Public Board Dinner – Thoughts on an Effective Compliance Program
Monday, December 02, 2019
Location: Il Fornaio
520 Cowper Street
(at the Garden Court Hotel)
Palo Alto, CA 94301
Are you a current public company board member, have served as a public company director in the past and are actively seeking a new position, or a board member of a company anticipating an IPO and wish to be part of this event?
Every year, civil and criminal charges are brought by federal authorities against US companies and individuals for FCPA and other compliance violations. Boards of Directors have an affirmative obligation to ensure the effectiveness of the company’s compliance program. So how should Boards satisfy that obligation?
Stephen Martin will share his thoughts and war stories on matters such as:
- Steps Boards can take to effectively manage and mitigate compliance risks in their organizations
- Recent enforcement trends and governmental expectations for compliance programs
- Questions Board members should ask about a company’s compliance program
- Techniques to help facilitate an effective and open dialogue between Boards and management
- Evaluating/benchmarking a company’s compliance program to ensure compliance risk assessment/management
Our Distinguished Speaker
Stephen Martin is a partner with StoneTurn Group, a global advisory firm that assists companies with regulatory, risk and compliance issues, investigations and business disputes. Stephen has more than 20 years of experience in compliance, risk assessment, monitorships and corporate internal investigations, often in connection with government and regulatory inquiries. Stephen counsels companies and Boards of Directors internationally across a wide spectrum of risk, including anti-corruption / anti-bribery (FCPA and U.K. Bribery Act); antitrust; AML; privacy, cyber-security, data protection and information management; corporate governance, environmental and corporate social responsibility, including developing, implementing and enhancing effective corporate compliance and ethics programs that meet government expectations; handling pre- and post-acquisition due diligence and compliance program integration in M&A transactions and for private equity portfolio companies; and addressing third-party/supply chain responsible sourcing issues.
Stephen began his career as an Assistant Attorney General for the state of Missouri, and subsequently served in the Department of Justice as an Assistant U.S. Attorney for the District of Columbia. He later worked in-house in various roles as legal counsel and as lead compliance officer for several major corporations (WorldCom, Qwest and Adelphia), handling significant governmental and internal investigations, litigation and compliance matters, including designing and implementing broad-based compliance programs under scrutiny of governmental regulators. Stephen was also integral in the creation and development of a corporate compliance consulting practice at an Am Law 50 law firm, a White Collar partner at an AM Law 50 law firm, helped establish the Ethisphere Institute, serving as Ethisphere Magazine’s first Editor-in-Chief and co-founded the Institute for Enterprise Ethics at the University of Denver as a member of the business school faculty. Stephen currently serves as a director on two Boards.
Hosts for our ACG Silicon Valley Public Board Circle Dinners
Nick O’Keefe – Partner, Arnold & Porter
Diane Frankle – Retired Partner, Arnold & Porter
Garrett Herbert – Managing Partner, Deloitte
Gunjeet Baweja – Managing Director, Global Head of Semiconductors & Electronics, Jefferies Technology Group