Things To Do, Places To Go, People To See: Compliance Week Annual Conference 2009


Most of my preparations for being away next week are completed.  Favorite navy and black clothes picked up from the drycleaners, shoes (all my black and patent stilettos) picked up from shoe repair. Rosie Rott will be visiting her cousin, Murray the Black Lab, down on the southside with a few meatballs from my mom, hopefully, thrown in for good measure. Tomorrow I’ll grab up a few more things and finish making myself beautiful in anticipation of lots of public time and many, many photographs.

It’s not easy when you’re an introvert to contemplate a week full of talking, smiling, eating, and drinking, all in the luxurious confines of the Mayflower Hotel.  But…well…I will try to work up some enthusiasm. 😉

I’m heading out Monday night, with a day to myself on Tuesday to see friends, stop in to the Newseum, and, perhaps, stop by and wave hello to my President.  Then we get started bright and early on Wednesday with the conference.

I’ve been reviewing the agenda for the Compliance Week Annual Conference and have made some preliminary selections where there is a choice.  There are some favorite speakers, some necessary speakers, and some friends on the agenda. They will also repeat the closed door “Conversations” which are closed to media, my official designation.  I may buy a pair of funny sunglasses, flat shoes, and a wig and see if I can sneak in to one or two… I’ll reserve the right to change my mind on this agenda, but here’s my tentative schedule for the three days.

(My choices are in dark blue.)



8:45 a.m.


SEC Commissioner Aguilar on the Regulatory Agenda: Luis A. Aguilar will provide an update on critical regulatory issues for public companies.


9:30 a.m.

Networking Break


10:00 a.m.

Making Do Under Extreme Duress: Fannie Mae Chief Compliance Officer Bill Senhauser will discuss the immense challenges his firm has encountered during the credit crisis, and how he (and you) can restore trust both inside and outside the company.

Vetting Business Partners: Alexandra Wrage of TRACE International will explore how leading companies have approached the challenge in a global economy.

Implementation Case Study—Embracing a Common, Integrated Approach to Audit, Risk and Compliance: Computershare’s Head of Global Enterprise Risk Management and Internal Audit, Susan Panzer, joined by Mike Rost, Vice President of Marketing at Paisley, a Thomson Reuters company, will share her experience in implementing an integrated approach to audit, risk and compliance. 

CONVERSATIONRecent Trends in FCPA-Focused Due Diligence in the Pre-Acquisition Context: KPMG Partner Rocco deGrasse and Office Depot’s Chief Compliance Officer Bob Brewer 

CONVERSATIONSmall-Company Compliance: Comverse Technology Chief Compliance Officer David Frishkorn, and MedicalEdge Healthcare Group VP Governance and Compliance José Tabuena.

CONVERSATIONPrivacy: Balancing Requirements & Risk: Dun & Bradstreet’s Chief Compliance and Privacy Officer K.C. Turan will lead a small group, off-the-record discussion…



11:30 a.m.

So You Think You Know the SEC…Former SEC Deputy Chief Accountant and Compliance Week Columnist Scott Taub offers the “top 10” things you think you know about the SEC, and why you’re wrong.

Integrated Compliance Frameworks for Privacy, Security and Identity Theft Prevention: PricewaterhouseCoopers’ Practice Leader for Privacy Compliance & Identity Theft James Koenig, and Schering-Plough Corporation’s Sr. Director, Global Privacy Dean Forbes.

Self Assessments: Criteria and Procedures for Evaluating GRC Programs: With Dell VP, Chief Ethics & Compliance Officer Gracie Fisher Renbarger, Staples VP Business Ethics Nan Stout, and Carole Stern Switzer, President of the Open Compliance and Ethics Group.

CONVERSATIONRestoring Trust Inside and Outside the Company: Fannie Mae Chief Compliance Officer Bill Senhauser will host a more intimate, small-group conversation…

CONVERSATIONYour Anti-Bribery Challenges: Interactive Country-Based Scenarios: As a follow-up to her 10 a.m. session, TRACE International President Alexandra Wrage and Director of Member Services Anne Richardson

CONVERSATIONEmbracing a Common, Integrated Approach to Audit, Risk and Compliance: Computershare’s Head of Global Enterprise Risk Management and Internal Audit, Susan Panzer, joined by Mike Rost, Vice President of Marketing at Paisley


2:00 p.m.


