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Advanced Compliance and Ethics Workshop 2011


Speaker(s): Anna Itoi, Anne Tkacs, Chris Collin, David C. Farrell, Frank Lopez, Garin L. Bergman, Gina Saviola, Jeremy Wilson, Katy Collins, Lupe Garcia, Nancy A. Heafey, Rachel Beth Evans, Rebecca Walker, Richard Montes de Oca, Rusty Dawson CCEP, Saira Jesrai, Stacey P. Geis, Steven S. Lucas, Theodore L. Banks, William B. Sailer
Recorded on: Nov. 30, 2011
PLI Program #: 29462

Anna Itoi received a BA with honors and distinction from Stanford University in 1991 and a JD from Boalt Hall School of Law in 1996. Before joining Google 8 years ago in 2003, she worked for 6 years as a corporate securities law attorney at Wilson Sonsini Goodrich & Rosati in Palo Alto. Anna reports to Google's Chief Compliance Officer and manages Google's anti-bribery law team at Google.


Rusty Dawson is the Manager of Corporate Compliance for Toyota Motor Engineering & Manufacturing North America, Inc. (TEMA). The Office of Corporate Compliance began in 1998 at TMMK and became a TEMA-wide function in January of 2006. In addition to its obligations regarding the Sarbanes-Oxley Act, the Office of Corporate Compliance oversees corporate ethics and diversity.

Mr Dawson's responsibilities within Corporate Compliance have included initial Code of Conduct development, training development and facilitation, communications, Business Ethics Survey development, Helpline administration, investigations, and Site Services role including risk management and compliance management. He is a Certified Compliance and Ethics Professional through SCCE.

Mr. Dawson previously worked in Toyota Human Resources, where he supported team member relations, positive employee relations, and leadership development. Dawson is also a certified leadership coach. Prior to Human Resources, Dawson worked as a supervisor in manufacturing at the Kentucky Toyota location.

Dawson joined Toyota in February 1989. He attended the University of Kentucky and Northwood University, where he earned a Bachelor of Science degree in Business Management

He serves as a member of Toyota's contributions committee, which supports many local community non-profit agencies. 


STACEY P. GEIS 

  Ms. Geis is an Assistant United States Attorney at the U.S. Attorney’s Office in San Francisco and is the Office’s Environmental Crimes Coordinator. She was hired in March 2004 with a specific mandate to strengthen the Office’s environmental enforcement program. Since that time, she has criminally prosecuted dozens of pollution cases, including the 2007 Cosco Busan oil spill, as well as wildlife and fisheries cases. She prosecutes both individuals and corporations for environmental violations. Before joining USDOJ, Ms. Geis spent five years as the Senior Prosecutor for the State of California’s Environmental Circuit Prosecutor Project. In that position, she handled over 100 criminal and civil environmental cases. She teaches environmental enforcement throughout the United States and has written several articles on the subject. Since 2004, she has been a member of the Department of Justice’s Environmental Crimes Policy Committee. Prior to working for the government, Ms. Geis was an associate at the law firm of Pillsbury, Madison & Sutro in San Francisco where she practiced environmental compliance and litigation. She did her undergraduate work at Brown University and received her juris doctorate from the University of Virginia School of Law in 1994. From 1994-1995, she was law clerk to the Honorable Samuel Conti of the Northern District of California in San Francisco.


Steven Lucas is a partner specializing in political law, including campaign, election, lobby and ethics laws in various federal, state and local jurisdictions.  He specializes in state and local ballot measures, and maintains a 50 state practice in the area of campaign and lobby law compliance.  As a lecturer in law at Stanford Law School, he teaches "Election Law" and "Law and Politics in California."

He previously served at the appointment of the Governor of California as Chairman of the Bipartisan Commission on the Political Reform Act. He is a past president of the California Political Attorneys Association. He has also served on the California Secretary of State's Task Force on Online Disclosure as well as the FPPC Chairman's Advisory Task Force.

Before joining the firm and following his clerkship with Chief Justice Malcolm Lucas of the California Supreme Court, he practiced corporate litigation in the Los Angeles office of Sullivan & Cromwell. During that time he served as Counsel to the Webster Commission, appointed by the Los Angeles Police Commission to investigate the LAPD's preparedness for and response to the Los Angeles riots.

