Date

Dec 15 2021
Expired!

Time

2:00 pm - 3:30 pm
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DECEMBER 15 | Best Practice Forum | The Impact of DOJ Guidance on Corporate Compliance Programs

Over the past several years the Department of Justice has periodically issued material updates to guidelines related to compliance programs and enforcement. The ECI recently conducted an important and timely survey of ethics & compliance officers as to how they are interpreting and applying DOJ’s guidance. Join thought and practice leaders from ECI and the E&C community to review and discuss the results of the survey and how the findings relate to the on-going evolution of the enforcement landscape.

Together we will discuss and consider:

  • The value of DOJ enforcement guidelines and resources to E&C functions
  • How DOJ guidance is being applied in organizations and why it is not being applied in some cases
  • The information and guidance E&C leaders are looking for from the DOJ
  • The October 2021 DOJ memorandum on corporate criminal enforcement policies in the context of ECI’s survey findings

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Speakers

  • Carrie Penman
    Carrie Penman
    Chief Risk and Compliance Officer, NAVEX Global

    As one of the earliest ethics officers in the industry, Carrie Penman has been with NAVEX Global since 2003 after serving four years as deputy director of the Ethics and Compliance Officer Association (ECOA) now ECI. A scientist by training, she developed and directed the first corporate-wide global ethics program at Westinghouse Electric Corporation from 1994-1999.

    As Chief Risk and Compliance Officer for NAVEX Global, Carrie leads the company’s formal risk management processes. She also oversees its internal ethics and compliance activities employing many of the best practices that NAVEX Global recommends to its customers.

    Carrie has extensive client-facing risk and compliance consulting experience, including more than 15 years as an advisor to boards and executive teams; most recently as NAVEX Global’s SVP of Advisory Services. She has also served as a corporate monitor and independent consultant for companies with government settlement agreements.

    Carrie was recently awarded the inaugural Lifetime Achievement Award for Excellence in Compliance 2020 by Compliance Week magazine. In 2017, Carrie received the ECI’s Carol R. Marshall Award for Innovation in Corporate Ethics for an extensive career contributing to the advancement of the ethics and compliance field worldwide.

  • Carter Burwell
    Carter Burwell
    Counsel, Debevoise & Plimpton

    Carter Burwell is a litigation counsel based in the Washington, D.C. office and a member of the firm’s White Collar & Regulatory Defense practice. His practice focuses on white collar criminal defense, government investigations and internal investigations, and national security matters.

    Mr. Burwell joins Debevoise with more than 15 years of experience in senior roles across the federal government. Most recently, Mr. Burwell served as Counselor to the Secretary of the Treasury for Terrorism and Finance Intelligence, where he advised on matters involving financial sanctions and illicit finance, international corruption and human rights abuses and digital assets. At Treasury, Mr. Burwell worked directly with the National Security Council, other senior executive branch officials, foreign leaders and the private sector to develop and implement policies to protect domestic and international financial systems from national security threats. He also participated in the CFIUS review process and advanced anti-money laundering reforms under the Bank Secrecy Act.

    Prior to his role at the Treasury Department, Mr. Burwell served as one of the top lawyers on the U.S. Senate Judiciary Committee, including as Chief Counsel to former Assistant Majority Leader and U.S. Senator John Cornyn and as Counsel to former Chairman and U.S. Senator Chuck Grassley. In the Senate, Mr. Burwell worked on bipartisan efforts to modernize national security and technology laws, reform the criminal justice system and conduct rigorous oversight of government officials and the private sector on matters of national consequence. Mr. Burwell also served as an Assistant U.S. Attorney in the Violent Crime and Terrorism Unit in the U.S. Attorney’s Office in the Eastern District of New York (EDNY) and in the National Security and International Crimes Unit in the U.S. Attorney’s Office in the Eastern District of Virginia (EDVA). As a federal prosecutor at EDNY and EDVA, Mr. Burwell supervised and participated in a wide variety of investigations and prosecutions involving international and domestic terrorist groups, international cartels and racketeering organizations, as well as financial and cyber crimes. He successfully tried numerous cases to verdict and briefed and argued appeals in the U.S. Court of Appeals.

    Earlier on in his career, Mr. Burwell served as a law clerk to U.S. District Court Judge Gleeson, now a Debevoise litigation partner, before going on to clerk on the U.S. Court of Appeals for the D.C. Circuit for the Hon. Judge Karen Henderson. Mr. Burwell was also a litigation associate at another international law firm.

    He received his J.D. from the University Virginia School of Law in 2002, an M.Phil from the University of Cambridge in 1998, and his B.A. from Columbia College in 1996.

  • Michael Volkov
    Michael Volkov
    CEO, The Volkov Group

    Michael Volkov specializes in ethics and compliance, white collar defense, government investigations and internal investigations. Michael devotes a significant portion of his practice to anti-corruption compliance and defense. He regularly assists clients on FCPA, UK Bribery Act, AML, OFAC, Export-Import, Securities Fraud, and other issues.

