE LAWYER Level: Intermediate Level: Intermediate 302 How to Reinvigorate a Global Code of Conduct: 305 Leverage Legal Developments to Assess and The Sony Way Advance Your Program Monday, 1:45–2:45 PM Monday, 1:45–2:45 PM Prietta Booker, Global Ethics & Compliance Associate, Sony Rebecca S. Walker, Partner, Kaplan & Walker LLP Monday Corporation of America Joseph E. Murphy, Senior Advisor, Compliance Strategists James Walton, DeltaNet International - Review recent developments in the law related to compliance - Sony needed an online Global Code of Conduct training course and ethics, including case law, enforcement agreements and that explained the company values and outlined the ethical government pronouncements responsibilities of their employees, to replace their previous paper- - Examine the impact of recent legal developments on compliance based version and ethics program design and implementation - Follow their journey as they developed and embraced engaging - Consider strategies for using compliance and ethics-related legal online training that was applicable and appropriate to the entire developments to assess and enhance your program SONY Group, which reflected the SONY brand; innovative, inspiring and dynamic - Learn from Sony’s experiences of the project, identify lessons PRIVACY & DATA SECURITY learned and the successes achieved Level: Intermediate CASE STUDIES 306 Learn More from Your Data While Improving Data Security Level: Intermediate Monday, 1:45–2:45 PM 303 Building a Culture of Compliance Josh Clemens, Director of Compliance & Compliance Officer, Monday, 1:45–2:45 PM Boys & Girls Village, Inc. Kathleen O’Toole, Senior Counsel, Global Compliance and Safety, Dusan Velickovic, Director of Business Intelligence, Boys & Girls McDonald’s Village, Inc. Elizabeth S. Brown, Assistant General Counsel, Global - Lessons learned from shifting a mid-sized non-profit smoothly from Compliance & Risk, Groupon, Inc. various unique practices and processes to an organized electronic data driven operational management culture - Learn strategies for building and/or enhancing a culture of - Overview of easy to implement free or inexpensive tools and best compliance within organizations, including leveraging internal practices for secure collection and organization of data from staff resources and tailoring approaches based on company profile, and clients to improve staff ownership and management reporting discussed in relation to the recent government guidance documents - How Boys & Girls Village makes the most of our data for compliance, inventory management, staffing optimization, and - Discuss specific employee compliance engagement methods, such effective forecasting as activities and events, communications, and training initiatives, based on real-world examples and case studies from McDonald’s and Groupon GENERAL COMPLIANCE/HOT TOPICS - Review innovative and cutting-edge training and involvement strategies, including AI and predictive modeling Level: Basic 307 Building an Effective Policy Management and MULTI-NATIONAL/INTERNATIONAL Governance Program with Intentionality Level: TBA Monday, 1:45–2:45 PM 304 Asia, State of the Union: Compliance Relations Jami Bailey, Lead Compliance Analyst – Policy Governance, Chief Compliance Officer, AT&T in Asia - Scoping the policy opportunity, understanding the state of your Monday, 1:45–2:45 PM policies Mark Stanley, SVP and General Counsel Asia Pacific, Fresenius - Gathering stakeholders and building the case for change Medical Care Asia Pacific - Evolving beyond policy as just a document, making policy matter Jason Chang, Of Counsel, DLA Piper LLP (US) Jimmy Chatsuthpihan, Director, Compliance & Ethics APAC, Uber Technologies

18 corporatecompliance.org/2020CEI Monday GENERAL COMPLIANCE/HOT TOPICS DISCUSSION GROUP Level: Intermediate Level: TBA 308 Challenges of Implementing a Risk-Based DG5* TBA Third-Party Due Diligence Program Monday, 1:45–2:45 PM Monday, 1:45–2:45 PM Lila Acharya, Partner, Crawford & Acharya pllc DISCUSSION GROUP Sonal Shah, Former Sr. Vice President, Compliance and Risk Officer Level: Advanced - Do you know who your third parties are and what they do for you? Many companies struggle with this as they seek to formalize their DG6* Big Picture E&C Program Challenges: A Day in third-party due diligence procedures. We will discuss strategies for the Life of the Successful Compliance Officer tackling this challenge. Monday, 1:45–2:45 PM - Technology and Third-Party Due Diligence - friend or foe? The market is now flooded with automated due diligence platforms and Greg Triguba, Principal, Compliance Integrity Solutions; SCCE & screening tools for conducting third party due diligence. How do HCCA Board Member you determine what is best for your company? - Survey and explore some major challenges and frustrations that - What constitutes a “risk-based” approach to Third Party Due E&C leaders can face in day-to-day practice Diligence? The DOJ, SFO, and AFA all advise taking one, but - Navigate through a real-world scenario that illustrates systemic devising a strategy can be challenging. We will discuss best challenges and its impact to ethics and compliance program practices in developing procedures appropriate for your company effectiveness - Collaborate and discuss practical strategies and solutions for addressing big picture challenges and leading successful change PROFESSIONAL SKILLS in the organization Level: Basic 2:45–3:15 PM 309 Keep Calm and Compliance On - 2.0 Edition Break Monday, 1:45–2:45 PM Lisa Beth Lentini Walker, CEO and Founder, Lumen Worldwide 3:15–3:30 PM Endeavors Awards Presentation and Announcements Diana Trevley, Senior Compliance Counsel, CyberArk 3:30–4:30 PM - This session is full of fun and hands-on activities exploring practical ways to implement growth mindset, mindfulness and gratitude General Session 2 – Fraud Is Not a Trade Secret: A practices into your daily life Conversation with Tyler Shultz - Discover more scientific-backed strategies to deal with burnout and crises and learn about happiness traditions and practices from Tyler Shultz, Theranos Whistleblower & Entrepreneur around the world, from hygge in Scandanavia to hooponopono Adam Turteltaub, Vice President, Strategic Initiatives and in Hawaii International Programs, SCCE & HCCA - Leave with your own customized game-plan for Keeping Calm and Compliance On, designed to transform you from stressed-out - How can a company acquire a $10 billion valuation built on fraud? compliance professional to effective and energetic leader How does a 20-something Stanford dropout deceive esteemed statesmen and titans of the industry? What leads someone to defraud hundreds of employees, thousands of investors, and millions of patients on an unprecedented scale? UTILITIES & ENERGY - Tyler Shultz, the man most responsible for bringing down Theranos, Level: Intermediate answers these questions and more. In a compelling conversation, Shultz takes audiences through his time as an employee at Theranos, discussing everything from his relationship with 310 Highly Regulated and Limited Resources Elizabeth Holmes, to the faulty blood testing technology, to his Doesn’t Have to Mean Boring efforts to expose the truth about Theranos Monday, 1:45–2:45 PM - With humility and candor, Shultz addresses the importance of corporate governance, modern-day business ethics, Silicon Adriana M. Herrera, Senior Global Compliance Analyst, Valley culture, and the lessons the corporate world can learn from Corporate Compliance, Phillips 66 Theranos’ historic fraud Dana Gillett, Manager, Corporate Compliance OGE Energy Corporation 4:30–6:00 PM David Douglass, FERC Compliance, Evergy Networking Reception - Learn about implementing a Compliance and Ethics Week and other training opportunities on a budget - Discover how to develop communications, utilize blogs and company aps, and develop awareness tools like video shorts - Explore entertaining ways to effectively promote your * Discussion Groups will be filled on a first-come, first-served basis. Attendance compliance program is limited to the first 50 attendees. Pre-registration is not available for these sessions.