Mr. Lucas has published numerous opinion-editorial columns relating to constitutional and other legal issues in the Los Angeles Times as well as other California newspapers, and has experience working for federal and state public officials and political campaigns.

Mr. Lucas received his law degree from Harvard Law School, magna cum laude, where he was cross-enrolled at the John F. Kennedy School of Government, Institute of Press, Politics and Public Policy. He received a B.A. in Economics/Business and graduated magna cum laude from the University of California, Los Angeles, and is a member of Phi Beta Kappa.


Chris Collin is Senior Manager, Ethics & Compliance at General Mills, Inc. and a member of the General Mills Law Department. In this role she is responsible for strategic development and management of the Ethics & Compliance program at General Mills. Together with the Chief Compliance Officer and the Vice President and Deputy General Counsel responsible for Ethics & Compliance program oversight, Chris ensures the program continually builds on General Mills' strong culture of integrity and compliance with the law.  Chris has been with General Mills for over 5 years. 

Chris is member of the Ethics and Compliance Officers Association (the ECOA) and actively participates in their Retail and Consumer Products Industry Group. 

Before joining General Mills, Chris worked in the insurance industry for 13 years, where she managed compliance with privacy, agent licensing, insurance advertising and marketing and new policy development and administration. She graduated cum laude with a Bachelor of Arts degree in English from St. Olaf College in 1992. 

Outside of work, Chris is an active volunteer. She currently sits on the board for the Cammack Marshall Fund for Children, a private non-profit organization providing special services to wards of Minnesota living in Ramsey County. 


Lupe Garcia is Associate General Counsel, Global Integrity & Compliance for Gap Inc. She has been with Gap Inc. for over 13 years and has led Gap Inc.'s Integrity Program since January 2006. In her current role, Lupe focuses on promoting the Company's integrity value, and enhancing the Company's legal compliance around the world. She is also on the Steering Committee for the Company's Latino Employee Resource Group. 

Prior to 2006, Lupe was a Senior Corporate Counsel at Gap Inc. focused on employment law matters, and established the Company's International Employment Law practice. She was recently appointed by Governor Jerry Brown to serve on the Board of Trustees for the California State University. Lupe is also on the Board of Directors for the Lawyers' Committee for Civil Rights of the San Francisco Bay Area, and a member of the Ethics & Compliance Officers Association, as well as the Bay Area Ethics & Compliance Association.

Before joining Gap Inc., Lupe was an associate at Lafayette and Kumagui, practicing employment law. She received her law degree from the University of San Francisco and a B.A. in Public Policy from Occidental College. Lupe lives in Alameda, California with her husband and son.
 


Anne C. Tkacs, Managing Director of Ethics and Compliance for AGL Resources, reports to the Chief Ethics & Compliance Officer of AGL Resources and has direct operational responsibility for the Company’s Ethics and Compliance Program.   Ms. Tkacs has managed AGL’s ethics and compliance program for 11years.

A 25-year employee of AGL Resources, Ms. Tkacs has also worked as a senior attorney in the Company’s Legal Department, and as the Company’s Chief Auditor.

Prior to joining AGL Resources, Ms. Tkacs spent four years as a senior attorney for the
Georgia Consumers’ Utility Counsel.  She also spent four years as a Captain in the United States Air Force, serving as a Judge Advocate.

Ms. Tkacs received her undergraduate degree and her law degree from the University of Georgia.


Bill Sailer is Senior Vice President & Legal Counsel for Qualcomm Incorporated, where he has handled a wide variety of legal matters for the company, including employment law, litigation and ethics and compliance matters.  Prior to joining Qualcomm, Bill was a partner at Gray Cary Ware & Freidenrich.  In 2011, he was elected by his peers as a Fellow of the College of Labor & Employment Lawyers.

