ITEM #:  1028872001   |   EVENT CODE:  276975    |   CREDIT STATUS:  APPROVED
This seminar is not currently available for online purchase


Thursday, September 19, 2019

8:25 AM - 4:45 PM   |   Check-In:  8:00 AM

Minnesota CLE Conference Center

600 Nicollet Mall # 370

3rd Floor, City Center

Minneapolis, MN 55402

2019 Midwest Legal Compliance Conference

New Conference for In-House Counsel & Compliance Practitioners!

  • Get Important Updates on the Latest Legal and Regulatory Developments
  • Hear Practical Strategies for Implementing and Operationalizing Compliance
  • Develop a Deeper Understanding of the Complex Legal and Regulatory Frameworks that Underlie Compliance
  • Learn Skills to Help Support Strong Communication and Collaboration among Compliance Team Stakeholders
  • And More!

Bonus Pre-Conference Webcast!

Legal Compliance and Ethics 101 – The 7 Elements of Effective Compliance
Wednesday, September 18, 2019   |   2:00 – 3:00 p.m. (CENTRAL TIME)
As a special bonus of registering for the Conference, registrants may view this webcast for free! A coupon code, along with instructions on how to register for free will be distributed prior to the webcast.

Schedule times below are for the live seminar. Please refer to DATES & LOCATIONS for individual replay start times. Replay will include all plenary sessions as well as one session from Breakout A and one session from Breakout B.

8:00 – 8:25 a.m.

8:25 – 8:30 a.m.

8:30 – 9:15 a.m.
Compliance Watch List – The 5 Biggest Compliance Takeaways from the Last Year
Sometimes learning what not to do is just as important as learning what to do. This fast-paced session will run through some of the most high-profile compliance failures in 2018 and 2019, highlighting important lessons and considerations for all compliance professionals.
– Bryan R. Feldhaus & Lisa Beth Lentini Walker

9:15 – 10:00 a.m.
Advancing Change through Strategic Communication
Change is part of every business and essential for growth – especially in a dynamic area like compliance. Change also creates internal disruption, making it difficult for changes to take root and thrive. Strategic communication provides the context needed to engage employees, overcome barriers and integrate change into the culture. In this session, learn best practices and approaches for advancing compliance objectives using communication to ensure organizational changes succeed for the long-term.
– Ayme Zemke

10:00 – 10:15 a.m.

10:15 – 11:00 a.m.
How to Build Effective Relationships with Regulators
Any business, no matter what the industry, will benefit from proactively deciding on a strategy to pursue in interacting with regulators. This session will review example case studies that demonstrate the pros of constructive engagement with the regulator in your industry – and the cons of avoidance or opposition. You’ll take away helpful, practical tips for how to effectively communicate and interact with regulators.
– Beth Forsythe, Jenny O’Brien & Ann Claire H. Phillips

11:00 a.m. – 12:00 p.m.
Compliance Complexity Case Study: Employment Law
Compliance is a balancing act; for example, being compliant with employment law is tough, intricate, and at times frustratingly difficult. Yet, employment law and regulations pose some of the largest risks for organizations from both a legal and public relations standpoint. Yet, no c-suite wants to hear they have to do something “because the law says so.” The business is the focus as it should be. So, it means employment lawyers and human resources professionals must raise compliance concerns as real business issues with a spotlight on business objectives. Every employment law issue – really every compliance issue – can be presented this way. As a case study in the complex nature of advancing compliance, this session will cover some of the toughest employment law issues organizations face and the business objectives that can be thwarted by noncompliance.
– Kate Bischoff

12:00 – 12:15 p.m.

12:15 – 1:00 p.m.

How to Wear Many Hats Well
Taking on the roles of General Counsel and Chief Compliance Officer is a complex endeavor. There are both opportunities and challenges – for the organization and for the person in the role. Kate Norris will describe her personal experience and share practical lessons and insights applicable to all legal and compliance professionals.
– Kate Norris

1:00 – 1:15 p.m.

1:15 – 2:15 p.m.