corporatecompliance.org/2020CEI 19 Tuesday, September 15 RISK Level: Intermediate 6:45 AM–6:00 PM Conference Registration 401 From Data to Insights: Managing Risk using Continuous Monitoring Analytics 7:00–8:00 AM Tuesday, 10:00–11:00 AM Rooster Sessions Kara Bonitatibus, Head of Product, Lextegrity Tuesday John Rah, DLA Piper GENERAL COMPLIANCE/HOT TOPICS Andy Miller, Chief Analytics Officer, Lextegrity - Understand the current analytics landscape for both compliance Level: Basic and audit disciplines RS1 ROI: Return on Investment or Really Obscure - Learn how to leverage the massive enterprise data stores to generate insights and expose spend risk from all areas of your Idea? Demonstrating the Value of Compliance to business the Board, Executive Management, Employees and - See why visual analytics are the secret weapon to investigating Every Other Stakeholder in Your Organization issues in real-time and collaborating across disciplines in your Tuesday, 7:00–8:00 AM organization Beth Colling, Senior Vice President and Chief Compliance Officer, CDM Smith, Inc. ETHICS - Understand how to take the elements of a Compliance Program from an obscure idea to a concrete investment for your Level: Basic organization 402 Lessons in Ethical Leadership from Recent - Discover tactics to explain the value of a structured program to stakeholders Events - Learn about the true Return on Investment that a robust compliance Tuesday, 10:00–11:00 AM program can provide Latour “LT” Lafferty, Partner, Holland & Knight LLP - Discuss recent ethical failures or lapses as compliance & ethics GENERAL COMPLIANCE/HOT TOPICS case studies - Examine lessons in ethical leadership from each cases study Level: TBA - Learn ethics & compliance tips that can help you and your organization successfully manage & mitigate potential risk areas RS2 TBA Tuesday, 7:00–8:00 AM CASE STUDIES 7:00–8:20 AM Level: Intermediate Breakfast with Exhibitors 403 Case Study: Involving Employees to Bring your 8:20–8:30 AM Ethics & Compliance Communication Campaigns Awards Presentation and Opening Remarks to Life Tuesday, 10:00–11:00 AM 8:30–9:30 AM Ronald Feldman, President & Creative Director, Learnings & General Compliance 3 – Why We Act: Turning Entertainments Bystanders into Moral Rebels Ula Ubani, Chief Ethics Officer, BMO Financial Group Catherine Sanderson, Professor of Psychology and Department Brendan Miller, Compliance Associate, The Federal Reserve Chair, Amherst College Bank of New York - Learn why most people are hesitant to step forward when they - Discuss the organizational benefits of involving your employees see wrongdoing in communicating and promoting ethics, compliance and the importance of speaking up - Understand why some people are moral rebels and are much less likely to hold back when they see something wrong - Case Study: Review BMO’s BMO-on-the-Street with Actions Matterly” speak up communications campaign. Discuss rationale, - Learn techniques for encouraging your workforce to step up in obstacles, logistics, and results the face of bad actions - Case Study: Review the NYC Fed’s “In-Fed-Stigate” compliance and risk awareness campaign. Discuss rationale, obstacles, 9:30–10:00 AM logistics, and results Break

10:00–11:00 AM Breakout Sessions

20 corporatecompliance.org/2020CEI Tuesday MULTI-NATIONAL/INTERNATIONAL GENERAL COMPLIANCE/HOT TOPICS Level: TBA Level: Intermediate 404 Building an International Speak-up and 407 Responsible Use of Emerging Technology Compliance Culture Tuesday, 10:00–11:00 AM Tuesday, 10:00–11:00 AM Srividhya Thiagarajan, Customer Experience and Digital Ana-Paola Capaldo Aoun, Director, Ethics & Compliance Officer, Compliance Lead, MassMutual Tech Data Alethea O’Donnell, Head of Corporate Compliance, Jannica Houben, Director, Ethics & Compliance, Tech Data MassMutual Europe - Customer expectations have shifted with companies growing Jacki Cheslow, Global Compliance Program Leader, IEEE use of data and technology. Our presentation focuses on how to help business partners with the implementation of emerging Raymond Justice, Managing Director, Justice Development technology and digital solutions in an ethical way Solutions, LLC - How to encourage business partners to ensure digital and data strategies work for all consumers. Special consideration given to maintaining a humanistic perspective so that humans and COMPLIANCE LAWYER machines collaborate to benefit customers - How to develop a Digital and Data Compliance Program, Level: Intermediate including development of Data Ethics Principles and a Digital Upskilling Curriculum 405 The Ethical, Professional and Personal Challenges of Being Both a Company’s Lawyer and its Compliance and Ethics Professional GENERAL COMPLIANCE/HOT TOPICS Tuesday, 10:00–11:00 AM Level: Intermediate Kasey T. Ingram, General Counsel & Chief Compliance Officer, ISK Americas Incorporated 408 Keep Calm, Eat Chocolate and Never Let Them Andrew Price, Senior Counsel, Google Inc. See You Sweat! Tips from the Trenches on How to Lead Your Organization Through a Crisis Gracie Renbarger, Chief Compliance Officer and General Counsel, Bazaarvoice Tuesday, 10:00–11:00 AM - Many company lawyers also serve as the Chief Compliance Officer Lisa R. Fine, Director, Compliance for the Americas, Pearson or Compliance Director. Hear practical guidance and strategies Education from experienced C&E lawyers who have navigated the dual roles Rebeka Spires, Compliance & Ethics Professional successfully - What to do when professional obligations collide and perception Michelle L. Beistle, Chief Ethics, Compliance and Privacy Officer, problems arise The Nature Conservancy - Practical tips on how to respond when your JD didn’t prepare you - Join us as we share our experiences leading our organizations for this! through various types of crises from legal violations to ethical shortcomings to #MeToo to cybersecurity and personal data breaches PRIVACY & DATA SECURITY - This session is for you if you have ever wondered what it will feel like in a crisis or if you have been in a crisis and wondered: Level Intermediate - How did we get here and how do we get out alive? Who is in charge? What were the authors of this response plan thinking 406 Our Brave New World: International Privacy when they wrote the plan? Why didn’t we practice our response and Data Security Challenges for US Based BEFORE the crisis? Organizations Tuesday, 10:00–11:00 AM Greg Walters, Associate General Counsel, Peace Corps - The Peace Corps routinely creates and accesses financial, health care and other sensitive personal data for 7,000 volunteers and thousands of employees around the world. It successfully addresses data and privacy issues with a systematic method - Attendees will learn to spot data and privacy concerns in their organizations by focusing on: employees (backgrounds, turnover, IT skill levels, etc.); types of data created; technology; training needs; oversight; stakeholders; budget; liabilities - Instructor will demonstrate the exponential growth of this area of compliance and legal practice and ask attendees to share best practices in light of expanding liabilities and compliance expectations from customers, employees and oversight regulators