Bill has served in leadership positions in numerous business and charitable organizations, including:

Professional Organizations

  • The Association of Corporate Counsel (Director, Executive Committee)
  • The California Employment Law Council (President/Director)
  • The American Employment Law Council (Advisory Board)
  • State Bar of California Labor & Employment Law Section (Executive Committee);
  • San Diego County Bar Association Labor & Employment Law Section (Chair)
  • J. Clifford Wallace Inn of Court (Founding Master/Executive Committee)

Community Organizations

  • The Legal Aid Society of San Diego (President/Director)
  • The San Diego County Bar Foundation (Director/Executive Committee)
  • Rady Children’s Hospital Foundation of San Diego (Chair/Trustee)
  • Voices for Children (Director/Board Chair)
  • The National Conflict Resolution Center (Director/Board Chair)
  • The Junior Seau Foundation (Director/Executive Committee)
  • The Rolf Benirschke Legacy Foundation (Executive Committee)
  • Kids Included Together, Inc. (Director/Executive Committee)
  • Swarthmore College President’s Council/Council on Presidential Initiatives

Bill is committed to global diversity and inclusion, and has spoken widely on such topics, including for the Minority Corporate Counsel Association, the Conference Board, the American Bar Association, Association of Corporate Counsel and on the “Guys Overcoming Obstacles to Diversity” Panel (the “GOOD Guys”).  Bill leads the Qualcomm Pro Bono Program and has been awarded both the Wiley E. Manual Award by the State Bar of California and the San Diego Volunteer Lawyer Program’s Distinguished Service Award on multiple occasions for his pro bono work.  He was also recognized as the “Corporate Lawyer of the Year” by the San Diego Chapter of the Association of Corporate Counsel. 

Bill has spoken and written widely on employment law, ethics & compliance and anti-corruption issues. He has authored many publications including the treatise California Employment Litigation:  Strategies and Tactics for Lexis Law Publishing.  He served on the Editorial Review Board for the Matthew Bender Periodical California Employment Law Bulletin.  He has also been a contributing author and consultant to the CEB treatises, Advising California Employers and Employment Law Compliance for New Business

Bill graduated from Swarthmore College with Honors in Economics. He received his J.D., cum laude from the University of Michigan Law School.

Bill graduated from Swarthmore College with Honors in Economics. He received his J.D., cum laude from the University of Michigan Law School.


David Farrell is a Lecturer in Law at Santa Clara University Law School, where he is helping to develop an online masters degree program in corporate ethics and compliance.

David has twenty years of experience as a Vice President and Chief Ethics and Compliance Officer at Yahoo, Inc. and Sun Microsystems, Inc., where he built and led the first ethics and compliance programs for both companies.  His experience includes: advising executive management and the Board of Directors regarding business conduct and corporate compliance issues; promoting global awareness and consistent enforcement of ethics and compliance policies; establishing resources for employees to identify, report and resolve business conduct issues; managing global investigations; resolving conflicts of interest; and, working with management to coordinate global corporate compliance initiatives.

David's professional experience also includes working in a number of legal positions at Fortune 500 technology companies and serving as a U.S. Navy Lieutenant and Judge Advocate.  He has been a frequent speaker at legal education and compliance programs (including Practicing Law Institute, American Conference Institute and Compliance Week) and a media spokesperson on ethics and compliance topics (including The New York Times, The Wall Street Journal and Compliance Week).


Frank Lopez is currently employed by WellCare Health Plans, Inc. as Vice President, Corporate Compliance. Previously, Frank was employed with a major telecommunications company as Director of Ethics & Compliance, where his responsibilities included supervision of the company's global ethics and compliance program. Additionally, Frank's prior experience includes employment as a federal prosecutor, a state prosecutor, and with a major Colorado law firm as a civil litigator, specializing in employment law. Frank graduated with honors from the University of Florida College of Law. He received his undergraduate degree from the University of Miami, where he graduated magna cum laude, having majored in accounting.


 


Garin L. Bergman founded Guidant Technology, a company focusing on mobile applications for compliance, in May 2016 after spending almost 15 years in various compliance roles. 

Prior to Guidant, he spent five years at IDEX Corporation as the Chief Compliance Officer and three years at Dover Corporation as Director Corporate Compliance where he developed formal compliance programs for thousands of employees around the world.  While at both IDEX and Dover he focused his attention in a number of areas including data privacy, getting the company Safe Harbor certified, refreshing the Code of Conduct and the global hotline, establishing an online training program, developing compliance audit programs and updating and creating a number of compliance policies. 

