Program 8-9 a.m.
Continental Breakfast and Registration
9-9:10 a.m.
Introduction and Welcome
Dr. Patrick Socci, Dean, Frank G. Zarb School of Business Hofstra University
9:10-10 a.m.
Keynote Address: Compliance and Ethics
John Ramsay, Chief Market Policy and Regulatory Officer, IEX Former Acting Director, SEC’s Division of Trading and Markets – Relationship between regulatory standards and ethical standards of conduct – IEX as an example of working to achieve reform within the private sector
Presenters Sofia Blair Partner, BDO USA, LLP Sofia Blair is a partner in BDO’s nonprofit and health care industry groups in the Greater New York market. Her practice specializes in the planning, supervising and coordinating of audit engagements for nonprofit organizations, including international non-governmental organizations, social service and healthcare organizations, and employee benefit plans, as well as conducting internal control reviews and providing recommendations to clients for establishing and enhancing effective policies and procedures. Ms. Blair earned a Bachelor of Business Administration in accounting from Hofstra University’s Frank G. Zarb School of Business.
10-10:15 a.m.
Break
Leonard A. David
10:15-11:05 a.m.
Monitoring and Auditing Compliance and Ethics Programs
Senior Vice President and Chief Compliance Officer, Henry Schein, Inc.
Leonard David, Senior Vice President and Chief Compliance Officer Henry Schein, Inc. Sofia Blair, Partner, BDO USA, LLP – Difference between monitoring and auditing programs – Monitoring tools – Monitoring by line businesspeople and by compliance staff – Internal and external auditing
11:05-11:20 a.m.
Break
11:20 a.m.-12:10 p.m.
Data and Privacy
Al Silipigni, Senior Vice President and Chief Privacy Officer, HSBC Jacky Wagner, Managing Director, Data Protection and Privacy Practice, PwC – Recent trends in monitoring for data loss and potential threats – Enforcement – Cyber-security risks – Help for data breaches
12:10-1:30 p.m.
Lunch
1:30-2:20 p.m.
Keynote Address: Developing a Culture of Integrity
Steve Priest, President, Integrity Insight International – Relationship to profit – Clear standards and signs of commitment – Tone at the top; mood in the middle; buzz at the bottom – Undoing “make-it-happen” management style
2:20-3:10 p.m.
Culture and Compliance Programs: Practical Advice
Matthew Heiman, Vice President and Chief Compliance and Ethics Officer, Tyco Thomas DiLeonardo, Chief Compliance Officer and Principal, KPMG LLP – Factors to consider in developing and implementing compliance programs – Techniques, systems and tools to leverage compliance resources – Elements of an effective compliance program
3:10-3:25 p.m.
Break
3:25-4:15 p.m.
Risk Assessment
Susan Fortney, Howard Lichtenstein Distinguished Professor of Legal Ethics and Director of the Institute for the Study of Legal Ethics Maurice A. Deane School of Law, Hofstra University Michael Nawrocki, Partner, Nawrocki Smith, LLP – Empirical studies on management-based principles, regulation, ethics and risk management – Relationship between compliance, risk and ethics – Planning a risk assessment – identifying, measuring and analyzing risk 4:15-5 p.m. Working in the Field of Compliance and Ethics (not for CLE/CPE credit) Hofstra Career Center – Practical advice for students: employment opportunities, required education and useful experience
Leonard David, a 24-year veteran with Henry Schein, Inc., is senior vice president and chief compliance officer. Henry Schein, Inc., a Fortune 500 company and member of the NASDAQ 100 Index, is the world’s largest provider of health care products and services to office-based dental, animal health and medical practitioners. Mr. David manages regulatory affairs, security and global compliance, focusing on corporate integrity, governance and business ethics. He interacts closely with every business division within Henry Schein. He is also a member of the company’s Executive Management Committee. Prior to joining Henry Schein, Mr. David was a practicing attorney in New York and New Jersey specializing in corporate and commercial law.
Thomas DiLeonardo Chief Compliance Officer and Principal, KPMG LLP Thomas DiLeonardo is chief compliance officer and principal at KPMG LLP, an international “Big 4” audit, tax and consulting services firm. Formerly, Mr. DiLeonardo was associate general counsel for KPMG, specializing in litigation and internal investigations. Prior to joining KPMG, Mr. DiLeonardo held positions as assistant United States attorney in the District of New Jersey; assistant director, Enforcement and Investigations for the Public Company Accounting Oversight Board; senior trial attorney at the Department of Justice, Tax Division-Criminal Enforcement Section; and trial attorney for the Office of District Counsel-Internal Revenue Service. Mr. DiLeonardo earned a Juris Doctor from Rutgers University, and a Bachelor of Science in accounting from Rider University.