corporatecompliance.org/2020CEI 21 PROFESSIONAL SKILLS DISCUSSION GROUP Level: Intermediate Level: Advanced 409 Clear, Concise, and Captivating – Tips on How DG7* Leadership Roundtable: Navigating Defining to Communicate with the C-Suite and Board of Moments in Your Compliance Career Directors Tuesday, 10:00–11:00 AM Tuesday, 10:00–11:00 AM Amii L. Barnard-Bahn, Managing Principal, Barnard-Bahn

Tuesday August Immel, Deputy Ethics Counselor, Department of Coaching & Consulting the Interior - A career in compliance is bound to include some sleepless nights. - Briefing the organization’s senior leadership is the opportunity you By nature, compliance is rooted in potential crises and situations want - all eyes on you to present compliance issues as the expert in that can be both emotionally charged and politically challenging the room. Learn how to own that role with excellent oral and written - Veteran Fortune 100 compliance executive and executive coach, skills. Seize the opportunity; do not fear it Amii Barnard-Bahn, will guide attendees to consider a range of - Rhetoric is a mandatory topic in classical education for a reason. challenging compliance scenarios that require critical strategic and By knowing what your audience needs to hear, reading their body interpersonal skills to succeed language, and focusing your presentation on key elements, your - Participate in a robust discussion of what it takes to successfully point will not only be made, it will be remembered navigate each challenge based on factors like workplace culture, a - The key to presenting your material is knowing what must be said, company’s appetite for risk and your leadership style. Identify key what can be omitted, and how to manage time, especially when leadership traits to proactively cultivate speaking with senior leadership. Learn tips on how to craft your presentation in a way that works for everyone DISCUSSION GROUP

UTILITIES & ENERGY Level: Intermediate Level: Intermediate DG8* “This is Not the Hill I’m Going to Die On” and Other Rationalizations Used by Even the Very Best 410 Investigating and Communicating Compliance Compliance Professionals. (This session Should in Far-Flung Places: Challenges with a Distributed Make You Uncomfortable) Workforce Tuesday, 10:00–11:00 AM Tuesday, 10:00–11:00 AM Steven Priest, President, Integrity Insight International Tameka Ramsey, Manager of Global Compliance & Ethics, - SCCE sessions focus a lot on shaping the behavior of employees, ConocoPhillips managers and leaders in an organization. This is right and good. Eric O. Morehead, Principal Consultant, Morehead Compliance However, what about you? As a compliance professional, you are Consulting faced with special challenges. This session focuses on you - We will explore common and not so common situations that - How to build trust with employees in remote and unique work compliance professionals face. The session will articulate the locations and how to keep them engaged in building a culture of main issues, personal and professional challenges, and how to ethics and compliance overcome them with integrity and—hopefully—a job - Barriers to expect when investigating concerns or trying to - The session will use real world cases as the foundation. Self- communicate compliance expectations in a remote location or to a reflection and discussion with your peers in small groups will distributed workforce unpack the cases - Strategies to overcome impediments to successful investigations or compliance communication plans 11:00–11:30 AM Break

* Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions. 22 corporatecompliance.org/2020CEI Tuesday 11:30 AM–12:30 PM MULTI-NATIONAL/INTERNATIONAL Breakout Sessions Level: TBA 504 Sexual Harassment and Abuse — Learning RISK from the Response from Within the United Level: Intermediate Nations & Other Large Organizations Tuesday, 11:30 AM–12:30 PM 501 The Risk You Don’t Know: Could Your Conflicts Cedric Bourgeois, Principal Investigator, UNESCO of Interest Process Be Creating Risk? Katrina Campbell, VP Training & Education, Global Compliance Tuesday, 11:30 AM–12:30 PM Roberto Simon, Senior Director of Policy, Americas Society Deni A. Anderson, Director, Global Compliance Operations, Council of the Americas Endeavor Chris Cazer, VP of Marketing, Steele Compliance Solutions Inc Shannon Sorrells, E&C/Employment Law Attorney, Teradata COMPLIANCE LAWYER Corporation Level: Advanced - Conflicts of interest can often be the root of many ethical and legal compliance issues. This session will explore why COI is an issue 505 Educating Your Board About Compliance Law that should be on the radar of compliance professionals Tuesday, 11:30 AM–12:30 PM - Why is it a concern to regulators, stakeholders, and compliance? Stephen G. Sozio, Partner, Jones Day - How do we train employees and what processes or technology we need in place to help employees identify and report Michael J. Elston, Assistant General Counsel and Chief potential conflicts? Compliance Officer, U.S. Postal Service - Providing an overview of recent guidance and case law related to Board oversight ETHICS - Explaining the Board’s responsibilities for ensuring compliance Level: TBA - Presenting steps the Board may take to ensure management accountability for compliance 502 TBA Tuesday, 11:30 AM–12:30 PM PRIVACY & DATA SECURITY Level: Intermediate CASE STUDIES Level: Basic 506 California Consumer Privacy Act Enforcement Update 503 Building an Employee Concerns Program Tuesday, 11:30 AM–12:30 PM Tuesday, 11:30 AM–12:30 PM Jana Terry, Attorney, Beckstead Terry PLLC Michelle Cantu, Ethics Manager, Triad National Security, LLC - The final CCPA regulations (published in Summer 2020) contain requirements that go beyond the CCPA itself. We will - Planning: What steps should you take before implementing your cover the highlights and provide action items for ensuring Employee Concerns Program (ECP)? that your CCPA program complies with both the law and the - Resources: What resources are needed to have a successful regulations ECP? - July 2020 was the first month that the California Attorney General - Communication: How to communicate and advertise your ECP? could enforce the CCPA. This session will provide information regarding the AG’s enforcement actions and how they reveal enforcement priorities - How have plaintiff’s lawyers reacted to the CCPA’s private right of action? This session will update you on the individual and class action lawsuits filed to date and identify ways that you can shore up your CCPA program to reduce the risk of litigation