Mr. Bergman spent six years at Ingersoll Rand (IR) from 2002 – 2008 where he specialized in anti-corruption reviews and investigations as well as internal audit projects.  He worked his way up from a senior auditor to an Audit Manager while spending 18 months in Shanghai setting up the IR Asia Pacific audit department. 

From 1996 – 2002 Mr. Bergman worked in the accounting firms of McGladrey & Pullen and later, KPMG.  He obtained his bachelor’s degree in accounting and a minor in Sociology in 1996 from Concordia College in Moorhead, MN.


Gina Saviola is Vice President and Deputy General Counsel, Ethics and Compliance at Jacobs, an international technical professional services firm, headquartered in Dallas.   Gina is based in Los Angeles and has over fifteen years of in-house experience managing global compliance programs.   Gina previously worked for Occidental Petroleum Corporation and Sumitomo Electric Industries.  Prior to going in-house, Gina was an attorney in the enforcement division of the Securities and Exchange Commission.  She began her career in white collar criminal defense.  Gina received her B.A. in Classical Studies from Duke University and her J.D. from the University of Virginia School of Law.


Jeremy Wilson is a Senior Vice President and the Chief Ethics Advisory Officer for Wells Fargo and Company.  In this role, he manages the team that handles team member requests and disclosures around ethics, business conduct and conflicts of interest.  He also functions as an ethics subject matter expert to the company.

Previously, Mr. Wilson was the Director of the award winning Ethics and Compliance Program at Cisco Systems.  In this capacity he oversaw the strategy and implementation of Cisco’s Ethics and Compliance Program including adherence to and enforcement of the Cisco Code of Business Conduct. Cisco was awarded the title of “Best Overall Compliance, Governance and Ethics Program” by Corporate Secretary Magazine and was placed on Ethisphere’s World’s Most Ethical companies list for seven consecutive years under his watch.

Prior to joining Cisco, Mr. Wilson served as the Director of Ethics and Compliance for Hilton Hotels Corporation in Beverly Hills, CA.  In this role he was responsible for the over-arching Ethics, Compliance and Privacy functions of the company.

Mr. Wilson began his Ethics and Compliance career at the Boeing Company in Seattle, WA as an Ethics Advisor working on both the commercial and defense contracting sides of the company.  Prior to joining the Boeing Ethics group, Mr. Wilson worked in various areas of Finance including: Revenue Management, Accounting, Estimating, Contract Management and Procurement.

For several years, Mr. Wilson sat on the board of directors for the Ethics and Compliance Officer Association (ECOA) where he served on the External and Governmental Affairs Committee, Nominating Committee and chaired the Marketing Committee.

Mr. Wilson holds a Bachelor of Science degree in International Business Management from Brigham Young University – Hawaii, a Juris Doctorate degree from Seattle University, and a Master’s degree in Dispute Resolution from Pepperdine University in Malibu, CA.


Katy Collins serves as a Compliance and Regulatory Counsel at Black Knight Financial Services.  As Compliance and Regulatory Counsel, Katy is responsible for managing the compliance program for the ServiceLink businesses within Black Knight Financial Services.  Her responsibilities include developing, implementing and monitoring compliance initiatives to ensure adherence to regulatory, legal and operational requirements for the title and escrow services, default services, appraisal and flood operations.

Katy joined Black Knight, formerly known as LPS, in January 2013.  Prior to joining, Katy spent three years as the Associate General Counsel for Control Components Inc., a severe service valve manufacturer. While at CCI, Katy was responsible for the successful completion of a three- year Department of Justice ordered monitorship.  Before joining CCI, Katy was with The First American Corporation for 11 years where she held several corporate legal positions including Senior Vice President, Director of Corporate Compliance and Special Counsel.  In this position Katy was responsible to developing and establishing an enterprise compliance program.

Katy received her law degree from Loyola Law School, Los Angeles, CA.


