Live Webinar: Proactive Compliance to Avoid an Enforcement Action

Convercent Webinars

How to Proactively Demonstrate Ethics and Compliance in Your Organization

Published on by Tricia Francis

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In the past five years, more than 200 Deferred Prosecution Agreements (DPAs) or Non-Prosecution Agreements (NPAs) have been finalized. Companies that demonstrate a corporate commitment to ethics and compliance typically fare better in enforcement actions. “Better” can mean a civil remedy, lower fines or penalties, and avoidance of an independent monitor.

Why is this topic so important?

  • Reactive compliance is exponentially more costly than a proactive program
  • Reacting to an enforcement action, beyond the brand and reputation hit, is incredibly distracting for the whole organization. This is a way for the CCO to think strategically about how to protect the company and serve the business strategy.
  • UK Bribery Act, the DOJ Enforcement Policy, the DOJ Evaluation Questions, the tenants of the HQP (high quality program) all center around proactiveness and affirmative defense

In our upcoming webinar, subject matter experts Eric Feldman from Affiliated Monitors and Autumn Sanelli from Convercent discuss taking an affirmative defense position to avoid DPA and NPAs and best practices when building your ethics and compliance program to avoid any issues.

You will learn:

  • How to take a proactive approach to anticipated government actions
  • Positioning for an effective, remedial affirmative defense
  • How to align your code of ethics with organizational behavior
  • Considerations for different industries and regulatory environments
  • Best practices with rules and regulations
  • How to use technology to support global ethics and compliance
  • How to use benchmarking to stay ahead of the game

Speakers:

Eric Feldman, Senior Vice President and Managing Director at Affiliated Monitors

Eric is the Senior Vice President and Managing Director of Affiliated Monitors, and third-party monitoring system for ethics and compliance enforcement. He functions as the lead Independent Monitor on anything involving federal suspension and debarment actions, federal regulatory court orders, and deferred or non-prosecution agreements with the Department of Justice.

Eric joined AMI after retiring from the CIA in 2011 with a distinguished career in fraud detection and ethics and compliance.

Autumn Sanelli, MA, PCI; Global Director Solution Consultant at Convercent

Autumn has a strong background in workplace investigations making her the perfect solutions consultant for ethics and compliance software with Convercent. She truly understand the nature and scope of workplace problems, specifically when it comes to avoiding issues and litigation. With experience in everything from corporations and schools to state and local government, Autumn has a broad background in ethics strategy.