Establishing Effective Third-Party Compliance Oversight

Most businesses rely on third-party business associates to assist them with their operations – including relying on vendors to provide essential goods and services, outsourcing administrative or ancillary services, and sourcing products in the supply chain. However, the use of third parties can create additional compliance risks for a business that can lead to disaster if not properly mitigated. This session will review key risks and challenges posed by third-party relationships, and outline elements of an effective third-party oversight program, with practical tips for operationalizing and refining the program on an ongoing basis.
– Diana Trevley

How to Avoid Your Worst Compliance Nightmare: Lessons from Theranos

From its inception, Theranos was a promising venture at the height of innovation – led by smart people, implementing disruptive ideas with the potential to radically change health care. What went so terribly wrong? In its downfall, Theranos became every compliance officer’s worst nightmare – the tale of its undoing includes acts of misleading regulators, business partners and investors; retaliation and intimidation; reputational and governance failures; and more. Learning from the highs and lows of a timely and prominent case study, this session will highlight lessons for compliance officers of start-up businesses and other companies with entrepreneurial or rapid-change cultures. And in tandem with those lessons, panelists will share their thoughts on what an effective compliance program can and should look like for such an organization.
– Brian Edstrom & Lisa Beth Lentini Walker
– Tobi Tanzer, moderator

2:15 – 2:30 p.m.

2:30 – 3:30 p.m.

How to Unify a Piecemeal Compliance Program

Compliance functions often reside in different parts of a company; however, there needs to be a central and singular point of accountability for ensuring compliance is appropriately managed across an organization and for reporting on compliance to the board. This dynamic can lead to common issues with respect to influence, control, budget, personnel, decision-making authority, and more – and thus requires skilled and thoughtful communication and coordination of disparate teams. Two experienced compliance leaders will share tips and best practices for running a successful, comprehensive program within complex and sometimes incongruent organizational structures.
– Keri Grafing & Tony Heredia

Ethical Considerations for Compliance Officers and Lawyers

1.0 ethics credit applied for
The sometimes overlapping areas and roles between legal and compliance departments can create confusion and potential ethical conundrums. This session will address common ethics scenarios that compliance officers and in-house counsel may encounter, call out the relevant rules that apply to the attorney’s role, and provide practical insights for avoiding potential ethics violations.
– Gregory C. Brown & Susan Humiston

3:30 – 3:45 p.m.

3:45 – 4:45 p.m.
Unconscious Bias in Compliance Practice
1.0 elimination of bias credit applied for
It’s essential that lawyers and compliance professionals understand the brain science behind unconscious bias and how it can affect both their professional success and their program’s effectiveness. Unconscious bias can impact decision-making, communication and leadership styles, training, strategic program design and the implementation of key program elements such as policy development, education, investigations and risk assessments. In this session, participants will identify areas of potential bias in their own compliance practice and programs, explore how bias can undermine important organizational objectives, and explore practical, evidence-based ways to minimize its adverse impact.
– Shamayne D. Braman

Thursday, September 19, 2019
Minnesota CLE Conference Center
600 Nicollet Mall, Suite 370
Seventh Street & Nicollet Mall, Third Floor City Center
Minneapolis, Minnesota

Replay will include all plenary sessions as well as one session from Breakout A and one session from Breakout B. Schedule times for replays may differ from those for the live program. Start times are as indicated below. Please register at least one week in advance to secure your copy of the course materials on the day of the seminar.

Minneapolis – 10/1/19 (Check-In 8:30; Replay 9:00)
Minnesota CLE Conference Center
600 Nicollet Mall, Suite 370
Seventh Street and Nicollet Mall, Third Floor City Center

In-Person Live:  $295 MSBA members / $295 paralegals / $345 standard rate
In-Person Replay:  $245 MSBA members / $245 paralegals / $295 standard rate

Other discounts that may apply:

Scholarships available!
Need-based scholarships are available for in-person and online seminars. Most scholarships awarded are 50% off the seminar price. For further information or to obtain a scholarship application, contact us at 800-759-8840 or customerservice@minncle.org.

Minnesota CLE is applying to the Minnesota State Board of CLE for 7.0 standard CLE credits, including 1.0 elimination of bias credit for the closing plenary, and 1.0 ethics credit for breakout session #202. The maximum number of total credits attendees may claim for this course is 7.0 credits.

Attendees may also earn Compliance Certification Board (CCB)® continuing education units for participating in this conference.

Minnesota CLE is applying to the Minnesota State Board of CLE for 1.0 standard CLE credit for the pre-conference webcast. The maximum number of total credits attendees may claim for this program is 1.0 credit.

Included in registration fee.

Can't attend? The course materials are available for $75 (plus tax and handling). To order, call Minnesota CLE at 651-227-8266 or 800-759-8840. Available in hard copy. Orders will be filled after the live seminar.

This seminar is not currently available for online purchase