    Michael has extensive trial experience, and has developed a problem-solving approach to serve client needs. He has extensive contacts in the federal government and on Capitol Hill. Given his broad government experience, he represents clients in federal and state court, before the Justice Department and other federal agencies, and on Capitol Hill.

    Prior to launching his own law firm, Mr. Volkov was a a partner at LeClairRyan (2012-2013); Mayer Brown (2010-2012), Dickinson Wright (2008-2010); Deputy Assistant Attorney General in the Department of Justice (2008); Chief Counsel, Subcommittee on Crime, Terrorism and Homeland Security, House Judiciary Committee (2005-2008); and Counsel, Senate Judiciary Committee (2003-2005); Assistant US Attorney, United States Attorney’s Office for the District of Columbia (1989-2005); and a Trial Attorney, Antitrust Division, United States Department of Justice (1985-1989).

    Mr. Volkov resides in Washington, D.C., San Diego, California, and Marsala, Italy, with his wife and six children. He and his wife enjoy traveling, the arts, and philanthropic activities. Mr. Volkov is an avid tennis player.

  • Patricia J. Harned Ph.D.
    Patricia J. Harned Ph.D.
    Chief Executive Officer | Ethics & Compliance Initiative

    Patricia Harned is chief executive officer of the Ethics & Compliance Initiative (ECI). Established in 1922, ECI is a nonprofit with a mission to empower organizations to operate with integrity.

    For nearly two decades as CEO, Dr. Harned has overseen all of ECI’s strategy and operations. In that time ECI has become the leading provider of independent research about workplace integrity, the drivers of organizational culture, and effective compliance programs. Dr. Harned is a recognized expert on culture change, ethical leadership, and workplace reporting/retaliation. She leads ECI’s advisory service practice. Clients have included 200+ prominent organizations, often working to regain stakeholder trust following significant matters of misconduct. Dr. Harned has participated as a member of several independent monitoring teams, imposed by federal enforcement agencies as a part of corporate settlement agreements.

    Dr. Harned also directs outreach efforts to policymakers and federal enforcement agencies in Washington, DC. She has provided ethics & compliance briefings to officials in the US Department of Justice, testified before Congress and the U.S. Sentencing Commission, and she has personally briefed U.S. Secretary of Defense Ash Carter, the OSHA Whistleblower Protection Advisory Committee, and the Federal Bar Council on strategies to increase effective reporting of suspected misconduct. Dr. Harned also regularly provides training to corporate boards of directors on topics related to governance, and she is chairing a Blue-Ribbon Commission to define effective corporate environmental, social, and governance (ESG) programs.

    Dr. Harned is a multi-year honoree as one of Ethisphere Magazine’s 100 Most Influential People in Business Ethics. She is also a multi-year honoree as a Top Thought Leader in Trust; a recognition offered by Trust Across America. She was a member of the PCAOB Standing Advisory Group, and she currently serves on the board of the U.S. Center for SafeSport as well as the International Association of Independent Corporate Monitors (IAICM).

    Dr. Harned holds a bachelor of science degree from Elizabethtown College in Pennsylvania, a masters of education degree from Indiana University, and a doctorate from the University of Pittsburgh.

  • Skip Lowney
    Skip Lowney
    Senior Survey Researcher, Client Solutions, ECI

    As Senior Researcher, Mr. Lowney leads and participates in multiple research projects including quantitative and qualitative analysis in order to assess organizational culture as it relates to ethics and compliance programs. Mr. Lowney contributes to the study of ethics and compliance in the national workforce through ERC’s Global Business Ethics Survey (GBES®); and he surveys companies and organizations to determine the presence and effectiveness of their ethics and compliance programs, reporting on findings and making recommendations. He also develops and refines survey questions and methodology, participates in improving data collection and analysis techniques, investigates areas for further inquiry including developing white papers on special topics, and presents at conferences and other gatherings. Mr. Lowney joined the ERC in October 2005.

    He holds a Master’s of City Planning from the University of California, Berkeley. While there, he performed specialized study in social theory and research and analysis on numerous topics.

  • Thomas R. Fox
    Thomas R. Fox
    Founder, The Compliance Podcast Network

    Thomas R. Fox —the Compliance Evangelist® —is literally the guy who wrote the book on compliance with his seminal one volume book “The Compliance Handbook, 2nd edition” which will be published by LexisNexis in April 2020. Additionally, Tom has authored 19 books on business leadership, compliance and ethics and corporate governance, including the international best-sellers “Lessons Learned on Compliance and Ethics” and “Best Practices Under the FCPA and Bribery Act” as well as his award-winning series Fox on Compliance.

    Tom leads the social media discussion on compliance with his award-winning blog, The FCPA Compliance and Ethics Blog and is the Voice of Compliance, having founded the award-winning Compliance Podcast Network. He is also a member of the C-Suite Radio Network. He can be reached at tfox@tfoxlaw.com.

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