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Corporate Compliance and Ethics Institute 2015


Speaker(s): Adam Siegel, Benjamin Gruenstein, Debra M. Torres, Hon. Katharine H. Parker, Jack Holleran, Jeffrey M. Kaplan, Joel Katz, Joseph E. Murphy, Lisa Stewart Hughes, Odell Guyton, Palmina M. Fava, Paul E. McGreal, Ravi Inthiran, Rebecca Walker, Robert D. Frisbee
Recorded on: Jun. 1, 2015
PLI Program #: 57827

Debra Torres has been Senior Vice President, Chief Compliance & Ethics Officer at PepsiCo, Inc., since May 2014.  Before joining PepsiCo, Debra spent over twenty eight years at the law firm of Fried Frank Harris Shriver & Jacobson LLP, twenty-one of them as a partner in the litigation department. At Fried Frank, she specialized in securities and shareholder litigation, internal investigations and government enforcement matters. In 2009, she joined Kalorama Partners PLLC, a Washington, D.C.-based legal services and consulting firm established by her ex-partner Harvey Pitt, a former Chairman of the Securities and Exchange Commission, as Managing Director of Kalorama’s New York office. At Kalorama, in addition to working on a number of internal investigations, Debra focused on compliance reviews and consulting.

Debra has a J.D. from Yale Law School and a B.A. from Yale University. She is a member of the Board of Directors of LatinoJustice PRLDEF, a civil rights organization advocating on behalf of the constitutional and legal rights of Latinos in the United States, and a past member of the boards of the Legal Aid Society and the Jewish Child Care Association.


Adam Siegel is a partner in Freshfields' litigation group and the co-head of the global investigations practice, based in the New York office. Adam represents clients facing government investigations and related civil litigation. Clients in a broad range of industries rely on him to defend them in investigations conducted by the US Department of Justice (DOJ), the Securities and Exchange Commission (SEC) and the State Attorneys General in matters involving alleged violations of the Foreign Corrupt Practices Act, the US tax laws, accounting and securities fraud and other issues. He also conducts internal investigations on behalf of clients in a wide range of industries.

Adam works regularly with other firm lawyers around the world, defending multijurisdictional investigations, developing compliance and training programs tailored to the global regulatory regimes faced by clients, and conducting due diligence regarding bribery and other risks in corporate transactions.

Adam’s recent matters include:

  • defending a multinational pharmaceutical company in an inquiry conducted by the DOJ and SEC into relationships with officials in countries in Europe, Africa, Asia and Latin America;
  • conducting an internal investigation for a multinational manufacturing company involving allegations concerning its sales agents throughout the Middle East;
  • defending the European affiliate of a Big Four accounting firm in an investigation by the SEC and the Public Company Accounting Oversight Board (PCAOB) regarding the audit of a client; and
  • serving as global anticorruption compliance counsel for a multinational consumer products company, responsible for policy review and development, strategic advice and the conduct of investigations.

Adam has been ranked by Chambers USA, which reports he “is a ‘very thoughtful and knowledgeable’ litigator and a ‘real expert in his field,’ according to impressed commentators.” He is also recognized by The Legal 500 and Benchmark Litigation, among other leading publications.

Adam was an Assistant US Attorney in the Criminal Division of the US Attorney’s Office for the Southern District of New York. There he served as Deputy Chief and Chief Appellate Attorney.

Adam received his JD, magna cum laude, from Harvard Law School and his AB, magna cum laude, from Harvard University. He is admitted to practice in the State of New York.


"Adam Siegel is a ‘very thoughtful and knowledgeable’ litigator and a ‘real expert in his field,’ according to impressed commentators.”
Chambers USA, 2016


Benjamin Gruenstein is a partner in Cravath’s Litigation Department.  His practice focuses on the representation of U.S. and multinational companies and their senior executives in government investigations, including those conducted by the U.S. Department of Justice and U.S. Securities and Exchange Commission, as well as internal corporate investigations.  Mr. Gruenstein represents clients in their U.S. and cross-border government and internal investigations related to such matters as the Foreign Corrupt Practices Act, insider trading, criminal antitrust, accounting fraud and trade sanctions, and accompanying civil litigation.  Mr. Gruenstein also conducts independent investigations on behalf of boards of directors in response to shareholder demands.

