San Francisco
October 29, 2015

Le Meridien
333 Battery St.
Room: Mercantile (B Level)
San Francisco, CA 94111
Tel: 415-296-2900

2:00 pm – Networking and Registration

2:45 pm – Welcome and Introduction

2:50 pm – Training as the Cornerstone of an Effective Compliance Program

Your compliance and ethics training program sets the tone and delivers the expectations for your workforce. As the most standardized and pervasive employee interaction, training should be the root of all initiatives that are designed to drive a culture of compliance and ethics in your business. Whether it is tone, compensation, enforcement or policy and procedure management, effective training can serve as the cornerstone.
During this session, panelists will examine:
• Promoting and measuring employee engagement
• Addressing regulatory learning fatigue
• Fostering an ethical and compliant workforce
• Defining and delivering ROI

  • Andrew Yuille, Global Head of Proposition Marketing, Thomson Reuters
  • Mitch Avnet, Founder and Managing Partner , Compliance Risk Concepts

3:50 pm - Networking Break

4:10 pm – Building a comprehensive third party risk management program

Understanding and managing the risk related to your third party partners has moved to the forefront of challenges facing organizations. Be suppliers, distributors, vendors or investees, companies and financial institutions are increasingly held responsible for who they do business with.

Globally, we are seeing more governments take a firm stance on corporate liability for actions within supply chains and business partnerships. To name a few, in the United States alone the Foreign Corrupt Practices Act (FCPA), the Conflict Minerals Rule (Dodd Frank Section 1502), the Office of the Comptroller of the Currency Bulletin 2013-29 on Third-Party Relationships or the California Transparency in Supply Chains Act of 2010. This increasing regulation, together with ever growing financial, ethical and reputational pressures from internal and external stakeholders, have placed supplier and third party risks at the top of mind for the Board, senior leadership and investors.

During this session experts will explore how to build transparency through your third party relationships and deliver assurance to key stakeholders. Areas include:
• Understanding the existing regulatory risk in the United States and globally
• Performing adequate screening and due diligence on all parties
• What’s coming? Slavery and labor rights, the environment and climate change or property rights are increasingly on the agenda of regulators, customers, civil society or institutional investors
• Policy design and ensuring understanding and compliance by employees
• Good governance: who should be responsible for third party risk in your organization

  • Carl L. Sheeler, PhD, ASA Managing Director, Global Group Leader/Family Office & Business Strategies Chief of Staff/ Teece Family Office
  • Neal Potischman, Partner, Davis Polk
  • Bruce Grant, Chief Marketing Officer, Hiperos
  • Andrew Yuille, Global Head of Proposition Marketing Thomson Reuters

5:10 pm – Closing Remarks

5:15 pm – Networking Cocktail Reception

About Thomson Reuters Risk Management Solutions

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Compliance and Risk Forum 2015
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