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Advanced Compliance and Ethics Workshop 2012

Speaker(s): Andrew J. Hinton, David Deitchman, Harvey Woodford, Kathy Rehmer, Larry Parsons, Lupe Garcia, Marc J. Fagel, Matt Tuchow, Maura Brady Sharp, Michael Mclaughlin, Nancy Higgins, Paul E. McGreal, Rebecca Walker, Robert D. Frisbee, Sheryl Vacca, Therese Lee, Wendy A. Hallgren, William H. Kimball
Recorded on: Nov. 28, 2012
PLI Program #: 35564

Matt Tuchow serves as Vice President, Global Compliance and Ethics and Assistant General Counsel at McKesson Corporation. His areas of expertise include regulatory and legal compliance, records and information management, corporate social responsibility, international law and public affairs. 

 Prior to joining McKesson in 2006, Matt served as Senior Advisor for Global Affairs for U.S. Representative Sander Levin where he focused his work on rule of law and human rights issues in China. From 1994-2001, Matt served as Senior Attorney for International Law for Gap, Inc. From 1991-1994, he served as an Associate Attorney at Pillsbury, Madison & Sutro, and from 1990-1991 as a Foreign Associate at the firm of Yanagida & Nomura in Tokyo, Japan. 

Matt also has considerable experience teaching. He was the recipient of a Yale-China teaching fellowship at the Chinese University of Hong Kong and more recently has taught as a visiting lecturer or has given guest lectures at the University of Geneva Business School, the Haas School of Business at Berkeley, the Hastings College of Law and the University of Michigan Business School. 

He received his B.A. degree from Yale University in 1983 and his J.D. from Harvard Law School in 1988.

Mike Mclaughlin is Dell’s Chief Ethics and Compliance Officer and a Legal Vice President who leads the  following global functions at Dell: employment law, employment litigation, ethics, compliance, privacy and knowledge  assurance. Prior to joining Dell in 2000, Mike was at Rohm and Haas Company (now a part of Dow Chemical Company) and Morgan, Lewis and  Bockius. Mike graduated summa cum laude  from Washington and Lee  University  School of Law  and clerked  for  the  Honorable Judge James L. Latchum, United States District Court, District of Delaware.

Therese Lee is Global Ethics & Compliance Counsel at Google Inc., where she is responsible for legal and regulatory compliance matters, particularly Google's worldwide compliance with the U.S. Foreign Corrupt Practices Act ("FCPA") and international anti-bribery laws. She speaks regularly at industry and policy conferences on anti-corruption.

Prior to Google, Therese practiced at the law firm of Wilmer Cutler Pickering Hale and Dorr LLP in Washington, DC, where she specialized in FCPA matters, international litigation, and human rights cases. Therese also has worked in the Appeals Section of the Office of the Prosecutor at the United Nations International Criminal Tribunal for Rwanda, researched Singapore and Malaysia's anti-terrorism laws as a Fulbright Scholar, analyzed East Asian security issues at the Center for Strategic & International Studies, and served as foreign policy adviser to U.S. Senator Daniel Patrick Moynihan (D-NY, 1977-2001).

Therese holds a Masters in Public Affairs from the Woodrow Wilson School of Public and International Affairs at Princeton University, a law degree from UC Berkeley, and a bachelor's degree from Stanford University. She is a member of the Bars of California, the District of Columbia, the Supreme Court of the United States, and the U.S. Air Force Court of Criminal Appeals.

David Deitchman is the Vice President and Associate General Counsel of Corporate Compliance for Hewlett-Packard Company (HP). He is responsible for legal and regulatory compliance matters including HP's leading practice of Compliance Wellness Assessments, which evaluate the maturity and effectiveness of compliance programs across HP. In addition, David's team has substantive legal accountability for anti-corruption, trade and public sector issues globally.