Mr. Gruenstein was recognized for his white collar criminal defense work by Benchmark Litigation and The Best Lawyers in America in 2016 and 2017.  He has also been repeatedly recognized by The Legal 500 United States for white collar criminal defense work, securities litigation and related regulatory enforcement matters, and for his experience in the media and entertainment industry.  From 2013 through 2017, Mr. Gruenstein was selected by Lawdragon as one of “500 Leading Lawyers in America.”  From 2015 through 2017, he and his colleagues earned the Firm recognition in the Corporate Crime & Investigations category of Chambers USA.  In 2014 and 2015, Mr. Gruenstein was named one of Ethisphere Institute’s “Attorneys Who Matter” and in 2013, he was recognized as one of five Law360 “Rising Stars” in the nation in the White Collar category.

Mr. Gruenstein authored a chapter on corporate compliance programs in the 2016 edition of Corporate Governance: Law & Practice.  He is a member of the International Bar Association and is a Fellow of the American Bar Foundation.

Prior to joining Cravath, Mr. Gruenstein served as an Assistant U.S. Attorney in the Criminal Division of the U.S. Attorney’s Office for the Southern District of New York from 2002 to 2008.  Mr. Gruenstein returned to Cravath in 2008, and became a partner in 2012.

Mr. Gruenstein received an A.B. summa cum laude in Philosophy and Mathematics from Harvard College in 1996, where he was elected to Phi Beta Kappa, and a J.D. magna cum laude from Harvard Law School in 1999, where he was an Editor of the Law Review.  After graduating from law school, Mr. Gruenstein clerked for the Honorable Stephen F. Williams of the U.S. Court of Appeals for the D.C. Circuit and for the Honorable David H. Souter of the U.S. Supreme Court.


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. 


Jeffrey M. Kaplan is a partner in the Princeton, New Jersey office of Kaplan & Walker LLP.   For twenty-five years he has specialized in assisting companies in developing, implementing and reviewing corporate compliance/ethics programs. This work has included conducting risk analyses; writing/editing codes of conduct and other policy documents; counseling companies in matters regarding training; developing compliance audit protocols and reporting systems; establishing compliance/ethics offices; and assisting boards of directors in meeting their fiduciary duties under the Caremark case.  He has also conducted numerous program assessments. Mr. Kaplan’s compliance/ethics program practice has included work for clients in the health care, medical devices, pharmaceuticals, automotive, government contracting, insurance, manufacturing, energy, retail, paper, publishing, professional services, education, consulting, telecommunications, technology, securities, private investments, food and chemical fields, as well as non-profit organizations. 

Mr. Kaplan has, on two occasions, been an independent consultant for companies suspended by the World Bank, reporting to the Bank on their respective compliance programs, and performed a similar review for the United Nations; has served as a compliance monitor in a criminal tax case for the New York County District Attorney; has reviewed and reported to the Department of Justice and SEC on a company’s compliance/ethics program in connection with the settlement of an FCPA-related investigation; and has reviewed and reported to a state attorney general on another company’s compliance/ethics program in connection with a settlement of a fraud-related matter.  He also conducts internal investigations on behalf of boards and companies into allegations of wrongdoing brought by whistleblowers and others.  He received his B.A. (magna cum laude, Phi Beta Kappa) from Carleton College in 1976 and his J.D. (cum laude) from Harvard University in 1980.  He is a former partner of Chadbourne & Parke, where he served in the Special Litigation Group, and also a former partner of Arkin Kaplan & Cohen LLP and of Stier Anderson, LLC. 

For many years Mr. Kaplan was Counsel to the Ethics Officer Association (now the ECI), a professional association of more than 1000 compliance/ethics officers.  He is, together with Joe Murphy, co-editor of Compliance Programs and the Corporate Sentencing Guidelines: Preventing Criminal and Civil Liability (West 1993), a leading legal treatise on designing and implementing compliance/ethics programs.  He is author of an e-book on risk assessment issued by Corporate Compliance Insights.   He is editor of the Conflict of Interest Blog.  He was for many years Adjunct Professor of Business Ethics at the Stern School of Business, New York University.  He is now a contributor to the Ethical Systems research project which is run by a professor at that school, and has recently co-authored an e-book for Ethical Systems on behavioral ethics and compliance. He is a member of the New York and New Jersey bars.  