Rebecca Walker is a partner in the Santa Monica, California office of Kaplan & Walker LLP, a law firm that assists organizations in developing, implementing and improving their corporate compliance and ethics programs. For over twenty years, Ms. Walker has specialized in advising clients on the development and implementation of compliance and ethics programs that are tailored to each client's legal risks and business needs and that conform to applicable government requirements and pronouncements. Ms. Walker has counseled numerous companies in diverse industries on the various components of their compliance and ethics programs, including:

  • Assisting organizations in effectively structuring their programs;
  • Drafting and revising codes of conduct and other policies and procedures, including conflicts of interest and anti-corruption policies and procedures;
  • Developing and delivering compliance training and assisting in the development of compliance training and communications plans;
  • Developing reporting systems, investigations procedures and investigations training; and
  • Developing risk assessment processes and conducting compliance risk assessments.

Ms. Walker has also conducted numerous assessments of compliance and ethics programs, including assessments of entire programs as well as “deep dive” assessments of program elements, such as investigations procedures and program structure, and subject matter areas, such as conflicts of interest and anti-corruption programs.  She has also served as a monitor for the Department of the Air Force and as an independent consultant reviewing programs for the U.S. Securities and Exchange Commission.

Ms. Walker’s clients have included companies from the oil and gas, government contracting, engineering/construction, energy, financial services, pharmaceutical, health care, banking, automotive, publishing, advertising, consulting, telecommunications, retail, consumer products, apparel, railroad and shipping industries, among others, including many companies in the Fortune 500.

Ms. Walker chairs the Practising Law Institute's annual Compliance and Ethics Essentials program in New York and co-chairs their annual Advanced Compliance and Ethics Workshop.  Ms. Walker serves on the Advisory Board of the Compliance and Ethics Professional Magazine, published by the Society of Corporate Compliance and Ethics (SCCE) and on the Editorial Board of the Complete Compliance and Ethics Manual. For seven years, Ms. Walker served on the Advisory Board of the SCCE, the largest association of compliance professionals in the world.  For many years, she also served on the Advisory Board of the Corporate Compliance Center at the South Texas College of Law. Ms. Walker is the author of Conflicts of Interest in Business and the Professions: Law and Compliance, published by Thomson West in 2005.  She is the co-author of a number of compliance surveys, published by The Conference Board, the SCCE and others. Ms. Walker has also published numerous articles regarding compliance and ethics.  Ms. Walker is a frequent speaker on compliance and ethics issues, including for the Practising Law Institute, the SCCE, The Conference Board, and other legal and business groups.

Ms. Walker received her B.A. (magna cum laude, Phi Beta Kappa) from Georgetown University and her J.D. (cum laude) from Harvard Law School. 


Saira Jesrai is a Senior Compliance Officer at Marsh & McLennan Companies. She is responsible for overseeing the compliance policies and training for the Company’s 55,000 colleagues located in more than 100 countries.

Saira led the development of the Company’s Code of Conduct The Greater Good, for which she received the prestigious 2010 CEO Recognition Award. In a ground-breaking approach to communicating the importance of ethical behavior, Saira and her colleagues created a compelling documentary film, Faces of Marsh & McLennan Companies, which has won multiple awards, including two at the Los Angeles Reel film festival. Saira also led the development of an innovative Risk & Compliance training series called “Choose Your Path”. The training series has won six awards from distinguished organizations.

Saira was an Honoree at the 38th Annual YWCA of leading women of business, for achievements and contributions in the areas of ethics and compliance.

Saira has been a featured speaker at the Society of Corporate Compliance and Ethics, Practicing Law Institute, LRN and the Open Compliance & Ethics Group.

Prior to joining Marsh & McLennan Companies, Saira began her career as a litigator in the insurance and reinsurance groups of the prominent London law firms of Paisner & Co, Clyde & Co, and DLA Piper.  In 2004, she joined the international division of AIG as counsel.  She transitioned into AIG’s compliance group and was responsible for ensuring compliance in 72 countries across 10 regions, and subsequently overseeing the firm’s global compliance training initiatives.


Theodore L. Banks (Ted) is a partner in the firm of Scharf Banks Marmor LLC in Chicago, where his practice concentrates on compliance, general corporate, and antitrust matters.  He is also President of Compliance & Competition Consultants, LLC, a firm devoted to assisting corporations in development of effective and efficient programs in the areas of corporate compliance, internal investigations, and records management. 

