Topic: “Practical Tips – And Some Traps – In Applying DOJ’s Updated Corporate Compliance Program Guidance”
Summary: Paul Monnin and Joey Burby from Alston & Bird, along with Brad Nesmith and Mia Reini from The Home Depot, will walk us through tips for applying DOJ’s updated guidance, as well as flag items that could create a trap for your corporate compliance program. Chris Terrell, Chief Compliance Officer for Piedmont Healthcare, will join as well to share his expertise.
Date: Wednesday, September 30, 2020. 11am – 12:30pm.
11:00 AM: Welcome & Intros
11:10 AM: Program
12:00 PM: Q&A
Audience: This event is open to all compliance & ethics professionals.
CEU/CLE: We are happy to provide up to 1.5 credits for NASBA, SHRM, and GA Bar CLE’s. This education activity has been submitted to the Compliance Certification Board (CCB)® and is currently pending their review for approval of CCB CEUs (SCCE). Credits will be issued based on actual run time and attendance.
Location: A Zoom link will be provided upon registration.
Cost: $75 non-members / No cost to current ACE members
Joey Burby, Partner, Alston & Bird
Drawing on his over 20 years of experience as both a prosecutor and defense attorney, Joey represents corporate and individual clients in criminal and civil investigations by the Department of Justice as well as regulatory investigations and enforcement actions by the SEC and other federal and state agencies. He has significant experience handling matters involving securities fraud, insider trading, health care fraud, the False Claims Act, antitrust violations, bribery, the Foreign Corrupt Practices Act, money laundering, tax fraud, and environmental violations. He has served as lead counsel in over 30 jury trials, including, most recently, a federal case in which the jury acquitted his client of all crimes charged in the indictment. Joey also conducts internal investigations on behalf of public and private organizations and their boards, counseling them on remedial actions and disclosure decisions. Joey previously served as an assistant U.S. attorney in the U.S. Attorney’s Office for the Northern District of Georgia, focusing primarily on fraud and public corruption. He tried numerous cases, including the first criminal securities fraud trial in Georgia and a capital murder case in which the jury returned a death sentence. He was also a member of the team that prosecuted Centennial Olympic Park bomber Eric Rudolph, for which he received The John Marshall Award, the Justice Department’s highest honor.
Paul Monnin, Partner, Alston & Bird
Paul Monnin has conducted internal investigations and compliance reviews in the U.S. and around the world on behalf of public and private companies. He has also defended companies and individuals in response to DOJ, SEC, and other federal and state agency enforcement proceedings, both at the investigative stage and post-indictment/complaint. His advocacy has frequently secured either a declination of prosecution or substantially mitigated criminal or administrative outcomes for his clients. Paul’s defense practice focuses on prosecution of the federal anti-fraud statutes, bribery and public corruption, perjury and obstruction of justice, and federal money laundering and forfeiture claims. He regularly defends federal investigations and prosecutions under the Foreign Corrupt Practices Act, False Claims Act, Computer Fraud and Abuse Act, and Stored Communications Act. He also routinely defends investigations and actions involving alleged accounting irregularities, stock manipulation schemes, and insider trading. And he has litigated the extraterritorial reach of U.S. indictments, search warrants, and grand jury subpoenas. Paul was previously an assistant U.S. attorney with the U.S. Attorney’s Office for the Northern District of Georgia, serving as deputy chief of the Economic Crimes Section. He has personally tried more than a dozen cases to a jury verdict, in addition to numerous bench trials. He has also conducted hundreds of evidentiary hearings and has briefed and argued dozens of appeals.
Brad Nesmith, Senior Director of Internal Audit, Compliance & Ethics, The Home Depot
Brad is responsible for driving enterprise-wide compliance initiatives including management of the Business Code of Conduct and Ethics, Enterprise Risk Management, records management and the Company’s Standard Operating Procedures. In his audit role, Brad has responsibility for controllership and continuous monitoring audits, including Sarbanes-Oxley testing and fraud detection, as well as process improvement projects utilizing Six Sigma methodologies. Brad has been with The Home Depot for 14 years and is a Certified Public Accountant and a Certified Fraud Examiner.
Mia Reini, Senior Manager of Corporate Compliance and Enterprise Risk Management, The Home Depot
Mia manages the day-to-day operations of the Corporate Compliance department for The Home Depot, which includes employee whistle-blower hotlines, conflict of interest, compliance & ethics communications, compliance leads program and annual global Home Depot Compliance Summit, enterprise risk management, records management, standard operating procedures for U.S. stores, and corporate policy governance. Mia received her bachelor’s degree from Harvard University and her law degree from American University. She is admitted to practice law in New York and Massachusetts.
Chris Terrell, Chief Compliance Officer, Piedmont Healthcare, Inc.
Chris serves as chief compliance officer for Piedmont Healthcare, Inc., leading the systemwide Compliance Program with oversight for all compliance issues. Recognized by Forbes as one of the Top 10 Employers in Georgia, Piedmont is an integrated healthcare system of 11 hospitals, 34 Piedmont Urgent Care centers, 25 QuickCare locations, 555 physician practice locations and more than 2,500 Piedmont Clinic members. Chris has 18 years of experience in healthcare compliance and law, recently serving as deputy chief compliance officer and privacy officer for Encompass Health Corp., a 40,000-employee national hospital system based in Birmingham. Encompass has 132 inpatient rehabilitation hospitals and 278 health/hospice agencies in 36 states.
For six of his 10 years with Encompass, Chris was the firm’s associate general counsel. Prior to his Encompass tenure, Chris was a partner at the Birmingham law firm of Balch and Bingham, where he advised and counseled hospitals, healthcare systems and physician practice groups. Chris has certifications in Healthcare Compliance and Healthcare Privacy Compliance and has law licenses in Alabama and Georgia. He’s a member of the American Health Lawyers Association and Health Care Compliance Association.
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