Joe Murphy, Senior Consulting Advisor to Compliance Strategists, has worked in the organizational compliance and ethics area for over thirty-five years. Joe was previously Senior Attorney, Corporate Compliance, at Bell Atlantic Corporation, where he was architect and lawyer for Bell Atlantic's worldwide corporate compliance program. Joe was co-founder and vice-chairman of the board of Integrity Interactive Corporation (now part of SAI Global).  He has worked on compliance and ethics matters on six continents, and assisted government agencies, NGOs and companies across a broad range of industries. 

Joe has lectured and written extensively on corporate compliance and ethics issues, is on the board of the Society of Corporate Compliance and Ethics (SCCE)(www.corporatecompliance.org ), is Editor-in Chief of SCCE’s magazine, Compliance and Ethics Professional, and is the SCCE’s Director of Public Policy (pro bono). He has represented SCCE as a consultative partner to the OECD’s Working Group on Bribery in Paris, and testified before the US Sentencing Commission on proposed revisions to the Sentencing Guidelines compliance program standards. He currently serves as chair of the advisory board of the Rutgers Center for Government Compliance and Ethics.

Joe’s work with governments on compliance and ethics programs has included presentations to the Australian Competition and Consumer Commission staff and the Australian Tax Office, consulting for the Canadian Competition Bureau, assistance to a US Attorney’s office in assessing a corporate defendant’s program, training for federal prosecutors at the National Advocacy Center, and training at the SEC’s FCPA boot camp for SEC, FBI and DOJ enforcement officials. He also works on an ongoing basis with the OECD Working Group on Bribery to promote anticorruption compliance programs.  Through SCCE and individually he has provided written comments and input on compliance program standards to the SEC, the US Sentencing Commission, the UK Office of Fair Trading, the UK Serious Fraud Office, Standards Australia, the drafters of the King III report in South Africa, and the Canadian Competition Bureau. He also served as a witness for the US Department of Justice during the OECD Working Group on Bribery’s Phase II review of US implementation of the OECD Convention on Bribery of Foreign Public Officials.

With his mentor, Jay Sigler, Joe wrote the first book on compliance programs, Interactive Corporate Compliance in 1988, 3 years before the Organizational Sentencing Guidelines were issued.  Together with Jeff Kaplan and Win Swenson he wrote the leading legal text on compliance programs, Compliance Programs and the Corporate Sentencing Guidelines (Thomson/West). He is also the author of 501 Ideas for Your Compliance & Ethics Program (SCCE; 2008) and co-author of Building a Career in Compliance and Ethics (SCCE; 2007). Joe was named one of The National Law Journal’s Governance, Risk and Compliance Trailblazers and Pioneers 2014.

Joe has his BA from Rutgers University and his law degree from the University of Pennsylvania where he was a member of the Order of the Coif and Managing Editor of the Law Review. He is admitted to practice law in Pennsylvania and New Jersey.


Judge Katharine H. Parker was sworn into office as United States Magistrate Judge in the Southern District of New York on November 4, 2016.  She received a B.A. degree, cum laude, from Duke University in 1989.  In 1992, she received her J.D., cum laude, from Fordham University School of Law, where she was elected to the Order of the Coif. She was a Notes & Articles Editor for the Fordham Law Review.

From November 2000 through October 2016 she was an equity partner at Proskauer Rose LLP where she practiced labor and employment law and chaired several practice groups including Employment Law Counseling and Training and Government Regulatory Relations and Affirmative Action.  She was associated with the Proskauer firm from October 1993 through October 2000 as an associate. While at Proskauer, she had an active litigation career in cases involving the full gamut of federal, state and local employment laws. She also litigated cases involving fair housing, civil rights, non-compete, contract and employee benefits disputes.

While at Proskauer, Katharine was elected to be a Fellow of The College of Labor and Employment Lawyers and consistently honored in various listings such as Best Lawyers in America and New York Super Lawyers.

Judge Parker clerked for the Honorable Warren W. Eginton in the U.S. District Court for the District of Connecticut prior to joining Proskauer.

Judge Parker has been actively involved with the NYC Bar Association during her career, and has chaired both the Disability Law and Employment Committees. Judge Parker is also involved in pro bono and charitable causes, including the Michael J. Fox Foundation and Girl Be Heard.

She was a recipient of the Fairy Godmother Award from Girl Be Heard and the Jeremy Epstein Award for Pro Bono Service from the NYC Bar Association.