corporatecompliance.org/2020CEI 23 GENERAL COMPLIANCE/HOT TOPICS UTILITIES & ENERGY Level: Intermediate Level: Advanced 507 Does All This Really Work? 510 Leveraging Culture at Utility and Energy Tuesday, 11:30 AM–12:30 PM Companies Marjorie W. Doyle, Marjorie Doyle & Associates, LLC Tuesday, 11:30 AM–12:30 PM Art R. Weiss, Chief Compliance & Ethics Officer, TAMKO Building Alistair Raymond, Vice President & Chief Compliance Officer, Tuesday Products LLC, SCCE & HCCA President Avangrid - Is My Compliance and Ethics Program Making a Difference? Alex Tait, Chief Compliance Officer, Avangrid Renewables - What Will Enforcement Think of My Program? Andrew Jacobs, Chief Compliance Officer, Avangrid Networks - Has My Compliance and Ethics Program Had a Positive Effect on - Stakeholders are demanding that companies change the way they My Organization’s Culture? behave as a result of scandals and evolving values - Energy companies, and in particular utilities, face cultural challenges in areas such as ageing workforce demographics, GENERAL COMPLIANCE/HOT TOPICS embedded labor practices, increased diversity across service geographies, and a traditional risk aversion to change Level: Basic - Learn about the formal and informal systems that shape culture and conduct, including industry trends, recent behavioral science 508 Recession-proof Your Career TODAY! research, and practical solutions Tuesday, 11:30 AM–12:30 PM

Samantha Kelen, Chief Ethics and Compliance Officer, Cardinal DISCUSSION GROUP Innovations Healthcare Lisa Beth Lentini Walker, CEO and Founder, Lumen Worldwide Level: Advanced Endeavors DG9* Cultures of Integrity - We Know What They Are - 2020 has been more challenging than most would have imagined, but there are key techniques available to you right now to make and What They Should Look Like, But How Do We yourself more marketable, less dispensable, and more resilient Get There? - Join us to learn the tips and techniques that can make your career Tuesday, 11:30 AM–12:30 PM soar- in good times and the rest of the time Jonathan Turner, VP, Compliance, Smith & Nephew - You will learn habits that will serve you for a lifetime, actionable insights to guide you, and how to fill the gaps Julie Basha, Associate Compliance Specialist, Fresenius Medical Care NA - Discussion of the elements of behaviors that define a good culture. PROFESSIONAL SKILLS Your Compliance Week is not enough to shape culture. Join us for initiatives that have long term positive effects to embed a culture of Level: Advanced integrity into the DNA of your business - Mood in the Middle: learn about data points that will get middle 509 Considering Consulting or Starting Your Own management to buy into demonstrating a culture of compliance Compliance Business? What to do NOW to Prepare and integrity for Success - Examples of what other companies just like yours are doing to Tuesday, 11:30 AM–12:30 PM build and establish a strong culture. These are cost effective and immediately actionable take-aways for you to apply as soon as you Joseph E. Murphy, Senior Advisor, Compliance Strategists get back from the conference! Kirsten Liston, Founder & Principal, Rethink Compliance Kristy Grant-Hart, Founder & CEO, Spark Compliance Consulting - Ever considered going into consulting or starting your own company? Learn the steps you can take NOW to prepare - Use writing, speaking and networking to raise your profile, advance your career, or launch your business - Learn how to master the business fundamentals (e.g., sales, finance, company structure) and how to choose the right mentors, partners and champions (because going out on your own doesn’t mean “alone”)

* Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for 24 corporatecompliance.org/2020CEI these sessions. Tuesday DISCUSSION GROUP ETHICS Level: Intermediate Level: Advanced DG10* Identifying Personnel Needs and Leveraging 602 Talent Management and Ethics Outreach: Varied Skill Sets to Staff an Effective Compliance How Lockheed Martin Reaches out to Future Department Engineers Tuesday, 11:30 AM–12:30 PM Tuesday, 2:00–3:00 PM Martha Radocy, Manager, Ethics & Compliance, Diaego David Gebler, Senior Manager, Ethics Engagement, Felipe Maldonado Garcia, Ethics and Compliance Director, Lockheed Martin Americas, Stericycle, Inc. Blair C. Marks, Vice President, Ethics and Business Conduct, Gregory Bates, Counsel, Miller & Chevalier Lockheed Martin - Align the compliance programs staffing needs with the - Participants will explore the importance and benefits of a defined organization’s commercial strategy and risk assessment academic engagement program - Align the compliance programs staffing needs with the - The discussion will include a review of academic outreach organization’s commercial strategy and risk assessment. Evaluate programs, such as case competitions and on-campus speaking the compliance programs personnel needs versus existing engagements resources to identify strengths, weaknesses, opportunities, - We will examine ways to partner with professionals in the talent and threats management and university relations organizations - Consider various ways to fill resource gaps, including providing employee growth opportunities, repurposing team members, and leveraging employees outside the core Compliance department to CASE STUDIES achieve program effectiveness Level: Intermediate 12:30–1:15 PM 603 How to Conduct a Compliance Program Self- Lunch Assessment Tuesday, 2:00–3:00 PM 1:15–2:00 PM Dessert with Exhibitors Danielle E. Herrick, Vice President, Compliance & Privacy, EMPLOYERS 2:00–3:00 PM Erin Daly, Strategy & Special Projects, U.S. Compliance, MetLife Breakout Sessions - What is a compliance program self-assessment, why is it important and how can it be used? - How to develop and conduct a compliance program self-assessment RISK - How to measure your program’s progress over time Level: Basic 601 So Much Risk, So Little Time: How to Conduct a MULTI-NATIONAL/INTERNATIONAL Risk Assessment that Provides Actionable Insights Level: TBA Tuesday, 2:00–3:00 PM Alyssa Senzel, Deputy General Counsel & Compliance Officer, 604 The Challenges of Data Protection and Privacy: Blackboard Inc. GDPR, Brazil DP Law, Japan DP Law Michelle L. Beistle, Chief Ethics, Compliance and Privacy Officer, Tuesday, 2:00–3:00 PM The Nature Conservancy Scott Giordano, V.P. and Sr. Counsel, Privacy and Compliance, - Ask 100 Compliance Officers how they measure risk and you will Spirion likely get 100 different answers! If you listen closely, you will find common themes and, sometimes, common methods - In this session, we will share our lessons learned from years of conducting risk assessments at for-profit and not-for- profit entities, from broad enterprise risk to more targeted assessments,(e.g., fraud, anti-bribery and corruption) - We will provide practical advice for designing and implementing a risk assessment that results in actionable information for your organization to make informed risk appetite determinations and identify strategies to mitigate risks appropriately

corporatecompliance.org/2020CEI 25 COMPLIANCE LAWYER GENERAL COMPLIANCE/HOT TOPICS Level: Basic Level: Advanced 605 Individual Accountability for Corporate 608 Ethics & Compliance Training is the Worst! Wrongdoing Two Creative Agencies Share Some Different Ideas Tuesday, 2:00–3:00 PM and Options Joel-lyn A. McCormick, Assistant United States Attorney, Tuesday, 2:00–3:00 PM

