Steering Clear of DOJ’s Most Likely to Be Caught List 2015

Topics

• What is a compliance program and what does it cover?
• State of Department of Justice compliance investigations 2014/15
• How a compliance program should be covered and implemented
• What is not considered part of a legal compliance program
• What compliance programs help accomplish and avoid
• Examples of how compliance programs are successfully extended to outside business partners
• What is a code of conduct and how it should be written into a compliance program
• Contents of a solid (general) compliance program
• Who needs to be listed as contacts in a compliance code book for employees
• Internal reporting of violations – simplicity, confidentiality, no reprisals
• Meaning and handling of confidential information
• Discussion of what’s difference between code and ethics, who must be covered
• LinkedIn and expert advisor networks – how to cover in compliance program
• Insider trading policy – how it can affect your private company
• Retention and altering of documents
• Importance of accurate communications – oral, paper, Internet
• Separating compliance code from HR rules
• Confidentiality
• Environmental health and safety as part of a compliance program
• Protection and use of your and other’s intellectual property
• Critical personnel policies that must be part of a compliance program and code
• Conflicts of interests
• Wrap up of key issues
• Cooperation in federal or state investigations
• Sample forms
• Important government websites on compliance, import, export, FCPA, and others

Who should Attend

• Business owners and partners
• Privately-owned businesses and professional services companies with revenues of $300k to $300mm
• Suppliers
• Vendors
• Sales Managers
• Bookkeepers
• Controllers
• Office Managers
• Pharmacists
• Comptrollers
• Nurse Practitioners
• Physicians
• Purchasing
• Chiropractors
• Marketing and production managers of any manufacturing or distribution companies
• Import and Export
• Medical offices
• Storage, sales (including online), or warehousing facilities