Mr. Odell Guyton, JD, CCEP, CCEP-I, is the Corporate Vice President, Head of Global Compliance for Jabil Circuit, Inc., St. Petersburg, Florida, USA, a diversified manufacturing services company with over 200,000 employees in 33 countries. Mr. Guyton is a Society of Corporate Compliance and Ethics (SCCE) Co-Founder and Co-Chair.  He is a recognized industry leader in designing, implementing, and managing effective corporate compliance programs for multi-national organizations. He has a significant track record of accomplishment in the legal field and the domestic (U.S.) and international compliance and ethics field.

He is a frequent lecturer on the implementation and administration of anti-corruption and anti-bribery compliance measures focused on U.S. Foreign Corrupt Practices (FCPA) and the U.K. Anti-Bribery Act. He serves on several United Nations workshops related to fighting corruption including the “UN Global Compact Guide on Fighting Corruption in Sport Sponsorship and Sport Related Hospitality” and “The UNODC Anti-Corruption Ethics and Compliance Handbook for Business.”  He is an expert consultant for the Humboldt-Viadrina, School of Governance, Berlin Germany in preparing their “Guide for Motivating Business to Counter Corruption-Using Sanctions and Incentives to Change Business Behavior”. He is a lecturer for the International Anti-Corruption Academy, Laxenburg, Austria.

Mr. Guyton is highly experienced in corporate internal investigation, complex litigation, criminal defense, internal controls, and preventative law and in the design and implementation of compliance programs. He has direct experience in technology, healthcare and university compliance. Mr. Guyton is licensed to practice by the Supreme Court of Pennsylvania Bar, the Washington State Bar Association, the U.S. District Courts, and U.S. 3rd. Circuit Ct of Appeals licenses. He is a Certified Compliance and Ethics Professional (CCEP, CCEP-I). He recently retired as Assistant General Counsel and Director of Compliance for the Microsoft Corporation. Prior to his appointment with Microsoft Corporation he served as the Corporate Compliance Officer for the University of Pennsylvania and University of Pennsylvania Health System. Previous to employment at the University of Pennsylvania, Mr. Guyton was engaged in the private practice of law. Mr. Guyton has served as a prosecutor in the United States Attorney’s Office and the Philadelphia District Attorney’s Office. He has served on several governing boards. He serves as Special Advisor on Compliance to the University of California Board of Regents and has been named as one of the “100 Most Influential Persons in Business Ethics” (Ethisphere Institute (2008)); Attorneys Who Matter (Ethisphere Magazine (2009; 2010, 2011). He also holds a Martindale-Hubbell “AV” (Preeminent) Highest Peer Review Rating. He studied bio-ethics at the University Of Pennsylvania School Of Medicine and received his Juris Doctor degree from the American University, Washington College of Law and earned his Bachelor of Arts degree from Moravian College, Bethlehem, Pennsylvania.


Palmina Fava is a partner in the Litigation practice of Paul Hastings and is based in the firm’s New York office. Ms. Fava conducts internal investigations, drafts and implements global compliance programs, and represents corporations and individuals in civil litigation and government investigations. Ethisphere Institute recognized Ms. Fava as a Specialist in its 2014 Attorneys Who Matter List and as a Rising Star in FCPA, compliance, and ethics in its 2013 and 2012 Attorneys Who Matter List, a selection which considers “expertise, peer and client endorsements, participation in high-profile cases, and overall success.” She also has been recognized by Main JusticeSuper Lawyers, and New York Times Magazine, was profiled by Law360 as a Female Power Broker, and received the 2014 Burton Distinguished Legal Writing Award.

Ms. Fava conducts internal investigations with respect to the Foreign Corrupt Practices Act (FCPA), international anti-corruption and anti-bribery restrictions, fraud, kickbacks, accounting irregularities, off-label pharmaceutical marketing, and misappropriation of trade secrets.  She regularly represents companies in such matters before the United States Department of Justice (DOJ), the Securities and Exchange Commission (SEC), other federal and state agencies, and international regulatory bodies. Ms. Fava has led teams in internal investigations in Latin America, Europe, Asia, Africa, and the Middle East.

Ms. Fava also designs and implements comprehensive corporate compliance programs tailored to a client’s particular risks; provides employee and third-party training; conducts proactive reviews of a client’s high-risk areas; structures commercial arrangements to protect against compliance risks; and handles due diligence of agents, joint venture partners, and targets in mergers and acquisitions, or other investment transactions.