Tuesday Department of Justice Ricardo P. Pellafone, Founder, Broadcat - A discussion of what prosecutor’s review and consider when Ronald Feldman, President & Creative Director, Learnings & determining whether to charge a corporate entity. The presentation Entertainments will discuss the federal principles of prosecution of business organizations and corporate management - Why check-the-box Ethics & Compliance training is terrible…and why this is okay - Application of sentencing guidelines will focus on what features within a compliance program are most favorable to the - We will review alternative creative programming options that may corporation under the advisory sentencing guidelines be a better, more efficient use of your time and money - Building a Prosecution Proof Compliance Program—this part of the - Use the right tool for the job. We’ll review different types of E&C presentation will provide an interactive exercise for participants programming and discuss which creative techniques work best for to outline and develop a model compliance program which functions

PRIVACY & DATA SECURITY PROFESSIONAL SKILLS Level: Basic Level: Intermediate 606 Three Idiots: The Breach Response That 609 The 7 Habits of an Effective Compliance & Goes Wrong Ethics Professional Tuesday, 2:00–3:00 PM Tuesday, 2:00–3:00 PM Jay Johnson, Partner, Jones Day Daniel Roach, Chief Compliance Officer, Optum360 Shamoil Shipchandler, Partner, Jones Day - Understanding the compliance and ethics challenge Chad Pinson, President of Engagement Management, Stroz - Positioning yourself for success as a compliance and ethics professional Friedberg - Key drivers of effectiveness - Through role playing and heavy audience involvement, the panel will provide a lighthearted look at common mistakes and misunderstandings by a hypothetical company in responding to a security incident, through the eyes of the CEO, GC, and CISO UTILITIES & ENERGY - The presentation will review best practices for conducting an Level: Basic investigation; internal and external PR issues; preservation, privilege and other litigation issues; and effectively interfacing with 610 Making Compliance and Ethics Relevant: external constituents Perspectives from the Utilities Industry - The panelists will recap each poor decision made by the “three idiots” and outline a better course Tuesday, 2:00–3:00 PM Natalie Walker, Chief Compliance and Ethics Officer, Washington Gas GENERAL COMPLIANCE/HOT TOPICS Angelique P. Dorsey, Ethics Officer, Washington Suburban Level: Intermediate Sanitary Commission - Successful compliance program tips for organizations where the 607 Whistleblowers, Incident Management & risks are localized, but significant; there is exposure from state and Training: The Trifecta for Creating an Effective local regulators and elected officials; and there is direct impact from Speak-Up Culture customer complaints Tuesday, 2:00–3:00 PM - Practical and effective ways to demonstrate the importance of compliance and ethics to all employees, especially those who do Tony Charles, Chief Client Officer, Steele Compliance not have office jobs Solutions Inc. - Ways to leverage the utilities industry’s safety-oriented culture to Joshua Toas, Chief Compliance Officer, The Research heighten the prominence of organizational core values and the Foundation for SUNY Code of Conduct - This panel will present some case studies/best practices from clients on what elements companies are using to promote a speak-up culture - How is training and attestation used as support? What role does a strong incident management program have? - Why is just providing a hotline not enough? And what impacts have these changes had on their compliance efforts? * Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions. 26 corporatecompliance.org/2020CEI Tuesday DISCUSSION GROUP ETHICS Level: TBA Level: Intermediate DG11* TBA 702 The Ethical Leadership Model: How to Turn Tuesday, 2:00–3:00 PM Tone at the Top into a Measurable Program Element Speaker TBA Tuesday, 3:30–4:30 PM Brian W. Beeghly, Co-Founder and CEO, informed360 LLC - Many companies today take “Tone at the Top” for granted. So DISCUSSION GROUP long as the CEO appears on the Code of Conduct and talks about “integrity” at the annual town hall meeting, an ethical culture is Level: Intermediate assumed to be present DG12* Whistleblowers and Retaliation: What Can - In fact, an “ethical culture” takes more than just “Tone at the Top.” It takes an understanding of behavioral psychology and the explicit We Do to Assure the Identity of Known Reporters qualities of an “ethical leader” of Misconduct are Kept Confidential and Protected - The Ethical Leadership Model provides compliance teams with the from Retaliation framework to hold leaders accountable for an ethical culture. What Tuesday, 2:00–3:00 PM is an Ethical Leader and how can companies assess a leader’s ethical performance? Albert G. Gagne, Former Director Ethics & Compliance, Retired - The group will explore the difference between real and perceived retaliation along with addressing concerns raised by those who CASE STUDIES believe they are being subjected to retaliation Level: Intermediate - Through a series of questions, the group will identify how they are addressing retaliation in their respective organizations and sharing what works and what doesn’t 703 Transform Your Policies: A (Relatively) Pain- - Well also explore how effective employee education and Free Guide communication initiatives can promote speak-up cultures and Tuesday, 3:30–4:30 PM how such a culture can minimize and even eliminate the potential for retaliation Andrea M. Falcione, Principal & Head of Advisory Services, Rethink Compliance 3:00–3:30 PM Desiree Ramirez, Chief Compliance & Integrity Officer, Break UNT Health Science Center - Building on momentum from its digital Code of Culture initiative, University of North Texas Health Science Center (UNTHSC) 3:30–4:30 PM embarked upon a policy transformation journey to fundamentally Breakout Sessions change its approach to policy management - Learn about UNTHSCs mandate to decrease the number of its policies from 425 to a more manageable 90 (or so!) RISK - Hear how UNTHSC evaluated its existing policy inventory and policy management process and then crafted and executed on a Level: Intermediate massive policy transformation plan 701 Anti-Bribery Risk Assessments: Measuring Business Bribery Risk, Updating Procedures and MULTI-NATIONAL/INTERNATIONAL Making Program Modifications Level: TBA Tuesday, 3:30–4:30 PM Alexandra Wrage, President, TRACE 704 State of the Union: Compliance Risk in Africa and the Middle East Daniel Seltzer, Sr Dir of Anti-Corruption & Government Compliance, Accenture Tuesday, 3:30–4:30 PM - How to scope a global risk assessment and identify your most Stephan Lutz, Compliance Officer, Daimler Commercial Vehicle significant risk areas MENA and Africa - Developing an effective workplan for conducting risk assessments, Letitia Adu-Ampoma, Director, Peverett Maxwell (Africa) mapping risks and updating procedures to detect new vulnerabilities - Executing on plan to mitigate issues identified via risk assessment and updating procedures

