Risk, Ethics & Compliance Forum

risk management

Event Details

Nov 02, 2016


New York, NY


Thomson Reuters is pleased to present an inaugural summit on corporate governance, ethics and regulatory compliance designed for legal & business executives from both large and small organizations. Our program will feature interactive workshops and insightful panel discussions led by senior leaders from some of the world’s most respected companies. Attendees will gain powerful takeaways designed to navigate a complex and often unforgiving business climate.

Why You Should Attend

  • Gain unparalleled access to some of the world’s most esteemed business leaders
  • Acquire essential advice on guiding one’s business through myriad regulatory, ethical and compliance challenges
  • Earn the CLE/CPE credit you deserve
  • Network with peers and forge new business connections

Who Should Attend

  • Corporate Counsel/In-House Counsel
  • Outside Counsel
  • Compliance, Ethics and Risk Management professionals
  • Audit Managers
  • Human Resources Managers

Event Co-Chairs

Mike Delikat

Partner, Orrick, Herrington and Sutcliffe LLP

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Christian Bartholomew

Jenner & Block LLP

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Event Details

Wednesday, Nov 02

8:00 AM
Registration & Breakfast
9:15 AM
Welcome from the Co-Chairs
9:30 AM
A General Counsel's Guide to Crisis Management

The increasing frequency of data breaches, FCPA violations, IP claims and everything in between underscores the growing importance of a general counsel’s ability to navigate the complicated landscape of crisis management swiftly and effectively. While every crisis is unique and each response must be precisely tailored to the facts, an effective crisis-management plan must include a competent team, clearly defined roles and responsibilities, and continuing post-crisis communication. This session will address:

  • How a successful crisis response team navigates the immediate crisis in a manner that protects long-term strategic objectives
  • Utilization of PR firms to minimize damage to public image
  • Leveraging internal senior leadership
  • Define roles and responsibilities
  • Prevention and proactive strategic planning

Eve Costopoulos, General Counsel & Chief Compliance Officer, Turing Pharmaceuticals

Jacqueline E. Brevard, Former Chief Ethics & Compliance Officer, Merck & Co.
Louise Harris Salazar, President, Iron Petal Communications

10:30 AM
Networking Refreshment Break
10:45 AM
Corporate Investigations and Responding to Whistleblower Reports

This session will take a deep dive into how to conduct an effective investigation in response to a whistleblower complaint. The session will walk through:

  • Safeguarding the integrity of the investigation
  • Planning the investigation
  • Determining the precise allegation you need to investigate
  • Developing your investigation strategy
  • Taking Effective Interviews
  • Difference between an interview and interrogation
  • Documenting your interview

Christian R. BartholomewPartner, Jenner & Block LLP

Caroline Hall, Managing Attorney, Regulatory, Raymond James Financial Inc.
Brian R. HoweHead of Investigations, Compliance & Ethics, Bristol-Myers Squibb
Patricia O’Prey, Executive Counsel, Global Investigations, General Electric
Andrew Pietro, Counsel, Standard Chartered Bank

1145 AM
Anti-Corruption and FCPA Compliance Risk Assessment: Adopting a Systematic Approach

All too often companies face severe consequences, including government investigations, fines and even incarceration for executives over breaches or violations of anti-corruption laws, including FCPA (Foreign Corrupt Practices Act) and the UK Bribery Act. Increased global regulatory scrutiny only adds to this critical challenge. This session will take a close look at:

  • ThePanama Papers
  • Third-Party Risk
  • Localizing global compliance programs
  • Critical compliance essentials
  • Recent FCPA & UK Bribery act enforcement actions
  • Concessions and offset requirements pitfalls

Hillary Rosenberg, 
Head, Anti-Bribery and Corruption Compliance, Standard Chartered Bank

S. Joy Dowdle, Partner, Paul Hastings, LLP
Javier Robles, Senior Vice President/Group Head, Anti-Corruption and Regional Compliance Counsel, MasterCard
Rebecca Rohr, Vice President, Global Anti-Corruption, Hewlett-Packard

12:45 PM
Networking Luncheon
1:45 PM
Instilling the Importance of Ethics & Compliance and Creating a Culture of Integrity

Learn the critical roles, resources and fundamentals required to manage and communicate the value of an effective ethics and compliance risk management program. During this engaging session we’ll explore the challenges, planning considerations and strategic solutions for:

  • Implementing and leading effective ethics and compliance risk assessment processes
  • Leveraging risk assessment findings
  • Explore opportunities for effective management and mitigation
  • Vital compliance essentials

Julie DiMauroRegulatory Intelligence Specialist, Thomson Reuters


Bradley Mirkin, Securities Compliance and Legal Executive, Global Investment Advisor
Katherine M. Kelton, General Counsel, StayWell
Anthony M. Monaco, Sr., Senior Vice President & Chief Compliance Officer, Spartan Capital Securities, LLC

2:45 PM
Networkig Refreshment Break
On the Other Side of the Court: Plaintiff’s Counsel Roundtable

This engaging session will closely examine the perspectives and strategies deployed by plaintiff’s counsel in taking action against corporations in response to allegations of ethics violations, fraud and abuse, or suspected white collar criminal activity, such as insider trading. Key discussion points will address:

  • Plaintiff’s counsel’s “off the record” advice for General Counsel on ‘what not to do’
  • Abuse and enforceability of confidentiality agreements and efforts to “muzzle” whistleblower
  • Gatekeeper (liability and) eligibility after Dodd-Frank
  • Common mistakes that companies make and tips for responsible organizations 

Mike DelikatPartner, Orrick, Herrington & Sutcliffe LLP

Adam J. Kleinfeldt, Partner, Deutsch Atkins, P.C.
Sean X. McKessyPartner, Phillips & Cohen LLP
Jordan A. ThomasChair, Whistleblower Representation Practice, Labaton Sucharow LLP
Jason Zuckerman, Principal, Zuckerman Law

4:00 PM
Managing Ethical Challenges in Conflicts of Interest, Compliance and Risk Management

Conflicts of interest frequently arise when working in very niche markets. These conflicts are frequently fact-specific, and often difficult to identify. Moreover, conflicts of interest can also limit a lawyer or firm’s ability to take on new clients or continue representing existing ones–a concern for all involved. During this session we will explore:

  • Assessing conflicts of interest
  • Finding balance between being too sensitive and overly cautious around potential conflicts.
  • Applying a litmus test to determine whether a reasonable conflict exists

Michael Santos, Director, Ethics & Business Standards, Consolidated Edison, Inc.

Eileen B. HershenovOf Counsel, Miller Korzenik Sommers LLP
Devika KewalramaniPartner, Moses & Singer LLP
Joy E. Spicer, President, Chief Executive Officer & Chief Strategist, Elegrity, Inc.

5:00 PM
Conclusion of Forum & Networking Reception
Andrea Bonime-Blanc

CEO & Founder
GEC Risk Advisory

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Jordan A. Thomas

Chair, Whistleblower Representation Practice
Labaton Sucharow LLP

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Katherine Kelton

Vice President, Compliance; Aramark

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Mike Delikat

Partner, Orrick, Herrington and Sutcliffe LLP

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Thomson Reuters Headquarters

3 Times Square (7th Ave. b/w 42nd and 43rd St.’s)
30th Floor
New York, NY 10036

Dress Code:

Business casual.  We suggest dressing in layers because conference rooms tend to fluctuate in temperature.

Guest Rooms:

We do not have a guest room block for this event. Below is a listing of nearby hotels (the venue does not have guest rooms on site). Please contact venues directly for rates/availability. For assistance with guest room reservations, please contact our Conference Planner, Meghan Landis, at Meghan.landis@tr.com or 201.912.3042.

Nearby hotels:

Hilton Times Square (0.1 mi W)
234 West 42nd Street
New York, NY 10036

Millennium Broadway Hotel New York (0.1 mi NE)
145 West 44th St
New York, NY 10036

The Westin New York at Times Square (0.2 mi W)
270 West 43rd Street
New York, NY 10036

Doubletree Suites by Hilton (0.2 mi N)
1568 Broadway
New York, NY 10036

New York Marriott Marquis (0.2 mi N)
1535 Broadway
New York, NY 10036

InterContinental New York Times Square (0.3 mi NW)
300 West 44th Street (at 8th Avenue)
New York, NY 10036

Club Quarters Midtown (0.4 mi NE)
40 W 45th St
New York, NY 10036

Staybridge Suites Times Square (0.4 mi SW)
340 West 40th Street
New York, NY 10018

Hilton Garden Inn Times Square (0.5 mi NW)
790 Eighth Avenue
New York, NY 10019

Sponsors of This Event