Ms. Fava’s litigation practice focuses on commercial, business tort, and intellectual property disputes. She has served as lead litigation and trial counsel in matters involving breaches of fiduciary duty, breaches of contract, fraud, negligence, misappropriation of trade secrets, and insurance coverage. She has successfully tried and defended cases in federal and state courts, and before arbitration panels, and successfully represented clients in appellate arguments, mediations, and negotiations.

Recent Representations

  • Representing a pharmaceutical company in a risk assessment of its sales and marketing activities in China
  • Representing a technology company in investigations in Africa and Asia; recommending and implementing enhancements to the compliance program
  • Representing companies based in Asia in trade secret litigation; conducting trade secret compliance training for personnel based in Asia
  • Representing an energy company in Latin America in a risk assessment of its business practices and in developing a comprehensive anti-corruption compliance program
  • Representing companies based in Latin America and listed on U.S. stock exchanges in SEC investigations
  • Representing several large financial institutions and private equity funds in transactional due diligence for deals in the Middle East, Asia, and Latin America
  • Represented an energy fund in pre-acquisition anti-corruption due diligence of a large entity in Brazil
  • Represented a technology company in internal investigations in Eastern Europe related to potential violations of the FCPA; handled the voluntary disclosures of the matters to the DOJ and the SEC; obtained a complete declination from the DOJ and the SEC related to all of the matters (no fines or penalties)
  • Represented a pharmaceutical company in an internal risk assessment and analysis of its global anti-corruption compliance program and related processes and protocols; recommended, and assisted in implementing, enhancements to the anti-corruption compliance program
  • Represented U.S. and Hong Kong-based companies in litigation in the U.S. related to their commercial activities in Hong Kong
  • Represented a technology company in an internal investigation and in external disputes with business partners related to transactions in the Middle East
  • Represented a technology company in drafting and implementing a robust compliance program, including training and due diligence of third parties
  • Represented a pharmaceutical company in an off-label marketing investigation by the government, including representing and negotiating a settlement agreement of senior sales representatives and managers of the company

Accolades and Recognitions

  • Recognized as a Specialist by Ethisphere Institute in its 2014 Attorneys Who Matter List
  • Recognized as a Rising Star in the fields of FCPA, compliance, and ethics by Ethisphere Institute in its 2013 and 2012 Attorneys Who Matter Lists
  • Recognized by Main Justice, Super Lawyers, and New York Times Magazine Top Women Lawyers in New York
  • Recipient of the 2014 Burton Distinguished Legal Writing Award
  • Recipient of the Woman of the Year Award from the Kidney & Urology Foundation of America
  • Recipient of Fordham Law School’s Joseph D. Crowley Award and Pro Bono Service Award
  • Recipient of the Italian Government’s Distinguished Service Award

Speaking Engagements and Publications

  • Ms. Fava lectures and publishes regularly and is often quoted in articles on FCPA issues published by the Wall Street Journal, Reuters, CNBC, Bloomberg, Law360, FCPA Report, and Main Justice, among other leading publications. Among Ms. Fava’s most recent speaking engagements and publications are: 
  • Speaker at the New York City Bar Association Conference on Developments in FCPA Enforcement, April 2014 
  • Speaker at American Conference Institute’s 5th Annual Forum on Sunshine Act Compliance & Aggregate Spend Reporting, October 2013 
  • By-lined article for Law360 entitled “How To Get A Pass When A Corruption Problem Occurs,” June 2013 
  • Speaker at Momentum’s Conference on FCPA Enforcement, Washington, DC, June 2013 
  • By-lined article for Law360 about privilege-related concerns in internal investigations, March 2013 
  • By-lined article in Agenda, a Financial Times publication, on how boards can prevent becoming overburdened with new regulations, March 2013 
  • Speaker, New York City Bar Association Conference on Developments in FCPA Enforcement, February 2013 
  • By-lined article, “Guidance on the U.S. Foreign Corrupt Practices Act from the Department of Justice and the Securities & Exchange Commission: The Key, as with the U.K. Bribery Act and the OECD Anti-Bribery Convention, Is a Robust Compliance Program,” Ethisphere, January 2013