corporatecompliance.org/2020CEI 27 COMPLIANCE LAWYER GENERAL COMPLIANCE/HOT TOPICS Level: Intermediate Level: Intermediate 705 Antitrust Compliance: What Does the 708 Your Acquisition Has Closed—Now What? Government Really Want? New Frontiers in Post-Close Compliance Diligence Tuesday, 3:30–4:30 PM and Integration Christian E. Liipfert, Counsel, Scharf Banks Marmor LLC Tuesday, 3:30–4:30 PM Tuesday Theodore L. Banks, Partner, Scharf Banks Marmor LLC Irina Dragulev, Assistant General Counsel, Pfizer Inc. - What are some of the surprising requirements/hidden traps in the Louis Ramos, Partner, DLA Piper Antitrust Division Compliance Guide, and how will government Parth Chanda, CEO, Lextegrity enforcers/compliance monitors respond to programs that purport to follow that Guide and the Federal Sentencing Guidelines - What are regulator expectations globally on post-close diligence and integration and how do you coordinate and prioritize diligence - While checking all the boxes of the government guidelines, and integration work across multiple risk domains in line with those what techniques are most likely to actually work in your expectations? corporate setting - How can you leverage data analytics to accelerate post-closing - What are some of the requirements in the two dozen compliance diligence to uncover and remediate problem areas as other countries that have published antitrust or general soon as possible? compliance guidelines? - How do you leverage scalable technologies to incorporate effective internal controls into the acquired entity as quickly and PRIVACY & DATA SECURITY cost-effectively as possible? Level: Intermediate PROFESSIONAL SKILLS 706 What Red Adair Teaches us About Level: Intermediate Cybersecurity Tuesday, 3:30–4:30 PM 709 Inquiring Minds Want to Know: The Ins and Jonathan P. Armstrong, Partner, Cordery (UK) Outs of the Hiring Process - Advanced learning from the latest data breach incidents Tuesday, 3:30–4:30 PM - How to reassess your current practices & raise your risk Michael R. Levin, Vice President, Compliance & Ethics, level calculations Freddie Mac - Glean insights from enforcement actions and regulatory - If you are new to the compliance industry, have been at your comments current company for more than five years, or are just curious this session will provide an overview of a typical hiring process and expectations post hire GENERAL COMPLIANCE/HOT TOPICS - In this session, seasoned compliance officers will provide insight into what they look for when screening resumes, while conducting Level: TBA the initial candidate interview, and during the final interview - The session will also include perspectives from the candidates’ 707 TBA point of view, including preparation techniques and offer Tuesday, 3:30–4:30 PM negotiations. Attendees will leave learning how to better market themselves and how to ensure success in year one and beyond

UTILITIES & ENERGY Level: Advanced 710 Overview: SEC Resource Extraction Rule Tuesday, 3:30–4:30 PM Michael Hazel, Counsel, WilmerHale - Learn about what these rules, nearly a decade in the making, are and how they could impact your company - Discuss how relevant companies can prepare for the rules - Practical tips on complying with the new rules

* Discussion Groups will be filled on a first-come, first-served basis. Attendance is limited to the first 50 attendees. Pre-registration is not available for these sessions. 28 corporatecompliance.org/2020CEI Wednesday DISCUSSION GROUP Wednesday, September 16 Level: Advanced 7:00 AM–12:15 PM DG13* The Trouble with Moral Relativism Conference Registration Tuesday, 3:30–4:30 PM Jason B. Meyer, President, LeadGood, LLC 7:15–8:15 AM - In an environment of self-confirming information bubbles, finger- Rooster Sessions pointing and hyper-partisanship, is there a risk of erosion of the bedrock upon which we work: shared core values? GENERAL COMPLIANCE/HOT TOPICS - While research says some younger people are more likely to greet moral issues with an attitude of “Whom am I to judge?”, others may indulge in the “cancel culture.” What does this mean for Level: Intermediate compliance? RS3 Managing Investigations Before They Start: - How does the language of ethics and compliance training, communications, and leadership need to adjust to tribalism and Organizing an Effective Investigation Process decreased engagement with any ethical polestar? through Thoughtful Preparation Wednesday, 7:15–8:15 AM DISCUSSION GROUP Michael Ortwein, Lead Counsel - Special Investigations & Compliance, General Motors Level: Intermediate Marianne Ibrahim, Director, Global Compliance, Baker Hughes, a GE Company DG14* Successful Engagement to Seamless Integration: Advancing your Compliance Program Daniel Wendt, Member, Miller & Chevalier Tuesday, 3:30–4:30 PM - Key investments to make when starting or revamping an investigation process for multinational companies Eric M. Wilson, Compliance Manager, Helmerich & Payne - Improving investigation policies and procedures during quiet times, Krista Muszak, GS SOX Controls and Compliance, Johnson including guidelines for preparing reports, reviewing findings & Johnson across functions, and deciding on remediation and discipline - - Discuss struggles and strategies to advance your compliance Managing external counsel, forensic accountants, e-discovery program beyond the corporate walls vendors, and other providers across multiple jurisdictions before issues arise - Address methods to connect with newly hired employees or those new to “compliance sensitive” positions - Share ideas on what success looks like and how to measure it GENERAL COMPLIANCE/HOT TOPICS

4:30–4:45 PM Level: Intermediate Break RS4 Bringing Effective Ethics and Compliance Training to a Multi-generational Workforce 4:45–5:45 PM Wednesday, 7:15–8:15 AM General Session 4 – Fostering a Culture of John B. Hughes, Regional Ethics and Compliance Manager, Compliance Dragados-USA Tiffany Archer, Regional Ethics & Compliance Officer, Panasonic Lea Williams, Attorney, Co-Principal, Law Professor, Pearson Avionics Corporation Education, Inc. (Leading Employment Actions, LLC)/ TSU- Natalia Shehadeh, Senior Vice President & Chief Compliance Thurgood Marshall School of Law Officer, TechnipFMC - How to share a consistent message with a diverse multi- Susan Roberts, Chief Compliance Officer, Hollister Incorporated generational workforce. Adult learners require training that is tailored to the adult learner - What do we mean by a culture of compliance? - Why utilizing multiple training platforms is more effective than trying - What are the techniques that are truly effective for building the to shoehorn your workforce into a one size fits all training. Different right culture? generations require an approach that reaches out to them - How to keep a culture on track when there are forces seeking to - Learn from my mistakes and successes. There is no perfect solution derail it but follow along and avoid reinventing the wheel