David joined HP (formerly Electronic Data Systems) in 2000 as a Senior Attorney. Prior to joining the Ethics & Compliance Office, David served as the Director for Employment and Real Estate on the Global Functions team. In this role he provided practical, business-focused legal advice on global employment related matters, policies, and strategies. He also managed HP's legal staff supporting corporate real estate matters, including the purchase, sale and lease of company property.

From 1995 to 2000, David practiced as a labor and employment attorney with Fulbright & Jaworski, LLP, where he represented companies in all phases of labor and employment litigation.

David earned a Bachelor of Science degree in mechanical engineering, magna cum laude, from Southern Methodist University in 1991, and a Juris Doctor (J.D.) degree from Baylor University School of Law in 1995.

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.

Maura Brady Sharp

As Director of International Legal Affairs for J.C. Penney Purchasing Corporation, Maura oversees a broad range of legal services in support of jcpenney's merchandise sourcing and quality assurance operations around the world. She is responsible for the ethics and compliance function at jcpenney international offices, located primarily in Asia and Latin America. She is currently based in Hong Kong.

Maura has investigated alleged team member and supplier misconduct in the U.S. and abroad and developed business ethics and compliance communications and training programs for a variety of Company audiences. Before relocating to Hong Kong, Maura's previous roles at jcpenney included Senior Counsel for Ethics and Compliance and Senior Attorney in the Labor and Employment Law Group. She has provided legal support to all areas of the Company, including retail stores, supply chain, Home Office, and now international operations. She is also a recipient of the jcpenney Chairman's Award for Excellence.  

Maura is a member of the Society for Human Resource Management, the Society of Corporate Compliance and Ethics, and the American Women's Association of Hong Kong. She is a past presenter at the Society of Corporate Compliance and Ethics Annual Compliance and Ethics Institute as well as the State Bar of Texas Standing Committee on Paralegals Texas Forum and the Texas Association for Home Care Annual Meeting.

Prior to joining jcpenney in early 2007, Maura practiced labor and employment law in the Dallas office of Gardere Wynne Sewell LLP. She is a graduate of the University of Texas at Austin School of Law and Louisiana State University.

Sheryl Vacca is the Senior Vice President/Chief Compliance and Audit Officer for the University of California appointed by the Board of Regents and named Regental Officer. The University of California (UC) is a 24 billion dollar company with approximately 185,000 employees and 225,000 students. This organization has a variety of businesses which are affiliated with education, research and scientific endeavors (including key world developments in the areas of energy, engineering, and bioscience). In this role, Sheryl directs and oversees the University's system-wide compliance and internal audit programs applicable to all UC communities including ten campuses, five medical centers, the Berkeley National Laboratory, (Lawrence Livermore National Lab and Los Alamos National Lab LLP (indirect)), ANR and the Office of the President. Specific functions include oversight of UC's Internal Audit services; compliance standards and procedures; compliance and ethics training; internal and external audits; investigations; program evaluation, monitoring and communications; reporting mechanisms; Regental and UC policy compliance; risk assessment; statutory and regulatory compliance and special area compliance (such as research, hospital operations, retail, labs, athletics, etc). Sheryl has presented nationally and internationally on compliance and internal audit topics, including Health Care Compliance Association, Society of Corporate Compliance and Ethics, Institute of Internal Auditors, American Health Lawyers Association, Association of Health Information, American Bar Association, and Practising Law Institute. Sheryl has also worked in multiple arenas with private and public governing boards related to their roles and responsibilities around compliance and internal audit.

Sheryl has received awards from the Society of Corporate Compliance and Ethics and the Health Care Compliance Association for her contributions to the compliance profession.  

Ms. Vacca has over thirty years of health care, compliance and auditing experience. Prior to joining UC in 2007, she held varying and increasingly responsible positions, including Deloitte & Touche's West Coast Practice Leader in Health Care Regulatory and National Lead on Internal Audit in Health Care. Ms.Vacca has held positions as VP/Internal Audit/Corporate Compliance Officer and numerous administrative leadership positions in health care and public arenas. Sheryl has her BS and Masters and served as an Officer in the USAR, Nurse Corps where she received accommodations and achievement medals during reserve and active duty. 

