How do you demonstrate and prove the value and success of your programs? The compliance leaders from The Home Depot, General Electric Company, and Duke Energy will discuss the tactics and data they have used to demonstrate the “net benefit” of compliance, ethics and risk programs. Featuring: Duke Energy Senior Vice President – Audit Services … Read more »
Category: Conference Notes
SEC Disclosure Update With Shelley E. Parratt
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. These are my notes, live from the keynote: (A standard SEC disclosure that these are … Read more »
Barney Frank Addresses Compliance Week 2010
Barney Frank is the U.S. House Representative for Massachusetts’ 4th congressional district. In 2007, Rep. Frank became the chairman of the powerful House Financial Services Committee, which oversees much of the financial services industry, including securities, insurance, banking, and housing. Rep. Frank will address those four industries in his keynote, and will take questions from … Read more »
View From the Top: JetBlue, Governance & Compliance
JetBlue Airways President and CEO David Barger, and JetBlue Chairman of the Board Joel Peterson, will explore tone-at-the-top, cultures of integrity, and the evolution of JetBlue’s corporate governance and compliance programs. To be explored: How JetBlue built integrity as a core value to be considered in every decision made by every crewmember; why JetBlue separated … Read more »
Social Media and Compliance
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 … Read more »
Former SEC Chairman Harvey Pitt: Goldman Sachs, SEC Enforcement, and Lessons For Our Times
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 … Read more »
Metrics and Measurement: What to Track, Why, and How
What metrics should be tracked, and why? What do they actually tell you? Three unique perspectives will be explored from compliance, risk, and legal officers at Biogen Idec, PSEG, and OfficeMax. The trio will demonstrate, discuss, and debate the data they measure, the metrics they track, and the reasons for both. Featuring: Biogen Idec Chief … Read more »
Second City and Compliance
One of the surprises of Compliance Week 2010 is the attendance of Second City. I only thought of them as the comedy improv troupe working in Chicago and Toronto. Second City has a long history of great comedians learning their craft and performing for them. Gilda Radner, John Belushi, Tina Fey and Chris Farley are … Read more »
The SEC’s Agenda: Enforcement and Regulatory Priorities
Compliance week starts off with a Keynote speech from 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 … Read more »
Compliance Week 2010
I’m attending Compliance Week’s Fifth Annual Conference. It’s a great agenda. (Although it will hard to top last night’s Lost series finale. Although hopefully it will be less confusing and have more answers.) I will try to publish my notes from the sessions I attend just as I did from the 2009 Compliance Week conference. … Read more »