On My Plate: The Compliance Week Annual Conference

There’s quite a bit on my plate while I’m here in Washington DC this week for the Compliance Week Annual Conference.

I’ve brought my sharp pen and stilettos to the the Mayflower Hotel, where I’m resting comfortably and waiting for the kickoff reception tonight.  This is my fourth year covering the conference for re: The Auditors readers. I’ll list some links at the bottom of this post so you can go back to those interviews, speeches and my commentary on the sights and sounds of DC.

I’ve made my selections for sessions but don’t hold me to them.  What’s really great about this conference are the attendees.  With a C-level selection of global Chief Compliance Officers, Chief Risk Officers, General Counsels and Chief Audit Executives  – and representatives from all of their important regulators – I’m often in a great conversation during a break that’s more important than the next session.

It’s that kind of crowd…

I’m looking forward to seeing fellow bloggers/tweeters Matt Kelly, Bruce Carton, Doug Cornelius, Doug Chia and Tom Fox.  We’ll be tweeting with hashtag #CE2010. Follow us live for up to the minute updates.

I will also be meeting with my sponsor, Approva, to plan some exciting collaboration for the months ahead.

And I’ve got some additional interviews and meetings with legislators and regulators lined up so stay tuned for my reports on those and for my column on Wednesday  at Going Concern.com


Monday, May 24

8:30 a.m. Welcome and Opening Remarks


  • Compliance Week Publisher Scott S. Cohen

The SEC’s Agenda: Enforcement and Regulatory Priorities
U.S. SEC Commissioner Luis A. Aguilar, dubbed “The Enforcement Commissioner” by Compliance Week in March 2009, will provide an update on SEC’s enforcement developments and priorities, including topics such as penalty guidelines and the SEC’s streamlining of the formal order process. Commissioner Aguilar will also explore broader regulatory priorities and the SEC.


  • U.S. Securities and Exchange Commission Commissioner Luis A. Aguilar

9:30 a.m. Move to Concurrent Sessions, Conversations, and Demonstrations

9:45 a.m.

White-Collar Investigations 101


  • U.S. Department of Justice Chief Fraud Section Denis J. McInerney
  • U.S. Department of Justice Assistant United States Attorney (Criminal Division), Southern District of Texas (Houston) Ryan D. McConnell

11:15 a.m.

Directors Speak Out: What We Need and Expect, and Why
What do audit committee members really need and expect when it comes to compliance and risk programs? Three seasoned audit committee chairmen from companies such as Host Marriott, Paychex, and Sunrise Senior Living, will discuss their needs, expectations, and preferred level of involvement.


  • Host Marriott Audit Committee Chairman; Director, Home Shopping Network, AES Corp. John B. Morse
  • Paychex, Inc. Audit Committee Chairman David J.S. Flaschen
  • Sunrise Senior Living Audit Committee Chairman; Director, ING Direct Bank, Harris Interactive, Medstar Health Stephen D. Harlan
  • Ernst & Young Senior Manager, Fraud Investigations & Dispute Services Andrew E. Reisman (moderator)
Former SEC Chairman Harvey Pitt: Goldman Sachs, SEC Enforcement, and Lessons For Our Times
Prestigious firms sued by the SEC, subjects of negative reports, forced to endure angry Congressional testimony arising out of their involvement in the financial crisis of 2008, already provide important lessons for corporate executives. Kalorama Partners CEO Harvey Pitt—the former SEC chairman who has penned a Compliance Week column for seven years—makes his fifth appearance at Compliance Week’s annual conference with a look at the lessons executives can learn from current events.


  • Kalorama Partners CEO; Former U.S. Securities and Exchange Commission Chairman; Compliance Week Columnist Harvey L. Pitt

2:00 p.m.
Achieving Success With External Compliance Monitors
Boeing and Lockheed joint venture United Launch Alliance has had no fewer than three compliance monitors over the last decade. In this session, ULA’s compliance leader will convene with one of her monitors and the senior government official to whom she reported compliance performance, to discuss the experience in working with the federal government and externally appointed monitors.