Sheryl is a board member of the Health Care Compliance Association, Audit and Ethics Committee, LLC - National Labs, Advisory Board Member of the Society of Corporate Compliance and Ethics, member of the Editorial Board for Corporate Compliance Officer, published by Opus Communications, Part B Insider, published by St Anthony and the Journal of Health Care Compliance, published by Aspen Publishers. In addition, Sheryl is an international speaker and has published on several articles in different aspects of compliance and internal audit. Sheryl is an established and effective leader in internal audit and compliance functions.

Andy Hinton is the Vice President of Global Ethics and Compliance at Google. In this role, Mr. Hinton leads the company’s efforts to identify and mitigate compliance risk and to nurture and expand upon the company’s core value of “Don’t be evil.”

Mr. Hinton joined Google in November 2006. From 2003 to 2006, Mr. Hinton was the Chief Compliance Officer at two GE Capital financial services businesses. From 1994 to 2003, Mr. Hinton was a federal prosecutor in New York City, focusing on white-collar crime. From 1989 to 1994, Mr. Hinton was a litigation associate at the New York City law firm of Cravath, Swaine & Moore, where he focused on commercial litigation and white-collar criminal defense.

Mr. Hinton is a 1989 graduate of Fordham School of Law, where he was a member of the Law Review, and a 1982 graduate of Harvard University, where he majored in Economics.

Mr. Hinton lives in Palo Alto, California with his wife, Joy, an accomplished securities lawyer, and their two children, Sarah and Eric.

Bob Frisbee serves as the Ethics and Compliance Director for Southern Company.  He is responsible for the Code of Ethics, Corporate Concerns, Personnel Risk Assessment, Data Loss Prevention and the overall compliance program structure across Southern Company. Bob began his career in 1982 as a plant chemist in Generation at Georgia Power and has held other positions at Georgia Power and Southern Company. Bob has earned two bachelor degrees, one in biology from the University of West Georgia and the other in accounting from Kennesaw State University. He is a certified public accountant in Georgia, a certified environmental, safety and health auditor and a certified compliance and ethics professional.

Bob is a member of the Society for Corporate Compliance & Ethics, the Atlanta Compliance and Ethics Roundtable, the Ethics and Compliance Officer Association, and serves on the Board of Governors at Georgia State University’s Center for Ethics and Corporate Responsibility. 

Harvey Woodford is the Vice President and Chief Ethics & Compliance Officer of Avnet, Inc., a global distributor of electronic components and computer products.  Harvey leads Avnet’s global compliance and ethics program, including its investigations and security functions, covering its business in 80+ countries.  Prior to Avnet, Harvey served as Director of Corporate Compliance & Ethics at T-Mobile, where he established and oversaw its compliance and ethics program and was responsible for its corporate governance and subsidiary management functions.  Harvey was also a founding member of T-Mobile’s Diversity Council.

Harvey received his law degree from the University of California, Berkeley School of Law and his undergraduate degree from the University of Washington in Seattle.  He is an active member of various compliance and ethics organizations.  Harvey is also a Certified Compliance and Ethics Professional (CCEP).

Larry currently holds the position of Senior Vice President and Chief Legal and Risk Officer of McLane Company, Inc., a $48 billion company providing grocery, foodservice and alcoholic beverage supply chain solutions for thousands of convenience stores, mass merchants, drug stores and restaurants throughout the United States.  McLane is a supply chain services leader, delivering more than 10 billion pounds of merchandise to customers every year.  Headquartered in Temple, Texas McLane has over 23,000 employees and operates distribution centers in over 80 cities across the United States.  Since 2003, McLane has operated as a wholly owned subsidiary of Berkshire Hathaway, Inc.