Professional and Community Involvement

  • Admitted to practice in New York
  • Admitted to the bar of the United States Supreme Court, the Federal Circuit Court of Appeals, and the U.S. District Courts for the Southern District of New York, the Eastern District of New York, and the District of New Jersey
  • Vice President and member of the Board of Trustees of the Kidney & Urology Foundation of America
  • Ladies Auxiliary, Veterans of Foreign Wars, American Legion Post

Education

  • Fordham University School of Law, J.D., 1997 (with honors)
  • Georgetown University, B.A., 1994 (cum laude)
  • Universita di Bologna (Italy), 1993 (Intensive course of study in International Diplomacy)

Foreign Language Capabilities

  • Italian (Fluent)
  • Portuguese & Spanish (Proficient: Reading)
  • French (Working Knowledge)


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. At Creighton, he is working with the Business Ethics Alliance on programs and projects to support compliance and ethics professionals, and he participates in the Alliance’s VP Ethics Exchange.

Dean McGreal also teaches in the Texas A&M University Executive MBA Program, which he has done since the Program’s inception in 1999.  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.

Dean 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, where the graduating class voted him the Senior Class Award in 2008, 2009, and 2010.

Prior to joining SIU, Dean 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. 

Dean McGreal has also taught as a visiting professor at George Mason University School of Law and Southern Methodist University’s Dedman School of Law.

Dean McGreal’s areas of expertise include corporate compliance, business ethics, constitutional law, religion and the law, and First Amendment rights.  He 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.   He has also published over 40 articles and essays in law journals at schools including University of Notre Dame, Northwestern University, and the University of Pennsylvania.

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.

Dean 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 law firm of Kaplan & Walker LLP, a law firm specializing in compliance and ethics located in Santa Monica, California and Princeton, New Jersey.  Ms. Walker advises 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 regarding effective compliance programs.  Ms. Walker has counseled numerous companies in diverse industries on the various components of their compliance and ethics programs, including risk assessment, codes of conduct and other policies, compliance training, monitoring and auditing systems, reporting procedures, program structure and program documentation. She has also conducted numerous assessments of companies’ compliance and ethics programs and compliance risk assessments.  Her clients have included companies from the consumer products, apparel, financial services, pharmaceutical, healthcare, banking, advertising, consulting, telecommunications, energy, retail and airline industries, including many companies in the Fortune 500.

Ms. Walker chairs the Practising Law Institute's annual Compliance and Ethics Institute in New York and PLI’s annual Advanced Compliance and Ethics Workshop in San Francisco.  Ms. Walker serves on the Advisory Boards of the Compliance and Ethics Professional Magazine, published by the Society of Corporate Compliance and Ethics, and the Corporate Compliance Center at the South Texas College of Law.  She also serves on the Editorial Board of the Complete Compliance and Ethics Manual.

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 Safeguarding Intellectual Property and Preventing Corruption in the Global Supply Chain, published by The Conference Board in 2012 and the Anti-Corruption Compliance Program Benchmarking Survey, along with Jeff Kaplan and the FCPA Blog, published in 2011.  Ms. Walker has authored several surveys and published numerous articles regarding compliance and ethics.  She is also a contributing editor of ethikos, a leading compliance and ethics journal.  Ms. Walker is a frequent speaker on compliance and ethics issues, including for the Practising Law Institute, The Conference Board, the Ethics and Compliance Officer Association 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. 


As NBCUniversal’s Vice President, Deputy Chief Compliance Officer, Lisa Stewart Hughes manages all aspects of the company’s business ethics and corporate compliance programs, providing advice, training, risk assessment, and related counseling in a variety of policy areas including FCPA and anti-corruption, conflicts of interest, international trade controls, fair employment practices, insider trading, money laundering prevention, antitrust, privacy, confidentiality and data protection.

Prior to joining NBCUniversal, Lisa worked as a commercial litigator for Simpson Thacher & Bartlett in New York and Hogan & Hartson in Washington, D.C.

Lisa has served as a speaker and panelist for the Practicing Law Institute, the Society of Corporate Compliance and Ethics, the Global Anti-Corruption Congress, the Ethics & Compliance Initiative, the Media Law Resource Center, the Corporate Counsel Women of Color Conference, the Business Roundtable on Ethics and the Harvard Law School Black Alumni Association.  She has served on the Boards of Directors for the Women of Tomorrow Mentor & Scholarship Program and the Embrace Music Foundation.  Lisa graduated cum laude from Yale University with a BA in Political Science and received her law degree from Harvard Law School, where she was a publishing member of the Civil Rights & Civil Liberties Law Review.

