July 8-26, 2013 | New York City
The job market for trained corporate compliance professionals is expanding both in the United States and around the world. Recent efforts by regulators in various industries have heightened the importance of corporate compliance initiatives because an effective compliance program may reduce a company’s risks, reduce the severity of claims and penalties when violations do occur, and enhance corporate performance and profitability.
This program will introduce participants to basic aspects of compliance and to the role of the corporate compliance office in implementing and evaluating programs designed to comply with statutory, regulatory, and company rules, and disseminating of such programs among management and employees. The Institute will explore fundamental elements of compliance, including risk assessment, attorney-client privilege, the Foreign Corrupt Practices Act, global codes of conduct, crisis management, deferred prosecution and non-prosecution agreements, and corporate social responsibility.
The Institute also examines compliance issues that are specific to some of the more heavily-regulated industries, including the banking, financial services and pharmaceutical industries. The course also considers issues relating to compliance with antitrust, employment, intellectual property and information technology, and environmental regulations which cut across industry sectors.
Lectures by leading compliance industry professionals are a cornerstone of the Institute. Presenters include Stuart Breslow, Managing Director at Morgan Stanley; Timothy J. Heine, Managing Counsel at American Express; William Jannace, Director of Member Regulation Division at FINRA; Sam Khichi, Senior Vice President, Chief Administrative Officer, General Counsel and Chief Compliance Officer at Catalent; and Sylvia Wong, Chief Trust and Compliance Officer at IBM. View the full list of guest speakers.
Training is an important component of the program. Participants will learn important skills that are essential for any compliance professional, including setting up a compliance office; building and implementing compliance training programs; setting up auditing, monitoring, and reporting systems; setting up a compliance hotline; and instituting incentive and disciplinary procedures for non-compliance.
The Institute will be interactive, featuring lectures by industry professionals, engaging classroom discussions, and a range of written and oral projects. Field trips to in-house compliance departments and law firms with compliance practices will be integrated into the program. Each participant will be mentored by a professional with substantial compliance experience.
Up to 65.5 transitional and nontransitional CLE credits have been approved in accordance with the requirements of the New York State CLE Board for a maximum of 4.5 ethics, 4.5 law office management, 37 professional practice, and 19.5 skills. To determine whether another state will award credit, please contact that state’s CLE administrator’s office. Fordham Law has a hardship policy for this program.