Financial Regulatory Reform, The Recession, And The Importance of a New Culture of Compliance: Newly named FINRA Chairman and CEO Richard Ketchum will offer his observations about the current economic environment, and emphasize the critical need to build a new culture of compliance amid historic lows in investor trust and confidence. He will also explore the financial regulatory reform efforts currently underway, as well as the lessons learned from the market volatility and credit crisis.


3:00 p.m.

Starting an ERM Program from Square One: Eastman Kodak Chief Compliance Officer Patrick Sheller will share his company’s lessons on embarking on an ERM program…

To Guide or Not to Guide: NIRI CEO Jeff Morgan will explore trends in guidance, strategies, metrics, and narratives, with MasterCard VP Investor Relations Barbara Gasper, and Deltek VP Investor Relations David Spille.

Proactive Risk and Compliance Strategies for Uncertain Times: Under uncertain economic times, organizations struggle to meet stringent regulatory demands while containing costs and managing risk. Internal controls may be compromised by staff turnover and restructuring, a situation ripe for risks to emerge undetected. Join Robert Singleton, Internal Audit Manager at Intuit, and Karen dela Torre, Oracle Senior Director of Product Marketing, as they explore recession-proof strategies to support your GRC objectives, discuss the critical elements for an enterprise GRC platform, and examine the ROI Intuit achieved from GRC automation.

CONVERSATIONCurrent Accounting Developments: Former SEC Deputy Chief Accountant and Compliance Week Columnist Scott Taub will lead a small-group conversation…

CONVERSATION“It’s Not Fraud, But It Can’t Be Ignored”: A look at internal investigations and discovery processes, with Qwest Former VP Risk Management and Chief Compliance Officer David Heller

CONVERSATIONImplementing a Privacy Framework: Your Issues: Following up on their 11:30 a.m. session, PricewaterhouseCoopers’ Practice Leader for Privacy Compliance & Identity Theft James Koenig and Schering-Plough Corporation’s Sr. Director, Global Privacy Dean Forbes will lead a small-group Conversation.


4:30 p.m.

Riffs on RIFs: Global Compliance Challenges in a Down Economy: Baker & McKenzie Partner Cynthia Jackson will explore global compliance enforcement trends in down economies…

Tone at the Top and In the Middle—Enhancing Regulatory Compliance through Your ERM Program: Rigorous enforcement by U.S. regulators has led companies to enhance their ERM and GRC programs. KPMG Partners John Farrell and Rocco deGrasse will discuss how an effective enterprise risk management program/GRC program can help to mitigate risks, such as those that arise in conjunction with FCPA-related activities. Office Depot’s Chief Compliance Officer Bob Brewer will join the discussion to share his experiences in dealing with ERM/GRC challenges overall, in addition to issues associated with the FCPA in particular.

The SEC’s Radical Disclosure Overhaul: SEC 21st Century Disclosure Initiative Director Dr. William Lutz, will share his insights on the Commission’s latest findings and thinking.

CONVERSATIONMaking the Transition From CCO to CRO: Eastman Kodak CCO Patrick Sheller (once Kodak’s Chief Antitrust Counsel) will discuss how you and your organization can make the transition. 

CONVERSATIONTimeliness vs. Depth: Balancing speed and quality in internal investigations, with HP Chief Ethics and Compliance Officer Jon Hoak.

CONVERSATIONIn-Depth and Continuous Controls—Achieving Integrity of Business Processes:Intuit Audit Manager Rob Singleton and Oracle Senior Director of Product Strategy Michele Shannon will host a small-group conversation.


 On Wednesday evening I will be having dinner with friends.



8:30 a.m.


Ethical Cultures in a Down Economy: Former SEC Chairman, Kalorama Partners CEO, and Compliance Week Columnist Harvey Pitt makes his fourth consecutive appearance at Compliance Week’s annual conference. This year, he describes how companies can (and must) instill a culture of integrity, ethics and compliance in a deteriorating economic climate.


10:00 a.m.

Compliance, Export Controls, and Intermediaries: Sidley Austin partner Lisa Crosby will explore the latest developments.

FASB Update on Latest Developments: FASB Technical Director Russ Golden will provide an update on critical accounting developments for public companies.

Addressing the Effectiveness of Compliance and Ethics Programs: Ernst & Young principal Jack Holleran and CA’s SVP, Managing Attorney and former Deputy Chief Compliance Officer Patricia Prince-Taggart will explore ways to measure program effectiveness, with an analysis of both qualitative and quantitative measures. Session will look at the role of auditing, monitoring and reporting, practical considerations, lessons learned, and more.

CONVERSATIONDoing More With Less: Compliance Programs with Minimal Staffing and Budget: Yahoo Chief Compliance Officer David Farrell, and United States Steel Assistant General Counsel–Compliance Mary Beth Taylor, lead a small-group conversation.

