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Cutting-Edge Issues in Compliance and Business Conduct

 

May 28, 2008

Santa Clara University

Santa Clara, California

 

Hosted by:

 

Bay Area Ethics and Compliance Association (BECA)

 

The Business & Organizational Ethics Partnership, Markkula Center for Applied Ethics, Santa Clara University

 

Ethics and Compliance Officer Association (ECOA) 

 

“Cutting-Edge Issues in Compliance and Business Conduct”  is a one-day forum addressing current ethics and legal issues for corporations and other organizations. 

 

The forum features several panel sessions on subjects ranging from board oversight of ethics and compliance programs to the growing use of deferred prosecution agreements and federal monitors. The program occurs in the California Mission Room (downstairs in Benson Memorial Center). The day’s registration fee is $100, which includes continental breakfast and a sit-down lunch. California CLE credit will be offered. For parking, simply mention “BECA” to the guard as you enter campus. 

 

For more information, call Tim C. Mazur at 781-647-9333 or e-mail him at tmazur@theecoa.org.

 

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Forum Agenda:

 

7:30 a.m. – 8:30 a.m. | Continental breakfast

 

8:30 a.m. - 9:15 a.m. | Welcome and opening remarks

 

Welcome by

Juana Schurman, Chair, BECA

Tim Mazur, Chief Operating Officer, ECOA

Kirk Hanson, Executive Director, Markkula Center for Applied Ethics, and SCU University

Professor of Organizations & Society

 

Opening remarks by

Michael Horowitz, Partner, Cadwalader Wickersham & Taft LLP and Commissioner, United States Sentencing Commission

 

 

9:15 a.m. – 10:30 a.m. | International Anti-Corruption Statutes & the FCPA

 

Business is increasingly international. This panel will discuss cutting-edge issues in anti-bribery regulations and enforcement, including:

 

• China – Taking enforcement more seriously

 

• Managing a corporate program – Different approaches to managing international risks and providing training

 

• What are the biggest anti-corruption risks?

 

• Chiquita Brands International plea bargain

 

• Books and records provisions for reporting – Best practices

 

Moderator:

- Michael Horowitz, Partner, Cadwalader Wickersham & Taft LLP and Commissioner, United States Sentencing Commission

 

Panel members:

- Nancy Zucker Boswell, President and CEO, Transparency International - U.S.A.

 

- Marjorie Doyle, Global Practice Leader, Ethics & Compliance Solutions LRN

 

- Bob Mattson, Partner, Morrison & Foerster

 

 

10:30 a.m. - 11:00 a.m. | Break

 

 

11:00 a.m. - 12:15 p.m. | The Roles, Responsibilities, and Challenges of Corporate Gatekeepers

 

Gatekeepers include CFOs, General Counsels, Audit Committee Chairs, Compliance Officers, Business Conduct /Ethics Officers, and others. This panel will address:

 

• Roles, responsibilities, and risks associated with being a gatekeeper

 

• Specific challenges of Ethics, Compliance, and Business Conduct Officers as gatekeepers

 

• As a gatekeeper, who are your key allies? How do you build these relationships?

 

• As a gatekeeper, when must you leave a company? What are your professional obligations?

 

Moderator:

- Kirk Hanson, Executive Director, Markkula Center for Applied Ethics, and SCU University

  Professor of Organizations & Society

 

Panel members:

- Marty Collins, Novellus Senior Vice President and General Counsel

 

- Darryl Rains, Partner, Morrison & Foerster

 

- Kevin C. Schick, Con-way Senior Vice President and Chief Financial Officer

 

- Jon Hoak, Hewlett-Packard VP and Chief Ethics & Compliance Officer

 

 

12:15 p.m. - 1:00 p.m.  | Lunch

 

 

1:00 p.m. -2:15 p.m. | Board Oversight of Compliance and Business Conduct Programs

 

This panel will address:

• The perspective of board members, law firms, and prosecutors.

 

• What are board members asking for? What do board members view as best practices?

 

• What  is or isn’t working?

 

• What are prosecutors looking for?

 

• What are best practices for interactions between the board and those managing an ethics, compliance, or business conduct program?

 

Moderator:

- Win Swenson, Partner, Compliance Systems Legal Group; and former Deputy General

   Counsel of the U.S. Sentencing Commission

 

Panel members:

- Bob Finocchio, Jr., Board Member of Altera, Sun Microsystems, and Echelon Corp.;

  Executive Professor of Business at SCU; former CEO of Informix

 

- Anthony R. Muller, former board member of Symyx Technologies and Webex

  Communications; Executive Vice President and Chief Financial Officer of JDS Uniphase

  Corporation 

 

- Dr. C.S. Park, Board Member of Seagate and Computer Sciences Corp.;

  former CEO of Maxtor

 

 

2:15 p.m.  – 2:45 p.m. | Break

 

 

2:45 p.m  – 4:00 p.m. | Deferred Prosecution Agreements and Federal Monitors

 

This panel will address:

• When are deferred prosecution agreements implemented?

 

• How do these agreements work?

 

• How can DPAs be avoided?

 

• How do you manage a business while under a DPA?

 

• Discussions of existing agreements

 

Moderator:

- Bill Prachar, Partner, Compliance Systems Legal Group

 

Panel members:

- Leslie Caldwell, Partner, Morgan, Lewis and Bockius; and former Director of the Department

  of Justice's  Enron Task Force

 

- Bart M. Schwartz, Counselor at Law; previously served as the Qualified Authority to report to

  the court on HP’s compliance with the consent decree following their 2006 Board

  investigation scandal; also previously served under U.S. Attorney Rudolph Giuliani as Chief of

  the Criminal Division in the Southern District of New York

 

- Win Swenson, Partner, Compliance Systems Legal Group; and former Deputy General

  Counsel of the U.S. Sentencing Commission

 

4:00 p.m  – 4:15 p.m. | Review and evaluation

 

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“Cutting-Edge Issues in Compliance and Business Conduct”  is being co-sponsored by the fine organizations listed below, who are investing in our future by bringing ethical cultures to the forefronts of corporate identities.

 

• Accenture

 

• Cisco Systems

 

• Google

 

• Hewlett-Packard

 

• Intuit

 

• Morrison & Foerster

 

• Oracle

 

• PricewaterhouseCoopers

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California CLE credit will be offered.

 

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