Compliance officers and in-house counsel for Indiana companies
gathered in November for an educational presentation, informal
group dialogue, and networking reception as part of the Indiana
Compliance Officers Roundtable.
At the recent meeting, compliance officers and in-house counsel
from various industry sectors, including manufacturing, healthcare,
and retail gathered for a Continuing Legal Education seminar
on"Employment Law Considerations for Compliance
Programs." Presenters on the panel at the event
were:
Nick Lemen - Senior Director, Ethics and
Compliance
Enterprise Risk Management, Communications, and Strategy, Eli Lilly
and Company
Fernanda Beraldi - Ethics and Compliance Director,
LATAM and Corporate Counsel, Global Transactions, Cummins
Inc.
Ryan Poor – Partner, Ice Miller LLP
Dale Stackhouse – Partner, Ice Miller
LLP
Ryan Poor discussed the legal and ethical requirements that often
arise as companies implement codes of business ethics and conduct.
He shared with the group recent court decisions and guidance from
the National Labor Relations Board ("NLRB") that can
impact how codes of business ethics and conduct are written and
enforced. Ryan also provided examples of how companies have written
or revised their codes to take into consideration these
issues.
Nick Lemen and Fernanda Beraldi, both senior leaders in their
company's ethics and compliance programs, shared with the
attendees how their programs take into account various ethical
challenges and work to maintain and enhance employee understanding
and engagement in the compliance program—both in the United
States and globally.
Dale Stackhouse asked the panel a number of probing questions,
particularly related to how internal investigations are conducted,
attorney-client privilege issues that can arise, employment law
considerations in internal investigations, and how such legal and
ethical considerations are addressed.
The panel also discussed the recent US Department of Justice Yates
memorandum and how that may impact corporate compliance programs
and internal investigations. The audience shared thoughts and
concerns about the Yates memo.
As regulations become more complex and government enforcement
increases, Indiana companies and organizations are creating or
enhancing their compliance functions. Likewise, internal compliance
organizations are growing and expanding the scope of their
responsibilities. The Indiana Compliance Officers Roundtable
provides a forum for in-house compliance personnel to share best
practices and get acquainted with others in the compliance
field.
The
Government Enforcement, Internal Investigations and Corporate
Compliance practice group at Ice Miller provides administrative
and organizational support for the roundtable. Ice Miller also
maintains a contact and email list for those companies and
organizations participating in the roundtable. There is no charge
to participate.
To learn more about the roundtable and to add your company or
organization to the email list for updates and other information
supporting compliance personnel and in-house counsel, please
contact Ice Miller's Lu Carole West, Dale Stackhouse or Matt Fornshell.
To learn more about Ice Miller's
Labor, Employment and Immigration practice group, please
contact Ryan Poor.
Information about the upcoming Spring 2016 Roundtable and other
events will be provided to the roundtable mailing list.
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.