CONVERSATIONERM in Turbulent Times: Perspectives in Delivering Business and Governance Value: KPMG partner John Farrell will provide the latest trends and valuable insights on embedding ERM business practices within your organization…

CONVERSATIONAssessing your GRC Capability to make it Lean, Mean and Clean: OCEG President Carole Stern Switzer and OCEG CEO Scott Mitchell will lead a discussion on how companies can use program evaluation to “lean” their GRC capability. Dell Chief Compliance Counsel Paul Liebman and CA VP of IT Compliance Rob Zanella will offer examples of LeanGRC™ efforts at their organizations.



11:30 a.m.

The S&P Assessments: Steven Dreyer will provide an update on the program and his analysts’ findings to date.

FCPA Issues Facing Multinational Companies: Halliburton Deputy General Counsel James W. Ferguson and Baker Botts attorneys Andy Baker and Mary Spearing will offer a case study of appropriately responding to a significant multi-jurisdictional investigation…

Making the IFRS Transition: Eli Lilly Chief Accounting Officer Arnold Hanish, IBM VP Accounting Policy & Financial Reporting Gregg Nelson, and Microsoft Senior Director of Financial Accounting and Reporting Bob Laux will join former FEI CEO and Compliance Week Columnist Colleen Cunningham to discuss the lessons learned by companies making the move from GAAP to IFRS.

CONVERSATIONGetting Compliance and Internal Audit to Work Together: PepsiCo Chief Compliance Officer Stephen Naughton, and PepsiCo General Auditor Robert Mac Kay, will lead a small group Conversation.

CONVERSATIONA Conversation with FASB: FASB Technical Director Russ Golden will host a small-group conversation, at which attendees can discuss their particular challenges and issues.

CONVERSATIONYour Tactics: Measuring Program Effectiveness: Ernst & Young principal Jack Holleran and CA’s SVP, Managing Attorney and former Deputy Chief Compliance Officer Patricia Prince-Taggart will open the Conversation.



1:30 p.m.


A Tale of Two Sectors: The Challenges of Corporate Compliance When Enforcement Increases and the Economy Declines: Baker & McKenzie Partner and former U.S. Deputy Attorney General Paul McNulty will explore the challenges that public companies face as global enforcement increases in a down economy. Providing an enforcement update and a view of compliance and investigations during challenging times, the author of the eponymous McNulty Memo will address “compliance credits” (from Holder to Thompson to Filip), and will offer insights on how companies can ward off monitors, avoid privilege waivers, and conduct credible but cost-efficient internal investigations.


2:15 p.m.

Third-Party Risks:Tyco International Chief Compliance Counsel Matt Tanzer and Wyndham Worldwide SVP Enterprise Compliance and Employment Counsel Kirsten Hotchkiss will explore challenges and opportunities in managing integrity across your partners.

DoJ Corporate Charging Decisions: DoJ Fraud Chief Steve Tyrrell, Assistant U.S. Attorney Ryan McConnell, Haynes & Boone Partner Larry Finder, and OCEG CEO Scott Mitchell will discuss the use of pre-trial agreements and deferred and non-prosecution agreements in corporate criminal prosecutions. The panel will explore what practitioners need to know about these agreements, what they can learn from them, and how the agreements may influence corporate compliance programs.

The Role of IT in Effective Risk Management: CA Vice President for IT Compliance Rob Zanella and Appriss Information Security Officer Jacob Wilkins will present specific principles and techniques that he used to successfully kickstart the implementation of risk and compliance management at his government solutions firm.

CONVERSATIONInternal Audit’s Role in ERM: PepsiCo General Auditor Robert Mac Kay will lead a small group Conversation.

CONVERSATIONA Closer Look at Multi-Jurisdictional Enforcement:  Baker Botts attorneys Andy Baker and Mike Barta will host a more in-depth discussion of the potential pitfalls that can arise in the increasingly common situation when a company’s activities attract the scrutiny of foreign enforcement authorities as well as the U.S. DoJ and SEC.


3:45 p.m.

Compliance Risk Assessments: HP VP Compliance and Associate General Counsel Amy Schuh will offer extensive details on her company’s innovative approach to compliance risk assessments.

XBRL: Lessons From the Voluntary Filers: SEC Office of Interactive Disclosure Director David Blaszkowsky, and PepsiCo Director of External Reporting Keith H. Mayer will discuss issues that early filers have experienced, pitfalls to avoid, and the lessons all parties have learned in the process.

