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Compliance & Ethics Essentials 2021


Speaker(s): Ellen M. Hunt, Eric F. Hinton, Gene Stavrou, Gretchen A. Winter, Ira H. Raphaelson, John J. Sardar, Joseph E. Murphy, Kimberly W. White, Robert Z. Slaughter, Sarah DiLorenzo, Sarah R. Marmor, Scott Killingsworth, Scott R. Lassar, Stacey Bolton, Suzanne L. Montgomery, Theodore L. Banks
Recorded on: Apr. 22, 2021
PLI Program #: 316715

Bob Slaughter is a Principal and the Chief Legal Officer and Corporate Secretary of Avison Young (Canada) Inc.  Mr. Slaughter also serves as a member of Avison Young’s Board of Directors and Executive Committee.

Avison Young is the largest principal-owned and led commercial real estate services firm in the world. Avison Young offers a full range of real estate services (including brokerage leasing; brokerage sales and capital markets; property, facility and project management; consulting; advisory; asset management; and investment management) to occupiers, owners and investors in office, retail, industrial, multifamily, hospitality and other types of commercial real estate.

Avison Young was formed in 2008 through the combination of three independent Canadian real estate services firms that operated under the Avison Young and predecessor brands for more than 40 years. Avison Young has grown organically and through the recruitment of real estate professionals and strategic acquisitions (including the 2019 acquisition of GVA Grimley Limited, a London-based real estate advisory firm). Avison Young now has approximately 5,000 real estate professionals in over 100 offices (including over 20 licensed affiliate offices) in over 15 countries in North America, Europe and Asia.

Mr. Slaughter began working for Avison Young in 2008 as an outside legal advisor. Mr. Slaughter joined Avison Young in 2012 as its Chief Legal Officer. Mr. Slaughter was elected to Avison Young’s Board of Directors in 2017. Mr. Slaughter serves on the Compensation Committee and the Cybersecurity and Technology Committee of the Board.

Mr. Slaughter has broad experience in both executive in-house corporate legal positions (including as general counsel of two publicly-traded corporations) and as a partner in leading law firms where he advised clients with respect to complex corporate and commercial transactions (including mergers and acquisitions, joint ventures, strategic alliances and financings) and corporate governance matters.

Mr. Slaughter is also a Distinguished Practitioner in Residence at Loyola University Chicago School of Law where he has taught courses entitled “The Art of In-House Legal Counselling,” “Negotiation and Documentation of Merger & Acquisition Transactions,” “Corporate Governance Law and Practice” and “Business Organizations.”

 

In addition, Mr. Slaughter is a former Chair of the Board of Directors of The Illinois Institute for Continuing Legal Education, a not-for-profit provider of education programs, publications and practice guidance for lawyers. 

 

Mr. Slaughter received his law degree from The University of Chicago Law School in 1982 and graduated from Princeton University in 1978 with a degree in politics.


Ellen is a lawyer, ethics & compliance professional, audit executive, and chief privacy officer. She has expertise in identifying, evaluating and mitigating risks as an advisor to the Board of Directors and senior management. She has over 20 years of management experience in various industries in creating, designing, implementing, and operating world class ethics and compliance programs including board governance and reporting, designing instructor led and on-line ethics education, creating policy management frameworks, managing enterprise and compliance risk processes as well as handling investigations and regulatory agency inquiries.

She has deep knowledge of the regulatory requirements for governmental grants and contracts, has managed litigation matters, and redesigned audit planning processes to identify and mitigate risk. Ellen currently serves as the Vice President, Compliance Program Operations and Chief Privacy Officer for LifePoint Health, a national network with 60,000 employees in over 100 hospitals, post acute services, and outpatient centers operating in 28 states. Before joining LifePoint, she has served as the Senior Vice President ~ Audit, Ethics & Compliance Officer for AARP, a 38 million member not-for-profit association that advocates for those 50+ to empower them to chose how they live as they age. Ellen created the first Code of Conduct and Code of Ethics for the AARP Boards and established an ethics and compliance program from seven page conflict of interest policy to AARP being honored as a World's Most Ethical Company in 2019 and 2020. At AARP, she set the strategic direction for both the Internal Audit and the Ethics & Compliance functions with a team of seven and a budget of over $1 million.

Ellen serves on the Advisory Boards for the Notre Dame Deloitte Center for Ethical Leadership, Loyola University Chicago-School of Law- Compliance Studies, Compliance Week, and the Quorum Initiative.

She writes on important topics related to risk and is a frequent presenter at national conferences.

