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
Agenda
Monday, May 24 |
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| 8:30 a.m. | Welcome and Opening Remarks
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| 8:45 a.m. | MORNING KEYNOTE 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.
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| 9:30 a.m. | Move to Concurrent Sessions, Conversations, and Demonstrations | |
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| 9:45 a.m. | ||
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White-Collar Investigations 101
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| 11:15 a.m. | ||
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| 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.
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| 1:15 p.m. | AFTERNOON KEYNOTE 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.
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| 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.
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| 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.
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| 4:45 p.m. | EVENING KEYNOTE
View From the Top: JetBlue, Governance & Compliance
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| 5:30 p.m. | Compliance Week’s Annual Blow-Out Reception! | |
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Tuesday, May 25 |
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| 8:45 a.m. | Opening Remarks
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| 9:00 a.m. | MORNING KEYNOTE 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.
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| 9:45 a.m. | Move to Concurrent Sessions, Conversations and Demonstrations | |
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| 10:00 a.m. | ||
Emerging Topics in Financial Reporting
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| 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.
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| 1:30 p.m. | AFTERNOON KEYNOTE 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.
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| 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.
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| 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.
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| 5:15 p.m. | EVENING KEYNOTE 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.
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Wednesday, May 26 |
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| 8:30 a.m. | MORNING KEYNOTE 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.
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| 9:30 a.m. | ||
| CONVERSATION 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.
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| 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!
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Links to my previous Compliance Week Annual Conference coverage.
2007
Meet The Auditor: Richard Steinberg
Compliance Week 2007 Washington DC
Top Ten List For Implementing Auditing Standard 5
2008
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
2009
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.
Wow Francine, what a jam-packed week!
I can’t wait to read all of your posts.
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.