Structuring Internal Investigations: From the Inside to the Outside: Cooley Godward Kronish partners Neal Stephens and William Freeman, fresh off their defense of McAfee former general counsel Kent Roberts in a stock-option backdating case (Roberts was acquitted last month), will explore how internal investigations progress into government investigations, how they can go wrong, and what companies can do from a legal perspective to avoid trouble.

CONVERSATIONA Discussion On DoJ Charging Decisions:DoJ Fraud Chief Steve Tyrrell, and Assistant U.S. Attorney Ryan McConnell will host a unique, small-group conversation.

CONVERSATIONIT and ERM and Your Company: CA Vice President for IT Compliance Rob Zanella and Appriss Information Security Officer Jacob Wilkins will host a small-group Conversation.


5:00 p.m.


Deputy Attorney General David W. Ogden: President Barack Obama appointed David Ogden Deputy Attorney General on January 5; Ogden was confirmed shortly thereafter. A member of the Obama transition team, Ogden has previously served as President Clinton’s Assistant Attorney General, Civil Division. Most recently a partner at Wilmer Cutler Pickering Hale and Dorr, Ogden will provide the Closing Keynote Address on Thursday, June 4.


6:15 p.m.

I will be the guest of Oracle for dinner than then hosting my own Tweet-Up at 8:30 pm.  Busboys and Poets, 14th and V Streets, cash bar.  All are welcome.





8:30 a.m.


Your Compliance Program & Enforcement: An informal, closed-door session with the Assistant U.S. Attorney, Fraud and Public Corruption Section, John Roth, to discuss your programs, his insights, and critical developments at the Justice Department.

CONVERSATIONThe Upcoming XBRL Mandate: An intimate session with SEC Office of Interactive Disclosure Director David Blaszkowsky, to discuss your implementation issues, challenges, and the Commission’s expectations.

CONVERSATIONU.S. Sentencing Guidelines: An intimate session with U.S. Sentencing Commission Commissioner and Vice Chair William Carr and USSC Commissioner Beryl Howell on why the guidelines are relevant and the impact of the Obama Administration.



10:00 a.m.


Risk Communication: What Boards Want From You: Former SEC Commissioner, former Commerce Department Under Secretary for Economic Affairs, and corporate board director Cynthia Glassman will host a small-group discussion on the communication of risks to the board, and the information needs of your board of directors.

CONVERSATIONThe S&P ERM Assessments: An off-the-record conversation with Standard & Poor’s Managing Director, Corporate Ratings, Steve Dreyer, regarding his firm’s assessment of ERM programs, which are expected to impact credit ratings. Priority seating given to chief audit officers.

CONVERSATIONThe Future of Disclosure: An informal session with SEC 21st Century Disclosure Initiative Director Dr. William Lutz on the Commission’s plans, your concerns, and the future of financial reporting.

CONVERSATIONHarvey Pitt: An informal session with former SEC Chairman Harvey Pitt on corporate governance and compliance issues. Mr. Pitt, CEO of Kalorama Partners, pens a regular column for Compliance Week.

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6 replies
  1. flycat
    flycat says:

    You mean President Obama isn’t welcoming you himself to DC. Doesn’t he know who you are?!!! 🙂

  2. Oversight for the Better
    Oversight for the Better says:

    Whew! What a schedule. I would be suffering brain overload after only a couple of sessions. Enjoy your stay in D.C.

    Thanks for the Nancy clip. It brings back memories.

  3. ClownCollege
    ClownCollege says:

    Ever since this website became a for-profit venture, the quality has really deteriorated.

  4. fm
    fm says:

    @Clown College

    Sue me. If you did, you’d see that the “profits” would be barely enough to buy us each a Starbucks. If you have specific feedback, I’d like to hear it. Directly. Even over lunch. I’ll buy, but it may have to be Demon Dogs.

  5. Mary Anne
    Mary Anne says:

    Don’t even think about buying that “Clown” lunch. He/she is an idiot if he/she can’t see the time, energy, effort, money and valuable information not to mention heart that you put into this site every day, every minute. Just because your trying to get a little, “voluntary” support for everything you do, he thinks that is going to affect what you do!!! What an id! You go sis! They always say you must be doing something right when you start collecting detractors!

  6. Anonymous
    Anonymous says:

    @Mary Anne

    I agree. Clown’s time isn’t even worth a cheeseburger from the $1 menu at McDonalds, let alone a Demon Dog. I’m sure FM has more worthwhile things to do.

Comments are closed.