 


Eric F. Hinton is the inaugural Director of the Robert B. Rowling Center for Business Law & Leadership and an adjunct professor of law at SMU Dedman School of Law. He has over 10 years of experience teaching international business law, European Union law, and ethics and compliance at SMU Dedman School of Law, Loyola Chicago University School of Law, and the John Marshall Law School. Eric also lectures regularly in the MBA programs at the University of Texas at Dallas, Jindal School of Management.

With 20 years of experience in international business law matters, he has worked for two public Fortune 500 companies and two privately owned companies in Illinois, Texas, and Brussels, Belgium. Eric began his career practicing international trade law in Washington, DC, with an international law firm. He is the founder and past chair of the North Texas Ethics & Compliance Council and past chair of the ABA Export Controls and Economic Sanctions Committee.

Eric holds an LL M from the University of Leiden Law School (The Netherlands), a JD from BYU Law School, an MA from the University of Limerick (Ireland), and a BA from Utah State University. He studied international business law at the Sorbonne in Paris, France. Eric has published a number of scholarly articles on international law and compliance topics, including at Columbia University, NYU, SMU, and the University of Texas at Austin.


Gene Stavrou is Compliance Director for Ingredion Incorporated, a leading global food ingredients manufacturer, headquartered in Westchester, Illinois. Gene has developed award winning compliance software and is a respected speaker known for his ability to distill complex legal technology and compliance concepts. He received his Bachelor’s Degree in Marketing from the City University of New York and a Master of Science in Information Systems from the Stevens Institute of Technology. Gene is co-author of “The Executive’s Guide to Navigating the Information Universe,” published by the American Bar Association Business Law Section.


Gretchen A. Winter, J.D.  is Executive Director of the Center for Professional Responsibility in Business and Society (the "Center") and Clinical Assistant Professor of Business Administration in the Gies College of Business at the University of Illinois at Urbana-Champaign. She received a 2018 Dean’s Impact Award for outstanding contributions to Gies College of Business.

Ms. Winter also serves as an Adjunct Professor in the University of Illinois College of Law and is a Visiting Professor at the CY Cergy Paris Universite School of Law. She serves as faculty for Practising Law Institute, Society of Corporate Compliance and Ethics, and Ethics and Compliance Initiative educational programs.

Ms. Winter is Immediate Past Chair of the Executive Board of the Association of Practical and Professional Ethics (APPE) and chairs the APPE Board’s Intercollegiate Ethics Bowl Committee. She previously chaired the Ethics and Compliance Officer Association Board of Directors. She also has been Program Director for The Conference Board’s Global Business Conduct Council.

Prior to joining the Center, she worked for more than a decade at Baxter International Inc. as Vice President and Counsel, Business Practices, and developed and implemented the company's global ethics program.  Ms. Winter also practiced law with the firm of Seyfarth, Shaw and worked as staff for the State of Illinois General Assembly. 

Ms. Winter received her J.D. from the University of Chicago and her bachelor's degree from the University of Illinois at Chicago. 


Ira is one of a handful of lawyers to have served as a general counsel and senior executive in public companies, law firm partner, Presidential appointee, and prosecutor.  As a senior counsel at a global law firm, Ira advises companies, their management, and boards of directors around the world on governance, compliance, crisis management, and crisis avoidance.  He also serves as lead independent director of a public company and is an adjunct professor of law at Northwestern Pritzker School of Law, where he teaches a course he designed in entering foreign markets. 


Sarah heads the ethics, compliance and risk management function at Twilio, the world’s leading cloud communication platform that provides a suite of communications software to build, deliver, and iterate new customer experiences, and enables engagement with customers across channels - SMS, voice, video, WhatsApp, email and more.  Sarah joined Twilio in March 2021, moving from her role as VP, Global Compliance & Ethics Operations at Booking Holdings, Inc.  Previously, she held senior level legal and compliance positions at multiple Fortune 500 companies, including Arthur J. Gallagher & Co., McDonald’s Corporation and Sears Holdings.  

In her 20+ years as legal and compliance counsel, Sarah has developed and managed compliance and ethics programs designed to address global compliance risks with special focus on high risk markets.  Her areas of expertise include the following: codes of conduct for employees, vendors and suppliers; risk assessment; anti-corruption/FCPA and UK Bribery Act; global sanctions/OFAC; self-disclosures to regulators and response to regulatory inquiries; third party due diligence program creation and oversight; global internal investigations; policy development; ethics training and compliance hotline oversight. 