  • United Launch Alliance VP, Office of Internal Governance Cindy S. Corrigan
  • U.S. Air Force Retired Lieutenant General; ULA Special (External) Compliance Monitor Leslie F. Kenne
  • U.S. Air Force Deputy General Counsel for Contractor Responsibility, Office of the Air Force General Counsel, Washington, D.C., Steven A. Shaw
3:30 p.m. Social Media & Compliance
Compliance, ethics, and legal executives at Johnson & Johnson, Best Buy, and The Travelers Companies will provide details on their social media policies, programs, and experiences, focusing on a variety of cultural, legal, and disclosure-related issues.


  • Johnson & Johnson Senior Counsel & Assistant Corporate Secretary Douglas K. Chia
  • Best Buy Chief Ethics Officer Kathleen Edmond
  • The Travelers Companies, Inc. SVP, Chief Compliance Officer & Group General Counsel David Baker
  • Compliance Week Columnist; President, Docket Media LLC; Founder and Editor, Securities Docket, Bruce Carton (moderator)


View From the Top: JetBlue, Governance & Compliance
JetBlue Airways President and CEO David Barger, and JetBlue Chairman of the Board Joel Peterson, will explore tone-at-the-top, cultures of integrity, and the evolution of JetBlue’s corporate governance and compliance programs. To be explored: How JetBlue built integrity as a core value to be considered in every decision made by every crewmember; why JetBlue separated the CEO and Chairman roles, and more.


  • JetBlue Airways Corp. President and CEO David Barger
  • JetBlue Airways Corp. Chairman of the Board of Directors Joel Peterson

5:30 p.m. Compliance Week’s Annual Blow-Out Reception!

Tuesday, May 25

8:45 a.m. Opening Remarks

U.S. Rep., House Financial Services Committee Chair Barney Frank
Barney Frank is the U.S. House Representative for Massachusetts’ 4th congressional district. In 2007, Rep. Frank became the chairman of the powerful House Financial Services Committee, which oversees much of the financial services industry, including securities, insurance, banking, and housing. Rep. Frank will address those four industries in his keynote, and will take questions from attendees.


  • U.S. Representative and House Financial Services Committee Chairman Barney Frank

9:45 a.m. Move to Concurrent Sessions, Conversations and Demonstrations

10:00 a.m.
Emerging Topics in Financial Reporting


  • U.S. Securities and Exchange Commission Professional Accounting Fellow, Office of the Chief Accountant Douglas T. Parker
  • U.S. Securities and Exchange Commission Associate Chief Accountant, Division of Corporation Finance Steven C. Jacobs
  • Compliance Week Columnist; former SEC Acting Chief Accountant; Managing Director, Financial Reporting Advisors LLC Scott A. Taub

11:30 a.m.
What to Tell the Board
What metrics should your company be reporting to the board, and why? How much sharing is “oversharing,” and how do you know? The compliance and legal officers at Time Warner, Allstate Insurance Company, and NRG Energy, respectively, will demonstrate and discuss what they report to the board, when, how, and why.


  • Time Warner SVP and Deputy General Counsel, Chief Ethics and Compliance Officer Curtis Lu
  • NRG Energy, Inc. SVP and General Counsel Michael R. Bramnick
  • Allstate Insurance Company VP, Chief Ethics & Compliance Officer and Chief Privacy Officer Richard C. Crist, Jr.

SEC Disclosure Update With Shelley E. Parratt
Shelley Parratt of the SEC’s Corporation Finance Division will provide an update of the Commission’s disclosure program, including topics such as executive compensation disclosure, climate-change disclosure, and other proxy disclosure issues, as well as updates regarding the Comment Letter process.


  • U.S. Securities and Exchange Commission Deputy Director (Disclosure Operations), Division of Corporation Finance, Shelley E. Parratt

2:15 p.m.
Third-Party Relationships: Opportunities to Control Risk and Pitfalls to Avoid
For companies with hundreds to thousands of third-party relationships all over the world, what’s the best way to manage related risks? How do you get started, what approaches have worked, and what mistakes should you avoid? Tyco’s compliance leader Matt Tanzer will discuss how his company has approached the global challenge, first evaluating and then implementing global processes to manage the risks presented by thousands of third parties all over the world. Joining him will be Scott Moritz of Daylight Forensic, which has assisted Tyco with the process. This will be a practical, hands-on session, designed to provide real-world advice, based on one company’s extensive experience.