Lisa enjoys writing, yoga, and travel, and spends as much time as she can keeping up with her sixteen-year-old robotics champion, Stewart.


Jack Holleran currently serves as Managing Director, Compliance at Moody’s Corporation, based in New York City.  In this role, Jack serves as the Chief Compliance Officer for Moody’s Analytics, a global developer and provider of products, solutions and services that help financial institutions manage risk.  Moody’s Analytics is part of Moody’s Corporation and an affiliate of Moody’s Investors Service, the credit rating agency, with more than $1.1 billion in revenue in 2015.  Jack  is responsible for the design, implementation and effectiveness of the Moody’s Analytics compliance program.  Jack also serves as the Chief Compliance Officer of Moody’s Shared Services.

Prior to joining Moody’s, Jack served as Senior Compliance Officer at Marsh & McLennan Companies, Inc., where he worked with MMC and its operating companies to lead compliance and enterprise risk assessments, to drive integration of compliance and ERM, and to lead process improvement opportunities arising from risk assessments.  Prior to joining MMC, Jack was a principal with Ernst & Young in Washington, D.C., where he led the firm’s Corporate Compliance Advisory Services practice.  In that role, he advised clients on compliance risk assessments and compliance program design, implementation and improvement.  Prior to joining EY, Jack served as Senior Vice President, Compliance and Brand Integrity and Chief Compliance Officer at Philip Morris USA.  In that role, he served on the executive management team and was the principal architect of the company’s compliance and anti-counterfeiting programs.  Jack began his career as a trial lawyer with Hunton & Williams in Richmond, Virginia.

Jack is a graduate of Dartmouth College and the Washington & Lee University School of Law.  He is a frequent speaker and author on ethics and compliance-related topics, including Practising Law Institute, Compliance Week, the Ethics and Compliance Officer Association, the Society of Corporate Compliance and Ethics, the Conference Board, and Metropolitan Corporate Counsel.


Joel H. Katz is senior vice president, chief ethics & compliance officer and managing attorney for CA Technologies (“CA”), one of the world’s largest independent computer software companies. He serves as lead counsel to CA’s Human Resources, Administrative Services and Information Technology departments and provides advice and counsel on company-related legal matters.

As chief ethics & compliance officer, under the oversight of the Audit Committee of the company’s Board of Directors, Joel is the company’s leading voice on compliance and ethics issues. He leads the team that creates and enforces all compliance-related policies and procedures globally and produces training and awareness materials covering compliance topics; manages the company’s Regional Business Ethics Councils (consisting of approximately 25 senior business leaders); oversees all compliance-related investigations and associated remediation; and, serves as the company’s leading voice and main evangelist on the importance of maintaining a strong ethical, compliance-based corporate culture.

Before joining CA Technologies, Joel was with the law firm of Maupin Taylor P.A. in Raleigh, North Carolina. His practice was devoted exclusively to representing management in labor and employment-related legal matters.

Joel received his undergraduate degree from the University of Michigan and his J.D. (with distinction) from Hofstra University School of Law where he was an articles editor for the Hofstra Labor Law Journal. Joel is a member of the Connecticut, New York, North Carolina and South Carolina Bars, a member of the Board of Directors of the Ethics & Compliance Association (where he serves as Vice-Chair of the Nominating and Governance Committee) and the Ethics Research Center and a contributing editor to Compliance Week magazine.

Legal Areas of Responsibility: Ethics and Compliance, HR, Privacy, Procurement, Real Estate, IT, Managing Attorney


Ravi Inthiran leads the implementation and management of Zenefits’ compliance & ethics program, product (HR saas platform, benefits, payroll and other financial products) compliance, regulatory change management, and internal audit programs. This includes enterprise policy governance, compliance training and communications, investigations, board reporting and enterprise risk management. As Zenefits’ Chief Compliance Officer, Ravi reports to the General Counsel and the Zenefits’ Board of Directors. Prior to Zenefits, Ravi was Senior Director in the Global Compliance & Ethics department at McKesson (a Fortune-8 healthcare company), responsible for a wide swathe of McKesson’s U.S. compliance program, and spent 13 years at Deloitte, working with numerous clients to assess and create compliance programs centered on privacy, data security, and overall control environments.