Additional areas of focus include campaign development to increase employee awareness of channels for raising concerns without fear of retaliation; enhancing and extending the compliance training curriculum to cover new and emerging requirements and reach a global audience; engaging and providing regular guidance to employees on gifts and entertainment, political activities and ethical business practices, and building and overseeing the global conflict of interest management process.  She has led efforts which have resulted in receipt of Ethisphere’s World’s Most Ethical Companies award for several companies where she worked.

Prior to entering the world of corporate compliance, Sarah served as in-house counsel for Allstate and Argonaut Insurance Company, where she managed reinsurance claims arising out of mass tort actions and advised the business on the implications of emerging environmental and insurance-related legislation.  At the law firm of Merlo, Kanofsky & Brinkmeier, she defended insurers through litigation, trial and appeal of complex insurance coverage actions.  She received her J.D. from Indiana University School of Law and her undergraduate degree from St. Louis University.


Scott Killingsworth’s practice focuses on organizational compliance and ethics, corporate law and transactions. He helps boards and senior executives with corporate compliance program design, implementation and evaluation, corporate governance and strategy formulation, and negotiated transactions. He brings to his compliance practice three decades of practical experience as outside general counsel to companies in fields as diverse as medical devices, manufacturing, technology and e-commerce, logistics and health care. In that capacity he helped manage compliance risk in such areas as privacy, intellectual property, government and commercial contracting and healthcare regulation, well before compliance was recognized as a distinct practice area.

Widely recognized for thought leadership in ethics and compliance, Mr. Killingsworth is one of only 7 private practitioners included in Ethisphere’s list of “Attorneys Who Matter” in compliance for 2013, 2014, 2015 and 2016. In 2018 and 2019, Trust! Magazine named him one of its Top Thought Leaders in Trust based on his work on compliance in the C-Suite. He received a 2013 Burton Award for Distinguished Legal Writing for his “Modeling the Message” article on ethical leadership, culture and compliance. “Modeling the Message” is among the top ? of 1% most requested titles from the Social Science Research Network scholarship archive and was honored on the “Recommended Reading” list in the Green Bag Reader of Exemplary Legal Writing.

Mr. Killingsworth has served on the Board of Governors of the Center for Ethics and Corporate Responsibility at Georgia State University and on the Executive Committee of the Georgetown Corporate Counsel Institute Board. His recent publications include articles in two RAND books, the Journal of Business Compliance, Compliance & Ethics Professional, Compliance Today, Ethikos, Ethisphere, and The FCPA Blog. Mr. Killingsworth has also been profiled or quoted in the Wall Street Journal, American Bar Association Journal, Investor’s Business Daily, Huffington Post, Compliance Today, Compliance & Ethics Professional, Corporate Counsel, Corporate Secretary, Corporate Crime Reporter, Journal of Business Compliance, Financial Times Agenda and Ethisphere, and in leading compliance blogs such as the Business Law Profs Blog, Ethical Systems, Compliance Strategists, Behavioral Legal Ethics Blog, the FCPA Blog, the FCPA Compliance & Ethics Blog, Internal Investigations Blog, Conflict of Interest Blog, and Corruption, Crime & Compliance.

He received his bachelor’s degree in Culture and Behavior at Yale University, where he was a Yale National Scholar and National Merit Scholar, graduated Phi Beta Kappa and with Honors with Exceptional Distinction, and later served on the alumni Board of Governors. He also earned his J.D. from Yale and served as Vice President and a member of the Executive Committee of the Yale Law School Association.


SCOTT LASSAR is senior counsel in the Chicago office. Prior to joining the firm, Scott was the United States Attorney for the Northern District of Illinois in Chicago.

Scott’s practice involves all aspects of white collar criminal defense, including price fixing, anti-bribery, securities fraud, insider trading, environmental crimes, tax fraud, and healthcare fraud. Scott also has conducted over 40 investigations for public and private companies.

Scott has tried over 45 cases in federal court as a prosecutor and in private practice, including trials involving price fixing, healthcare fraud, securities fraud, securities and commodity trading, accountant’s liability, trade secrets, and federal criminal violations.

Scott also represents parties in intellectual property litigation.

Scott serves on the American Bar Association/Department of Justice Dialogue Group, which meets regularly with the Attorney General on white collar crime issues.

Scott also serves as an arbitrator with the American Arbitration Association.

Scott is recognized in the 2016 edition of Who’s Who Legal: Business Crime Defence. Scott is also named as a leading lawyer in Chicago for litigation in white-collar & government investigations by Chambers USA: America’s Leading Lawyers for Business (2012–2017). Additionally, Scott is recognized in The Best Lawyers in America 2013–2019 in Bet the Company Litigation, Commercial Litigation, White Collar Criminal Defense and Securities Litigation. Scott is also recognized as a Litigation Star in the United States in the 2014, 2015, 2016 and 2017 editions of Benchmark Litigation.