  • Tyco International VP and Chief Compliance Officer Matt Tanzer
  • Daylight Forensic & Advisory Executive Director Scott Moritz

3:45 p.m. Auditing Compliance, Ethics, and Risk
Should ERM programs be audited? How? What about compliance and ethics programs? Three audit executives from Marsh & McLennan Companies, FMC Corporation and The Boeing Company will explore the ways in which they have addressed the issue of auditing compliance, ethics, and risk programs at their companies.


  • Marsh & McLennan Companies, Inc. VP, Audit and Risk Management Michelle E. Viotty
  • FMC Corporation Compliance Director Nadia Ciaravino
  • The Boeing Company VP, Corporate Audit Office of Internal Governance Kelvin E. Council
  • PhyServe Physician Services, Inc. SVP Governance and Compliance José Tabuena (moderator)

U.S. Dept. of Justice Acting Deputy Attorney General Gary Grindler
Gary Grindler, the second-highest ranking official at the U.S. Justice Department, will talk about the department’s policy goals and initiatives to fight corporate fraud, including white-collar crime issues such as securities and commodities fraud, healthcare fraud, and the work of the Financial Fraud Enforcement Task Force.


  • U.S. Department of Justice Acting Deputy Attorney General Gary Grindler

Wednesday, May 26

U.S. DoJ Asst. Attorney General, Criminal Division, Lanny Breuer
Lanny Breuer, selected by President Obama to head the Criminal Division of the Justice Department in January 2009, will discuss practical matters for companies dealing with the Justice Department, including topics such as cooperation, attorney-client privilege, and the importance of pre-existing compliance programs. Breuer will also discuss the Department’s increasing use of proactive law-enforcement strategies and tools, such as wiretaps, to combat financial fraud.


  • U.S. Department of Justice Assistant Attorney General, Criminal Division, U.S. Department of Justice

9:30 a.m.
SEC Enforcement and Investigations Update
Compliance Week Columnist Bruce Carton, a former SEC Enforcement staffer, and U.S. Securities and Exchange Commission Division of Enforcement, Market Abuse Unit Assistant Director Rob Cohen, will provide a recap of current SEC enforcement actions on topics such as the FCPA and insider trading, and will lead a discussion of the Enforcement Division’s new reforms to accelerate corporate investigations.


  • Compliance Week Columnist; president, Docket Media LLC; founder and editor, Securities Docket, Bruce Carton
  • U.S. Securities and Exchange Commission Division of Enforcement Market Abuse Unit Assistant Director of Enforcement Rob Cohen

10:30 a.m. Second City Summary: Compliance Week 2010 Conference Wrap-Up
Get ready for a fun, interactive, high-energy conference closer from Second City Communications, the business solutions division of the world-famous comedy theatre. Using observations, ideas, and insights garnered from the entire three-day conference, Second City Communications will play back what they’ve heard, offering a real-time wrap-up of key conference takeaways, and providing a host of ideas you can bring back to your company. This is a closing session you won’t want to miss!


  • Second City Communications CEO Tom Yorton

Links to my previous Compliance Week Annual Conference coverage.


Meet The Auditor: Richard Steinberg

Compliance Week 2007 Washington DC

Keynote Mark Olson PCAOB

Top Ten List For Implementing Auditing Standard 5

New Links


Compliance Week 2008 – Choosing My Agenda For Day 1

Compliance Week 2008 Day 1 – Too Many Questions, Too Little Time

More Of The Same And, Yet, Somehow Different I Hope

Day 1 The Rest of The Gang – Scott Taub

Day 1 The Rest of The Gang – Robert Pozen


Compliance Week 2009 Day 1 – What A Difference A Day Makes

Compliance Week Day 2 – More Than Enough To Keep Me Busy

McKenna In Accountancy Magazine

Video i of famous Chicago restaurateur, TV personality and recent State Dinner chef Rick Bayless in my beloved Mexico eating great home-style food. I’ve been reminded lately of my love for the cuisine by a friend who eats his jalapeños whole.  Andalé.

2 replies
  1. Doug Chia
    Doug Chia says:

    Great to see you there, Francine. Thanks for asking a question at the Social Media & Compliance panel. Sorry I had to leave this evening. Hopefully we’ll catch up when I’m in Chicago in July for the National Conference of the Society of Corporate Secretaries & Governance Professionals.

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