He currently serves as a compliance monitor on behalf of the Federal Trade Commission and the Competition Bureau of Canada, monitoring the compliance programs of United Airlines, Air Canada, McKesson Corp., and Staples, Inc.   He is also an Associate Adjunct Professor of Law at Loyola University (Chicago) School of Law, where he teaches corporate compliance in the J.D., M.J., and L.L.M. programs.

Before entering private practice, he served as Chief Counsel & Senior Director, Global Compliance Policy, at Kraft Foods in Northfield, Illinois.  During his career at Kraft, his responsibilities also included supervision of complex litigation, negotiation of major corporate transactions, global records management, antitrust, and supervision of computer applications used in the Corporate and Legal Affairs Department.   He was responsible for automating the activities of the Law Department, and, among other accomplishments, created one of the first client-facing intranets in the country.  He directed many substantial corporate transactions, including the $19 billion acquisition of Nabisco by Kraft.  He successfully managed several antitrust cases as a plaintiff, where the company was able to recover substantial sums outside of the class action context.

Ted is a graduate of Beloit College (B.A. Government) and the University of Denver Sturm College of Law, where he served as Editor-in-Chief of the Denver Journal of International Law and Policy.

Ted has written numerous articles on antitrust, compliance, and legal automation topics. He co-edited the Corporate Legal Compliance Handbook, published by Aspen/Wolters-Kluwer, and his multi-volume treatise, Distribution Law: Antitrust Principles and Practice, also published by Aspen/Wolters-Kluwer, is now in its second edition.  He is also the author of the chapter on antitrust compliance in the Antitrust Adviser, published by Thomson Reuters.  He was a chapter author and one of the editors of the Antitrust Compliance Handbook, published by the ABA Section of Antitrust Law. In the ABA Cybersecurity Handbook, he wrote the chapter on cybersecurity for small businesses (and small law firms). He has been recognized as a “Super Lawyer,” as one of the “Attorneys Who Matter,” and one of 50 “Governance, Risk & Compliance Trailblazers and Pioneers. He is a frequent speaker at professional education programs, where he strives not to bore the attendees too much.


Rachel has been an in-house technology lawyer for over 20 years, and her areas of focus include software-as-a-service, IP licensing, and complex IT transactions. She is currently the commercial legal lead responsible for leading software-as-a-service contract negotiations and strategy for Workday’s central region.

Rachel previously worked at Accenture for 12 years, most recently as a Director of Legal Services, advising senior leadership on regulatory and other legal and business risks with respect to Accenture's HR, infrastructure, and application outsourcing services. Prior to Accenture, she worked at IBM and with Siebel Systems, negotiating complex IT transactions.

Rachel has been a speaker at numerous PLI conferences since 2010 and is admitted to practice law in New York and California. She grew up in the Chicago area, received her undergraduate degree in psychology from the University of Michigan in 1990, and graduated cum laude from Indiana University School of Law in 1994, where she was an editor of the Indiana Law Journal.

Rachel moved back to Chicago in 2016 after spending 22 years in Silicon Valley. When she’s not working, she enjoys volunteering in animal rescue.

Rachel can be contacted at rachel.evans@workday.com.


Nancy Heafey is a Senior University Counsel at Stanford University. Her practice includes global compliance, anti-corruption laws, privacy, risk management, and international safety and security standards.  She also handles risk assessment and development of compliance strategies for new and emerging compliance areas, including Stanford’s recent implementation of an EU data privacy (GDPR) compliance program. She developed Stanford’s global anti-bribery policy, program and training, and advises on global activities, including study abroad and international research activities.  Prior to joining the Stanford legal department, Nancy was the Director of Compliance and Ethics for Stanford, and was responsible for building out and directing all aspects of Stanford’s central compliance and ethics program.  From 1998 to 2011, Nancy was the Vice President, Deputy General Counsel and Chief Compliance Officer at Con-way Inc.  She was responsible for Con-way’s compliance and ethics program, including training, compliance risk assessments, and overseeing investigations, and she developed Con-way’s FCPA compliance program following significant expansion of its international activities.  While at Con-way Nancy was also responsible for overseeing employment and labor law matters and litigation.  Prior to joining Con-way, Nancy was in private practice in San Francisco, specializing in labor and employment law and litigation.  Nancy received her B.A. degree from Stanford University (with distinction) in 1986, and her J.D. degree from the University of California, Berkeley, in 1989.