Memberships & Activities

  • Fellow of the American College of Trial Lawyers

Admissions & Certifications

  • U.S. Supreme Court
  • U.S. Court of Appeals, 6th Circuit
  • U.S. Court of Appeals, 7th Circuit
  • U.S. District Court, N.D. of Illinois - General
  • U.S. District Court, N.D. of Illinois - Trial Bar
  • U.S. District Court, E.D. of Michigan
  • Illinois

Education

  • Northwestern School of Law (J.D., 1975)
  • Oberlin College (B.A., 1972)


Stacey is Senior Vice President and Chief Risk Officer of Corporate and Institutional Services (C&IS) and Global Services businesses at The Northern Trust Company, in Chicago, IL. His responsibilities include assisting in the management and executive reporting of key business risks, including operational, market, credit, compliance, legal and reputational risks.

Stacey Bolton is a Risk, Compliance and Ethics Professional with over 25 years of experience in the financial services industry, specializing in banking, brokerage, asset management/servicing, and capital markets risk and regulatory compliance, in a multi-national environment.

Prior to joining The Northern Trust Company, Stacey spent 15 years with ABN AMRO Bank N.V. and its domestic subsidiary LaSalle Bank Corporation, in Chicago, IL, where he became Senior Vice President and North American Head of the Compliance Policy Center. He was charged with the creation, maintenance and update of compliance related policy and procedures. Stacey began his career at investment management firm, Kemper Financial Services, Inc., in Chicago, IL where he served as Compliance Coordinator.

Stacey received a Bachelor of Science from Northern Illinois University, a Master of Arts in Theology from Moody Theological Seminary and Graduate School, and a Master of Business Administration from Purdue University.

He holds the following designations and licenses: Certified Information Privacy Professional (Association for Information Privacy Professionals) Certified Anti-Money Laundering Specialist (Association of Certified Anti-Money Laundering Specialists) Certified Compliance and Ethics Professional (Society of Corporate Compliance and Ethics) *Financial Industry Regulatory Authority (FINRA) Series 7, 24, 63, and 66 (*expired)

Stacey serves as a board member and chairs the Governance Committee for The Golden Apple Foundation, a teacher preparation and recognition nonprofit that specializes in the recruitment and advanced training of future teachers, committed to serve in schools of need. He also serves as Board President of Free Spirit Media, a nonprofit that serves disadvantaged youth, by introducing them to all forms of media, including television, film and print journalism, that allows them to create and curate original content, as well as providing pathways to industry employment.


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.


For 40 years, Joe Murphy, CCEP, has been a tireless champion of compliance and ethics in organizations and has done work in this field on six continents. Joe has published over 100 articles and given over 200 presentations in 17 countries.  Joe is author of 501 Ideas for Your Compliance & Ethics Program and A Compliance & Ethics Program on a Dollar a Day. He is a Certified Compliance & Ethics Professional and a member of the board of the Society of Corporate Compliance & Ethics. Joe was named one of The National Law Journal’s 50 Governance, Risk and Compliance Trailblazers and Pioneers 2014.

A renowned expert in his field, Joe is an established author and lecturer who travels the world helping compliance and ethics professionals steer their companies and other organizations along the straight and narrow path.

Practicing for twenty years in-house, and twenty years as an outside advisor in the field of organizational compliance and ethics, Joe can travel throughout the world and be welcomed on a first name basis among the champions of compliance everywhere.

Joe has advised governments, companies, non-governmental organizations and universities around the world about the nuances of implementing an effective compliance and ethics program. Compliance techniques that he wrote about as early as the 1980s are now accepted best practices.

Joe is an international proponent of the compliance and ethics field, one of the few careers left where, as he puts it, “you can do well and do good at the same time.”

Please check out this site and don’t hesitate to reach out to Joe for anything related to compliance and ethics.


Suzanne Montgomery is currently the Vice President, Compliance & Chief Accessibility Officer at AT&T. In this role, she leads a team responsible for developing AT&T’s strategy for compliance, performing compliance oversight of mergers & acquisitions and minority interests, and preparing compliance-related reports to the Board of Directors. She is also responsible for interfacing with external and internal stakeholders to champion accessibility solutions in product and service design for customers and employees.  Ms. Montgomery holds a BA from Drew University and a JD from Washington University in St. Louis.