5:45 PM Closing Remarks

corporatecompliance.org/2020CEI 29 8:30–10:00 AM CASE STUDIES Post Conference Breakout Sessions Level: Intermediate W3 Calibrating Ethics and Compliance Programs RISK Wednesday, 8:30–10:00 AM Level: Basic Grace C. Wu de Plaza, Group Head of Ethics, Ferguson - Not all ethics and compliance programs are the same. This session W1 Blending with the Federal Workforce: What will provide an overview of ethics and compliance programs from Ethics & Compliance Officers Need to Know When three different industries Providing Services to the Federal Government - Based on the companies’ profile, the speakers will cover topics Wednesday, 8:30–10:00 AM ranging from initiatives to prioritize to communication techniques to

Wednesday training styles and cadence Danica Irvine, Senior Attorney, DoD Office of General Counsel - Discussion will also include practical tips when launching a Gerard F. Amann, General Counsel, North America, Accenture new program, maturing an existing program, or re-branding a - This session will address unique compliance challenges program altogether inherent in a blended contractor/Government employee workforce, including conflicts of interest, gifts, social interactions, post-employment restrictions, and protection of data MULTI-NATIONAL/INTERNATIONAL - This is a continuously evolving landscape and we will identify Level: TBA current and developing issues while discussing best practices for risk management W4 Crystal Gazer, Magical Man: Tell the Future of - This is a “must attend” session for companies who provide services to the U.S. Government Compliance, If You Can Wednesday, 8:30–10:00 AM Louis Perold, Compliance Professional, SCCE & HCCA Non- ETHICS Officer of the Executive Committee Level: Intermediate Paul Zietsman, Global Compliance Officer, SAP MENA W2 Speak-Up Success: Training and Denis Jacob, VP, Deputy Chief Compliance Officer, Orthofix Communications to Truly Encourage Reporting and Tedra Foster, Senior Director, Ethics and Compliance, Herbalife Reduce Retaliation International of America, Inc. Wednesday, 8:30–10:00 AM Amy E. McDougal, President, CLEAResources, LLC COMPLIANCE LAWYER Jason B. Meyer, President, LeadGood, LLC Level: Intermediate - Multiple major research projects have proven that getting a workforce to report routine issues is the key not only to reducing W5 Presenting Steps the Board May Take to Ensure harassment, but to a more compliant organization overall Management Accountability for Compliance - But how? Training and communication can foster culture and move Wednesday, 8:30–10:00 AM the needle on reporting (but not if its only that 2-hour mandatory e-learning) Michelle Benavides, Assistant General Counsel, Chief of Global - Based on research and our collective experience, we’ll share Investigations and the Code of Business Conduct, Halliburton different approaches and languages that work, with the rank and Gayle E. Littleton, Jenner & Block LLP file, middle management and C-suite - Privilege Issues and the Upjohn Warnings—Do They Apply? - Tips from the Pros—Effective Interview and Investigation Techniques You Can Use Regardless of Your Experience Level - You’re Not the Bad Guy—Using Investigations to Build Relationships and Effect Change

30 corporatecompliance.org/2020CEI Wednesday GENERAL COMPLIANCE/HOT TOPICS 10:00–10:20 AM Break Level: Intermediate W6 Current Pressures in Whistleblower 10:20–11:50 AM Retaliation and the Effect on Compliance Post Conference Breakout Sessions Program Effectiveness Wednesday, 8:30–10:00 AM RISK Matt Kelly, Editor & CEO, Radical Compliance Lisa R. Fine, Dir, Compliance for the Americas, Pearson Education Level: Intermediate - Review of recent whistleblower cases, both in corporate and W9 Managing an Effective Export Compliance government proceedings and how they may impact reporting and implications of these cases on day-to-day reporters Program in a Global Market, Because Nobody - Hear about best practices for encouraging reporting of Looks Good in Day Glow Orange wrongdoing and for protecting reporters from retaliation. Bring your Wednesday, 10:20–11:50 AM experiences, questions and pressure points to the discussion Lindsay C. Cloonan, Sr Principal Int Trade Compliance Analyst, - We will also discuss situations where compliance officers have Northrop Grumman Corporation raised concerns and have to escalate them to leadership, the board or externally Salvatore J. Ceraolo, Senior Manager Export Licensing & Compliance, Northrop Grumman - We will examine the licensing and compliance requirements GENERAL COMPLIANCE/HOT TOPICS for exporting under the EAR and ITAR, beginning with proper Level: Intermediate product classification - We will examine various internal compliance controls to mitigate W7 Taking Your Code Digital: Here’s How to Do risk once Export Authorizations have been approved by the US Government It Right - We will examine some compliance monitoring processes to Wednesday, 8:30–10:00 AM mitigate risk that can be performed on an annual basis Tricia Cornell, Head of Creative Services, Rethink Compliance Andrea M. Falcione, Principal & Head of Advisory Services, ETHICS Rethink Compliance Kelleen Brennan, Associate General Counsel, Carvana Level: Basic Ritu Narula, Counsel, Schiff & Hardin W10 Current Developments in Compliance - Optimize your Code for your 21st-century, always-online audience Programs: Ethics Considerations for Compliance - Make the most of available technology, while avoiding Officers and Attorneys tech hassles Wednesday, 10:20–11:50 AM - Learn where to start, five features your Code must have, and three things you don’t need Theodore L. Banks, Partner, Scharf Banks Marmor LLC - What are the ethical considerations that face anyone involved in compliance activities, whether or not they are attorneys? INVESTIGATIONS - What are some of the recent developments over the last year, including situations where compliance officers have become Level: TBA personally liable for failures in the compliance programs they were directing? W8 Large-Scale Investigations in Multinational - How do developments in other areas, as technology, pose ethical Companies obligations that might surprise a compliance officer? Wednesday, 8:30–10:00 AM Katarzyna Golonka, Regional Compliance Manager, Tech Data Corporation Jannica Houben, Director, Ethics & Compliance, Tech Data Europe - Discuss various aspects of internal investigations; from planning through assembling the investigative team and designing investigative steps to interviews, reporting and discipline - A comprehensive analysis of the investigation process, offering the perspectives of both a lawyer/compliance officer and an external forensic expert/fraud investigator - Practical examples and mini case studies, including for areas such as interviews, data capture and analysis and the investigative team

