Compliance Week (2010 Annual Event)

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.

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

The compliance officers at BMO Financial Group, Centene Corporation and Allegheny Energy will provide details on their experiences with GRC tools. The pair will describe their platform selection and implementation process, and will provide details on objectives, implementation, impact, costs, value, and more.

Featuring:
* Bank of Montreal Financial Group VP Corporate Compliance Joann Sochor
* Centene Corporation VP Ethics & Compliance Bob Miromonti
* Allegheny Energy Senior Controls Compliance Consultant Shelley J. Cottrill

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. 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.

Featuring:
* U.S. Securities and Exchange Commission Commissioner Luis A. Aguilar

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.

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

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!

Featuring:
* Second City Communications CEO Tom Yorton

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.

     Featuring:
   * 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)

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.

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