Susan Fortney Howard Lichtenstein Distinguished Professor of Legal Ethics Director, Institute for the Study of Legal Ethics Maurice A. Deane School of Law, Hofstra University Susan Fortney serves as the Howard Lichtenstein Distinguished Professor of Legal Ethics and director of the Institute for the Study of Legal Ethics at Hofstra University’s Maurice A. Deane School of Law. Before joining Hofstra, she served as the Paul Whitfield Horn Distinguished University Professor and interim dean at Texas Tech University School of Law. She has conducted a number of empirical studies related to law firm ethics and governance. Most recently, she completed a study on the regulatory regime for law firms in Australia. Professor Fortney has published articles and books, including the first textbook in the country on legal malpractice law.
Matthew R.A. Heiman Vice President and Chief Compliance and Ethics Officer, Tyco Matthew Heiman is the vice president and chief compliance and ethics officer for Tyco at its U.S. headquarters in Princeton, New Jersey. Previously, he was Tyco’s lead counsel for its Continental Europe fire & security business at its global headquarters in Neuhausen, Switzerland. Before Tyco, Mr. Heiman was a lawyer with the National Security Division at the U.S. Department of Justice. He was a legal advisor to the Coalition Provisional Authority in Baghdad, Iraq, and practiced as a trial lawyer with the law firm of McGuireWoods. Mr. Heiman earned a Bachelor of Arts and Juris Doctor from Indiana University.
Michael E. Nawrocki Partner, Nawrocki Smith, LLP Michael Nawrocki is a certified government financial manager and is certified in financial forensics. He cofounded Nawrocki Smith LLP, one of the largest Long Island-based accounting firms. He has over 30 years of experience in rendering audit and other attestation services to not-for-profit, government, manufacturing, wholesale trade, government and construction contractors and service entities, ranging from start-ups to Fortune 500 companies. Mr. Nawrocki earned a Bachelor of Business Administration in accounting from Hofstra University’s Frank G. Zarb School of Business.
Steve Priest President, Integrity Insight International Steve Priest was described by the Wall Street Journal as “one of the most sought consultants to keep companies on the straight and narrow.” Prior to his recent creation of Integrity Insight International, Mr. Priest founded and ran the Ethical Leadership Group, an ethics consulting firm that he sold to Global Compliance in 2007 (now NAVEX Global). He has consulted in 48 countries on every continent with over 25 percent of the Fortune 200. He has trained 40 boards of directors and senior leadership teams, including Nobel laureates, CEOs and (retired) senior politicians. Mr. Priest earned a Bachelor of Arts and Master of Business Administration from the University of Chicago in addition to a Master of Theological Studies from Harvard University’s Divinity School.
John Ramsay Chief Market Policy and Regulatory Officer, IEX Former Acting Director, SEC’s Division of Trading and Markets John Ramsay is the chief market policy and regulatory officer for the IEX. He is former acting director of the SEC’s Division of Trading and Markets, which establishes and maintains standards for fair, orderly and efficient markets. At the SEC he was also deputy chief counsel for the Division of Market Regulation and counsel to thenCommissioner Mary L. Schapiro. His other regulatory experience includes service in key positions at the Commodity Futures Trading Commission and the National Association of Securities Dealers (now the Financial Industry Regulatory Authority). From 1999 to 2010, Mr. Ramsay worked as a partner at the law firm of Morgan Lewis and Bockius, senior vice president at the Bond Market Association, managing director and deputy general counsel at Citigroup Global Markets and as a consultant with the Regulatory Fundamentals Group. Mr. Ramsay earned a Juris Doctor from the University of Michigan and graduated summa cum laude and Phi Beta Kappa from the University of Texas at Austin.
Al Silipigni Senior Vice President and Chief Privacy Officer, HSBC Al Silipigni is senior vice president and chief privacy officer at HSBC, one of the largest banking and financial services organizations in the world. Previously, he was the chief privacy officer at American Express. Prior to American Express, he worked at JPMorgan Chase and Capgemini/Ernst & Young. He is a founding member of The Future of Privacy Forum Advisory Board (FPF), a Washington, D.C., think tank seeking to advance responsible data practices. Mr. Silipigni earned a Master of Business Administration from New York University’s Stern School of Business and a Bachelor of Science from Lehigh University.
Jacky Wagner Managing Director, Data Protection and Privacy Practice, PwC Jacky Wagner is a managing director who leads PwC’s data protection and privacy practice for the New York Metro area. She has 17 years of experience in data protection, privacy and compliance programs. Ms. Wagner focuses on all U.S. domestic privacy regulations, self-regulation and major global privacy requirements. She was responsible for building and leading PwC’s internal privacy and information protection program. Ms. Wagner also was a key member of PwC’s global data protection program. Ms. Wagner is a chartered accountant in Australia and earned a Bachelor of Business in accounting and Bachelor of Computing in information systems from Monash University. She is also a certified information privacy professional (CIPP/US).