Prior to joining McLane, Larry was the Vice President, Legal and Chief Ethics and Compliance Officer for Freescale Semiconductor, Inc.  Prior to its merger with NXP Semiconductor N.V. in 2015, Freescale was a public company headquartered in Austin, Texas with over 18,000 employees in 26 countries. Before joining Freescale, Larry was Senior Director, Labor and Employment Law for Motorola, Inc. Prior to his role at Motorola, Larry practiced labor and employment law in the Austin office of Fulbright & Jaworski, L.L.P. and in the Dallas office of Jones Day, L.L.P.

Larry received his B.S. from Texas Christian University (cum laude, University Honors and Departmental Honors) and his J.D. from Vanderbilt University School of Law (Order of the Coif, Law Review).  Following law school he clerked for the Hon. Jerre S. Williams, Circuit Judge, United States Court of Appeals for the Fifth Circuit.

Larry is a member of the Association of Corporate Counsel (Chair, Council of Committees and Past Chair of the ACC Compliance and Ethics Committee), the Society of Corporate Compliance and Ethics, the Texas General Counsel Forum and is a Certified Compliance and Ethics Professional.  He is a regular speaker on compliance and ethics topics at events sponsored by ACC, SCCE, the Practising Law Institute, the American Conference Institute and others. Larry has served on the Board of Directors for several non-profit organizations including the Texas Christian University Honors College (Immediate Past Chair), the YMCA of the Rockies, Marywood Child and Family Services, the Austin Theater Alliance, Volunteer Legal Services of Central Texas, Chorus Austin and the Austin Summer Musical for Children.   

Nancy Higgins is the Vice President and Chief Ethics & Compliance Officer for Bechtel, a group of engineering, construction, and project management companies with more than a century of experience on complex projects in challenging locations around the world.  She is responsible for developing and maintaining Bechtel's global ethics and compliance program, including its international network of ethics and compliance officers. 

Prior to joining Bechtel in January 2007, Higgins was Executive Vice President of Ethics and Business Conduct for MCI, where she was brought in by the new CEO and the Board of Directors as a member of the executive leadership team and built a world class ethics and compliance program after the WorldCom scandal.

Before MCI, Higgins was Vice President of Ethics and Business Conduct at Lockheed Martin.  Prior to that, she headed the Office of Ethics and Business Conduct for The Boeing Company, where she created Boeing’s first company-wide ethics and compliance oversight program.  She had previously served in Boeing’s Law Department where she managed complex corporate litigation and advised the Board on shareholder litigation issues.  Prior to that, she practiced law at the Lane Powell firm in Seattle, Washington, and at Skadden, Arps in New York City.

Long active in the American Bar Association, Higgins has served on both the ABA Standing Committee on Professionalism and its Standing Committee on Ethics and Professional Responsibility.  She has also served in a number of leadership positions in the Litigation Section, including Litigation Council member and co-chair of the Committee on Corporate Counsel and the Ethics and Professionalism Committee.

She is a member of the Board of Directors of the Ethics and Compliance Association and a Fellow of the Ethics & Compliance Initiative.  In 2012, she served as a member of the Ethics Resource Center Independent Advisory Group on the 20th Anniversary of Federal Sentencing Guidelines for Organizations.  She was the 2014 recipient of the Carol R. Marshall Award for Innovation in Corporate Ethics.

Higgins is a past chair of the Working Group of the Defense Industry Initiative on Business Conduct and Ethics (DII), a consortium of defense contractors that subscribe to a set of principles for high standards of business ethics and conduct, and the Conference Board Global Business Conduct Council.

Higgins earned her bachelor’s degree in Russian History from Western Washington State University in Bellingham, Washington, and holds a law degree from the University of Washington in Seattle.  She completed the Advanced Management Programme at INSEAD, an international business school in Fontainebleau, France.

Paul E. McGreal is a Professor of Law at the Creighton University School of Law. He came to Creighton in July 2015, as dean of the School of Law, and he served in that position through July 2017.

Professor McGreal also teaches in the Texas A&M University Executive and Professional MBA Programs.  His courses there have included modules on corporate vicarious liability, domestic and foreign anti-corruption laws (including the Foreign Corrupt Practices Act), corporate compliance and ethics programs, business ethics, and corporate governance.