Until recently John was the Chief Compliance Officer for Noble Energy, Inc.  Noble Energy was a publicly-traded, leading independent energy company engaged in worldwide oil and gas exploration and production. In October 2020, Chevron Corp (NYSE: CVX) acquired Noble Energy, at which time it ceased to exist as an independent company.  As CCO, he oversaw all aspects of Noble Energy's ethics and compliance program globally.

John has legal experience in both private and in-house practice and working for the U.S. government. Before joining Noble Energy, he was Director, Ethics & Legal Compliance with Baker Hughes Inc., a Fortune 500 provider of oil field products and services to the worldwide oil and gas industry. He previously also worked as Deputy Compliance Officer & Counsel–Litigation with St. Louis-based Charter Communications, Inc. Before that in private practice, he worked with Bryan Cave Leighton Paisner LLP, an international law firm headquartered in St. Louis, Missouri, with over 1,100 lawyers worldwide. John's governmental experience includes serving as a Special Assistant United States Attorney during 1999-2000 with the office of the Special Counsel John C. Danforth to investigate the Federal Bureau of Investigation's (FBI) role in the 1993 siege and subsequent raid on the Branch Davidian compound in Waco, Texas.

From May 2013 to April 2015, he served as an alternate member of the U.S. Extractive Industries Transparency Initiative (USEITI) Advisory Committee. The USEITI, a U.S. Federal Advisory Committee, was tasked with guiding and overseeing the U.S. government's implementation of the Extractive Industries Transparency Initiative (EITI).

John earned a bachelor's degree in Economics from California State University at Long Beach and a law degree from St. Louis University and is a member of the Missouri Bar. He is a frequent speaker at domestic and international conferences addressing legal and regulatory compliance and other global trade law issues. In 2016, he was named to Ethisphere Institute's list of "Attorneys Who Matter" in ethics and compliance. 


Kimberly White is the Global Compliance Officer for Ingredion Incorporated, a leading global food ingredients manufacturer, headquartered in Westchester, Illinois.  In her current role, Ms. White is responsible for strategic implementation and management of the Company’s Ethics and Compliance Program.  Her responsibilities include investigations, training, hotline and case management, compliance policies and policy management, and third party risk management, and supporting continuous improvement activities. 

Prior to joining Ingredion, Ms. White was the U.S.-Canada Regional Compliance Counsel for Johnson Controls, Inc., in Milwaukee, Wisconsin. She is a past chair of the Association of Corporate Counsel (ACC) Compliance and Ethics Committee.  Ms. White received her Bachelor of Science Degree in Communication Studies from Northwestern University and her J.D. from the University of Notre Dame School of Law.  She is a Certified Compliance and Ethics Professional (CCEP) awarded by the Society of Corporate Compliance and Ethics (SCCE) Compliance Certification Board, and became a Certified Fraud Examiner (CFE) in June 2019. Ms. White also holds a Certification in Spanish as a Second Language (Level C1) awarded by the Cervantes Institute in 2017.


Sarah R. Marmor concentrates her practice on employment law, complex business litigation, and product liability. Ms. Marmor has tried complex cases throughout the United States, in state courts in Illinois, Colorado, Oklahoma, Louisiana and Texas and in federal courts in Illinois, Michigan, California and New York.

Ms. Marmor's employment law practice comprises counseling and litigation in all aspects of this discipline, including discrimination claims, wage and hour issues, employment contracts, non-compete matters and pay equity. Ms. Marmor defends clients in state and federal claims, and has tried employment contract, discrimination, and ERISA suits to successful verdicts in both state and federal courts. She also frequently conducts confidential internal investigations for employers. In recent years, she has developed significant expertise in social media law as it applies to employment, and she frequently lectures on this subject.

Ms. Marmor has represented clients in a variety of complex commercial disputes, including breach of contract claims, insurance coverage for corporate policyholders, bond litigation, veil piercing and alter ego claims, theft of confidential and intellectual property allegations and non-compete suits. She also has significant experience in consumer fraud litigation, with cases in Madison County, Illinois; Chicago, Illinois; and San Diego, California.

Ms. Marmor has defended clients in product liability claims involving breast implant, tobacco, asbestos, household products and appliances. She also has represented clients in toxic tort claims involving chemicals and "toxic" mold. Through this sophisticated products liability practice, Ms. Marmor has gained significant experience in developing scientific defenses to personal injury and property damage claims - particularly in the disciplines of toxicology and epidemiology.

Ms. Marmor received a B.A. in comparative literature, magna cum laude, from Princeton University in 1987. She graduated, magna cum laude, in 1993 from Northwestern University School of Law, where she served as a Comment Editor of the Journal of International Law and Business and received the Order of the Coif.