VIRTUAL CONFERENCE

Moderated by Carrie Penman, President, ELG

Ethics and Compliance Trends:

Challenges and Solutions in Leading Organizations

VIRTUAL CONFERENCE

VIRTUAL CONFERENCE

AGENDA Agenda

Introductions

Discussion of current industry trends

Q & A

Please send questions to moderator during presentation; include whom the question is for as well. We’ll address as many as we can during the Q&A and look forward to a lively discussion.

Our Guests

Greg Miles Director of the Office of

Ethics and Business Conduct

Verizon

Kathleen Edmond Chief Ethics Officer

Best Buy

Carl Goldberg

Vice President,

Compliance and Ethics

Macy's

Michaela Ahlberg

Chief Compliance Officer

Volvo Car Corporation

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Carrie Penman, Moderator

President of the Ethical Leadership Group (ELG), the advisory services practice of NAVEX Global.

Spent four years as deputy director of the Ethics and Compliance Officer Association (ECOA).

Carrie was one of the earliest ethics officers in America; she has conducted numerous program and culture assessment projects for its clients and regularly works with and trains company boards of directors and executive teams.

She also serves as a corporate monitor and independent consultant for companies with government agreements.

VIRTUAL CONFERENCE

1. Setting up ethics & compliance programs to weather the storm

2. Impact of more government enforcement

3. Global whistleblower issues

4. Internationalization of ethics & compliance issues

Trends we’ll explore

VIRTUAL CONFERENCE

1. Ethics & Compliance Programs: Weatherproofing

4/2/2013

Superior governance practices generate 20% greater profit.

P R O F I T A B I L I T Y

- MIT Sloan School of Management

VIRTUAL CONFERENCE

1. Ethics & Compliance Programs: Weatherproofing

4/2/2013

Superior governance practices generate 20% greater profit.

P R O F I T A B I L I T Y

Strong sense of cultural integrity boosts shareholder return by 16%.

P E R F O R M A N C E

- MIT Sloan School of Management - Corporate Executive Board

VIRTUAL CONFERENCE

1. Ethics & Compliance Programs: Weatherproofing

4/2/2013

Superior governance practices generate 20% greater profit.

P R O F I T A B I L I T Y

Strong sense of cultural integrity boosts shareholder return by 16%.

P E R F O R M A N C E

Organizations in compliance avoid up to 95% of fines and penalties.

L I M I T E X P O S U R E

- MIT Sloan School of Management - Corporate Executive Board - Federal Sentencing Guidelines

VIRTUAL CONFERENCE

1. Ethics & Compliance Programs: Weatherproofing

4/2/2013

Superior governance practices generate 20% greater profit.

P R O F I T A B I L I T Y

Strong sense of cultural integrity boosts shareholder return by 16%.

P E R F O R M A N C E

Organizations in compliance avoid up to 95% of fines and penalties.

L I M I T E X P O S U R E

Every $1 spent saves $5.21 in liability, brand damage & lost productivity.

M E A S U R A B L E R O I

- MIT Sloan School of Management - Corporate Executive Board - General Counsel Round Table - Federal Sentencing Guidelines

VIRTUAL CONFERENCE

1. Ethics & Compliance Programs: Weatherproofing

4/2/2013

Proactive compliance programs improve performance, employee relations,

brand equity and shareholder value.

Superior governance practices generate 20% greater profit.

P R O F I T A B I L I T Y

Strong sense of cultural integrity boosts shareholder return by 16%.

P E R F O R M A N C E

Organizations in compliance avoid up to 95% of fines and penalties.

L I M I T E X P O S U R E

Every $1 spent saves $5.21 in liability, brand damage & lost productivity.

M E A S U R A B L E R O I

- MIT Sloan School of Management - Corporate Executive Board - General Counsel Round Table - Federal Sentencing Guidelines

VIRTUAL CONFERENCE

2. Even More Government Enforcement

NAVEX Global: The Ethics and Compliance Experts 4/2/2013 11

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2. Even More Government Enforcement

NAVEX Global: The Ethics and Compliance Experts 4/2/2013 12

SEC files record

735 enforcement actions

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2. Even More Government Enforcement

NAVEX Global: The Ethics and Compliance Experts 4/2/2013 13

All-time high

$6.7 billion

in fines

SEC files record

735 enforcement actions

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3. Global Whistleblower Connotations/Protections

NAVEX Global: The Ethics and Compliance Experts 4/2/2013 14

10 EU countries

surveyed

Source: Transparency International

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3. Global Whistleblower Connotations/Protections

NAVEX Global: The Ethics and Compliance Experts 4/2/2013 15

Whistleblowing legislation across 10 surveyed EU countries is generally fragmented and weakly enforced. There is no single, comprehensive legislative framework in place.

10 EU countries

surveyed

Reporting may be superseded by other laws which prohibit the release of information – and in many countries, libel and defamation regulations deter whistleblowers from making disclosures.

Source: Transparency International

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4. Internationalization of ethics & compliance issues

NAVEX Global: The Ethics and Compliance Experts 4/2/2013 16

78 percent omitted suppliers from their Codes of Conduct

and 58 percent “were not sure if their company regularly

assessed ethics risks in the supply chain.”

Source: Integrity Interactive survey

More than 40% of companies carried out no regular

assessments of performance against compliance policies.

Source: 2011 E&Y Global Fraud Survey

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AGENDA Questions & Answer

Please send questions to the moderator through the session chat interface.