Skip to main content


Board & Audit Committee Compliance Conference

February 18 – 19, 2019 | Scottsdale, AZ

Session handouts are organized by conference day. All handouts are in PDF format. (Adobe Reader) with 2 slides per page.

CEU Application | Conference Brochure

Introduction to Risk and Compliance

Shawn DeGroot, CCEP, CHPC, CHRC, President, Compliance Vitals

  • Key areas of consideration in developing and implementing a compliance program
  • Risk areas for consideration by the board
  • Steps a board may take in considering management accountability related to compliance risks


Introduction to Board and Management Responsibilities for Compliance Oversight

Dan Roach, Chief Compliance Officer, Optum 360

  • What is reasonable oversight of a compliance and ethics program?
  • What are the ideal qualifications and characteristics of a board member for compliance oversight?
  • How do you know if compliance matters are getting sufficient attention by the Board and the C-suite?

Handout 1
Handout 2
Handout 3
Handout 4

Cyber Security and Privacy

Martin Hellmer, Supervisory Special Agent, FBI; Roy Wyman, Attorney, Nelson Mullins Broad and Cassel

  • Cybercrime, hacking, and ransomware
  • Risks to privacy
  • How to become and remain compliant

No presentation available

Compliance Keynote Session

Gerry Zack, CFE, CCEP, CIA, CPA, CEO of the Society of Corporate Compliance and Ethics & Health Care Compliance Association,

Presentation 1
Presentation 2 
Handout 1
Handout 2

Healthcare Fraud and Compliance Update

Gabriel Imperato, CHC, Managing Partner at Nelson Mullins Broad and Cassel

  • Recent developments in enforcement and compliance
  • Individual accountability for organizational health care fraud
  • Department of Justice Compliance Counsel and enforcement and compliance in the new administration


Stark and Anti-Kickback Compliance

Frank Sheeder, Esq., JD, Partner, Alston & Bird LLP; Steve Ortquist, Esq. CCEP, CHC-F, CHRC, Senior Managing Director, Ankura Consulting

  • An overview of both laws and how they intersect
  • The False Claims Act overlay
  • Recent enforcement actions
  • Practical approaches to mitigating risk


Conflicts of Interest

Martin Biegelman, CFE, CCEP-F, Managing Director, Regulatory, Forensics & Compliance, Deloitte Financial Advisory Services LLP

  • Why conflicts of interest matter for organizations
  • Key conflicts of interest for board members, compliance professionals and other employees
  • Case studies, best practices and effective mitigation strategies



Whistleblowers: Who Are They, Why Do They Blow the Whistle, and What Makes a Good Whistleblower Case?

Michael Morse, CHC, Partner, Pietragallo Gordon Alfano Bosick & Raspanti, LLP
Jacqueline Nash Bloink

  • Whistleblowers: Who are they and why do they file Qui Tam cases under the False Claims Act?
  • What are typical organization responses to reports of non-compliance and the whistleblower threat?
  • What are the most important features of compliance programs that are useful in managing compliance deficiencies and the whistleblower threat?
  • How important is minimizing “retaliation” against a reporter and how does an organization achieve this goal?


Healthcare Privacy & Security and Responsibility to Breaches

Shawn DeGroot, CCEP, CHPC, CHRC, President, Compliance Vitals

Darrell Contreras, CHC-F,CHPC,CHRC, Chief Compliance Officer, Millennium Health

  • The basics of HIPAA Privacy and Security
  • Board responsibilities for the Privacy and Security program
  • What to expect when something goes wrong


Internal Investigations 101

Lisa Gressel, General Counsel, PF Chang’s; Eric Cannon, Director, KONE Americas; Juliette Gust, CFE, Founder & President, Ethics Suite

  • Leveraging Resources
  • Control and Track
  • Prevent Retaliation
  • Effects of poor investigation/lessons learned

Handout 1

Showtime: The Critical Component of Organizational Culture

Gerry Roy, CHC, CHRC, VP, Chief Compliance & Privacy Officer, Phoenix Children’s Hospital


Ethical Culture and Compliance Effectiveness

Steve Ortquist, Esq., CCEP, CHC-F, CHRC, Senior Managing Director, Ankura Consulting
Marianne Jennings, JD, Emeritus Professor, Arizona State University
Judy Ringholz, JD, RN, CHC, Vice President of Compliance and Ethics & Chief Compliance Officer, Jackson Health System

  • The Effects of Organizational Ethics and Culture on Compliance
  • Detecting the Faint Signals in Your Organization’s Culture
  • Establishing an Ethical Foundation: The Role of Boards and Executives


What It Takes To Be a Good Board Member

Dan Roach, Chief Compliance Officer, Optum 360
Gabriel Imperato, CHC, Managing Partner at Nelson Mullins Broad and Cassel
James Sheehan, Chief, Charities Bureau at New York State Department of Law (Attorney General)

  • Compliance and board member duties in compliance investigations
  • Board member oversight of mergers and acquisitions
  • The relationship between the board and the C-suite


False Claims Act Practices and Procedures, and Halifax Case Study

Gabriel Imperato, CHC, Managing Partner at Nelson Mullins Broad and Cassel

  • Whistleblowers and Compliance Risk and the False Claims Act
  • Best Practices for Compliance Professionals and False Claims Act Liability
  • Anatomy of a False Claims Act Case and Compliance Case Study