corporatecompliance.org/2020CEI 31 CASE STUDIES GENERAL COMPLIANCE/HOT TOPICS Level: TBA Level: Intermediate W11 TBA W14 Artificial Intelligence in Compliance: Myths Wednesday, 10:20–11:50 AM and Reality Wednesday, 10:20–11:50 AM Allan Matheson, Chief Executive Officer, Blue Umbrella MULTI-NATIONAL/INTERNATIONAL - Specific challenges to the implementation of AI Level: TBA - Which technologies are best suited to specific parts of compliance workflows W12 Global Compliance Training: What Works - From conception to reality, what is achievable and palatable? Wednesday Across Borders? Wednesday, 10:20–11:50 AM GENERAL COMPLIANCE/HOT TOPICS Rachel Batykefer, Senior Director, Global Compliance, Teva Pharmaceuticals Level: Intermediate Suzan McGinnis, Senior Director, Advisory Services, Rethink Wednesday, 10:20–11:50 AM Compliance W15 Internal Accounting Controls and Internal Compliance Controls: What Public Companies Need COMPLIANCE LAWYER to Know for Anti-Corruption, Sanctions, and Anti- Level: Basic Money Laundering Compliance Programs Wednesday, 10:20–11:50 AM W13 Compliance, Ethics and Crisis Management: Daniel Wendt, Member, Miller & Chevalier Helping Your Organization Navigate in Challenging Times - Background on the FCPAs accounting provisions, including the requirement for public companies to maintain internal Wednesday, 10:20–11:50 AM accounting controls Larry Parsons, Senior Vice President and General Counsel, - A review of the internal accounting control failures noted in McLane Company, Inc. recent DOJ and SEC resolutions, including FCPA issues, but also sanctions, commercial bribery, and money laundering Carol Dunnigan, SVP, People & Culture, Compeat, Inc. - Practical guidance for compliance and legal professionals at public Kate Arthur, Director, Compliance & Ethics, McLane Company, Inc. companies for working across functions within companies to establish functioning internal controls that implement compliance - Assessing, prioritizing, and planning for the challenges your programs and minimize risk of SEC enforcement organization is facing - Developing legal, communications and staffing strategies with compliance and ethics top of mind INVESTIGATIONS - Communicating with the Board, senior leaders, employees, and others Level: TBA W16 TBA Wednesday, 10:20–11:50 AM

12:45 PM Check-In for CCEP and CCEP-I Certification Exams

1:00–4:30 PM Certified Compliance & Ethics Professional (CCEP)® Exam

1:00–5:00 PM Certified Compliance & Ethics Professional — International (CCEP-I)® Exam

32 corporatecompliance.org/2020CEI Details Compliance & Ethics Institute • September 13–16, 2020 • Grapevine, TX

Hotel & conference location Terms and Conditions Continuing Education Gaylord Texan Resort and By submitting this registration, you agree SCCE is in the process of applying for Convention Center, to the full Terms and Conditions, including additional external continuing education 1501 Gaylord Trail, the use of your information, and SCCE’s units (CEUs). Should overall number of Grapevine, TX 76051, US privacy policy which can be found at education hours decrease or increase, Online reservations: bit.ly/cei-2020 corporatecompliance.org/2020cei. the maximum number of CEUs available will be changed accordingly. Credits are are as listed and SCCE has contract a room block rate of Registration fees assessed based on actual attendance considered net of any local withholding $259.00 per night for a standard room; and credit type requested. rates quoted include all mandatory guest taxes applicable in your country of sleeping room rates including resort residence. All prices are subject to Approval quantities and types vary by fees but exclusive of applicable sales/ change. SCCE will charge your credit card state or certifying body. For entities that room tax (currently 13% per room per the correct amount should your total be have granted prior approval for this event, night and subject to change). The rate miscalculated. credits will be awarded in accordance does not include housekeeping gratuities with their requirements. CEU totals are Group Discounts are available and other gratuities that are at individual subject to change. discretion. for multiple people from the same organization attending an event. Upon request, if there is sufficient When making your Discounts take effect the day a group time and we are able to meet their reservations via telephone, reaches the discount number of requirements, SCCE may submit this 1-877-491-5138 and reference SOCIETY registrants. Please send registration forms course to additional states or entities OF CORPORATE COMPLIANCE AND together to ensure that the discount is for consideration. Only requests ETHICS to receive the special rate. applied. A separate registration form is from registered attendees will be Cancellations made within 72 hours of required for each registrant. The group considered. If you would like to make arrival will forfeit one night’s room and tax. discount is NOT available through online a request, please contact us at +1 registration. Note that discounts will 952.933.4977 or 888.277.4977 or email PLEASE NOTE: Neither SCCE nor any NOT be applied retroactively if more [email protected]. hotel it is affiliated with will ever contact registrants are added at a later date, but you to make a hotel reservation. If you To see the most up-to-date new registrants will receive the group receive a call soliciting reservations CEU information go to SCCE’s discount. on behalf of SCCE or the event, it is website, corporatecompliance/all- likely from a room poacher and may be Cancellation/Substitutions. Refunds will conferences. Select your conference, and fraudulent. We recommend you make not be issued. You may send a substitute then select the “Continuing Education” reservations directly with the hotel in your place or request a conference option on the left hand menu. using the phone number or web link credit. Conference credits are issued in in this brochure. If you have concerns the full amount of the registration fees Compliance Certification Board (CCB)®: or questions, please call SCCE at CCB has awarded a maximum of paid, and will expire 12 months from the 21.6 +1 952.933.4977 or 888.277.4977. CEUs for these certifications: Certified date of the original, canceled event. in Healthcare Compliance (CHC)®, Conference credits may be used toward Certified in Healthcare Compliance– any SCCE service or product. If a credit Fellow (CHC-F)®, Certified in Healthcare is applied toward an event, the event Privacy Compliance (CHPC®), Certified must take place prior to the credit’s in Healthcare Research Compliance expiration date. If you need to cancel (CHRC)®, Certified Compliance & your participation or send a substitute, Ethics Professional (CCEP)®, Certified notification is required by email, sent to Compliance & Ethics Professional–Fellow helpteam @ corporatecompliance.org, (CCEP-F)®, Certified Compliance & Ethics prior to the start date of the event. Professional–International (CCEP-I)®. Special Needs/Concerns. Prior to your arrival, please call SCCE at Daily Breakdown: +1 952.933.4977 or 888.277.4977 if Sunday | 7.2 CCB CEUs you have a special need and require accommodation to participate. Monday | 3.6 CCB CEUs Tuesday | 6.0 CCB CEUs Wednesday | 4.8 CCB CEUs *Totals subject to change

corporatecompliance.org/2020CEI 33 19th Annual Compliance & Ethics Institute September 13–16, 2020 • Grapevine, TX

Contact Information Registration Fees Before On/Before After 6/23/20 8/18/20 8/18/20 Mr Mrs Ms Dr Member (Monday & Tuesday) $1,199 $1,249 $1,299 Non-Member (Monday & Tuesday) $1,499 $1,549 $1,599 Registration + First-Time Membership* $1,419 $1,469 $1,519 Member/Account ID (if known) Pre-Conference (Sunday Morning) FREE** $175 $195 Pre-Conference (Sunday Afternoon) FREE** $175 $195 Post-Conference (Wednesday) FREE** $175 $195 First Name MI Last Name Group Discount for 5–9 Attendees ($100) ($100) ($100) Group Discount for 10 or More ($150) ($150) ($150) *Save by joining today (first time members only). Dues renew at $325. Credentials (CHC, CCEP, etc.) **Free only with paid Monday and Tuesday conference registration. TOTAL $

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