Professor McGreal was previously dean of the University of Dayton School of Law from 2011 to 2014.  Before that, he was associate dean and professor of law at Southern Illinois University School of Law.

Prior to joining SIU, Professor McGreal established the Corporate Compliance Center at the South Texas College of Law, where he taught for 10 years. While at South Texas, he created and taught the first course on corporate compliance and ethics programs offered at a United States law school. 

Professor McGreal is a frequent speaker and commentator on corporate compliance and ethics programs, and he authors an annual survey of legal developments on the subject for The Business Lawyer, published by the Business Law Section of the American Bar Association.

Before teaching, he worked in the Dallas office of Baker Botts LLP. After graduating from law school, he served as law clerk for Justice Warren Matthews of the Alaska Supreme Court.

Professor McGreal earned an LL.M. from Yale Law School, a J.D. from the Dedman School of Law at Southern Methodist University, and a B.A. in economics from Williams College.

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. 

Wendy Hallgren serves Fluor Corporation as its vice president of Corporate Compliance. Her responsibilities include planning, directing and managing the company's comprehensive compliance and ethics program, including its Code of Business Conduct and Ethics, corporate policies and compliance with applicable law. She also has responsibilities relating to the integrity of the company's financial statements, including acting as a member of Fluor's Disclosure Committee and supporting the Audit Committee of the company's Board of Directors. Recently, Hallgren was given responsibility for enterprise risk management at Fluor.

 Prior to moving to Corporate Compliance in June 2004, Hallgren was a member of Fluor's Legal department from 2002 - 2004. Before joining Fluor, she was an associate at Gibson, Dunn & Crutcher LLP in Orange County, California, and at Hogan and Hartson LLP in Washington D.C., where she represented business organizations in mergers and acquisitions, corporate finance and securities transactions.

 Hallgren received her law degree from the University of Michigan Law School and her undergraduate degree from Georgetown University.

Kathy has been with AT&T or it predecessor companies for over 35 years.  Since 1990 she has been involved in some type of compliance function, from Regulatory Compliance to Corporate Compliance & Ethics.  Among her accomplishments, she created a new compliance program for Cingular Wireless, successfully completed a major code rewrite at AT&T and created an Integrated Governance Council to analyze ethical violations across the organization.  On her current job, she is responsible for AT&T’s Compliance & Ethics Program. 

Kathy is married, with 2 grown sons and a daughter who just started college last fall. 

Marc Fagel is a partner in Gibson, Dunn & Crutcher’s San Francisco and Palo Alto offices and a Co-Chair of the Firm’s Securities Enforcement practice group.  Mr. Fagel’s practice focuses on the representation of public companies and their officers and directors, as well as financial institutions, hedge funds and private equity firms, accounting firms, and others in investigations conducted by the Securities and Exchange Commission, Department of Justice, FINRA, and other regulatory bodies.  Mr. Fagel also conducts internal investigations and represents clients in related civil actions.

Prior to joining the Firm, Mr. Fagel spent over 15 years with the SEC, most recently serving as Regional Director of the SEC’s San Francisco Regional Office from 2008 to 2013. In his role as Regional Director, he was responsible for administering the SEC’s enforcement and examination programs for Northern California and the Pacific Northwest, managing a staff of more than 100 lawyers, accountants, and other professionals.  Before his appointment as Regional Director, Mr. Fagel served as the office’s Associate Regional Director in charge of enforcement. While at the SEC, Mr. Fagel conducted and supervised investigations in nearly every subject area of the SEC’s enforcement program, including public company disclosure and reporting; insider trading; and matters involving major financial institutions, investment advisors, mutual funds, hedge funds and broker-dealers. 

Before joining the SEC, Mr. Fagel spent six years as an associate in the San Francisco office of a large international law firm, where he specialized in representing technology companies and their officers and directors in securities fraud class action litigation. Mr. Fagel received his undergraduate degree from Princeton University and graduated in 1991 with honors from the University of Chicago Law School, Order of the Coif.