Complying with Law
The Loyola University Chicago Journal of Regulatory Compliance and the Center for Compliance Studies Present the Inaugural Symposium
Complying with Law
FRIDAY, SEPTEMBER 23, 2016
8:00 A.M.—5:00 P.M.
PHILIP H. CORBOY LAW CENTER
POWER ROGERS & SMITH CEREMONIAL COURTROOM
25 EAST PEARSON STREET
Conference Brochure (PDF)
About the Symposium
The Loyola University Chicago Journal of Regulatory Compliance will host a one-day symposium to launch its inaugural issue and the establishment of the Center for Compliance Studies. The speakers and panelists will be drawn from law, economics, business, philosophy, and ethics. The conversation of the day will focus around the question of what it means to comply with law in today’s environment. The day will examine the topic in the context of the current the administrative state. The symposium will look at the challenges and potential approaches regulated actors face in organizing their compliance and ethics programs in the backdrop of numerous sets of regulatory and ethical expectations.
8:00 a.m.-8:30 a.m.: Registration & Breakfast
8:30 a.m.-8:40 a.m.: Welcome and Introduction
- Ryan Meade, Loyola University Chicago School of Law
8:40 a.m.-:9:30 a.m.: Compliance, Administrative Law & Bureaucratic Process
- Nicholas Parrillo, Yale Law School
9:30 a.m.-10:20 a.m.: Legislating in the Shadows: How Regulators Think When They Regulate
- Chris Walker, The Ohio State University College of Law
10:20 a.m.-10:40 a.m.: Break
10:40 a.m.-11:30 a.m.: Going Beyond Regulations: The Case for Business Ethics
- Michael G. Silverman, Columbia University
11:30 a.m.-11:50 a.m.: Remarks on the Rapidly Evolving Profession of Compliance Officer
- Roy Snell, CEO of the Society of Corporate Compliance & Ethics
11:50 a.m.-12:40 p.m.: Break for Lunch
12:40 p.m.-1:30 p.m.: Featured Speaker: Regulating Complacency: Risk Taking and Compliance
in Global Capital Markets
- Steven Schwarcz, Duke University School of Law
1:30 p.m.-2:20 p.m.: A Nation of Bootleggers: Transportation Regulations and Compliance
- Jeremy Kidd, Mercer University School of Law
2:20 p.m.-2:30 p.m.: Break
2:30 p.m.-3:20 p.m.: The Emerging Landscape of Privacy Protection Regulation
- Stacey Tovino, UNLV Law School
3:20 p.m.-4:00 p.m.: Compliance Practitioner Panel - On the Ground in Compliance
- Members of the Loyola University Chicago School of Law Compliance Studies Advisory Board
- Moderator: Theodore L. Banks, Scharf Banks Marmor; Loyola University Chicago School of Law Adjunct Professor and Compliance Studies Advisory Board Chair
4:00 p.m.-5:00 p.m.: Reception
Janis Anfossi is the associate vice president for compliance and privacy at Rush University Medical Center and corporate compliance officer at Rush Oak Park Hospital in Chicago. Janis entered health care as a registered nurse working in the clinical setting and nursing management. She obtained her Juris Doctorate from St. Louis University School of Law and holds a Masters in Public Health from San Diego State University. She is on the faculty of the HCCA Privacy Academies, the College of Health Sciences and the Nursing College of Rush University and the School of Law at Loyola University Chicago.
Ted Banks is a partner in the law firm of Scharf Banks Marmor LLC, and President of the consulting firm of Compliance & Competition Consultants, LLC. Previously, he was Chief Counsel-Global Compliance Policy at Kraft Foods. He is co-editor of the Corporate Legal Compliance Handbook, published by Wolters-Kluwer. He is an Adjunct Professor of Law at Loyola, where he teaches Corporate Compliance in the J.D., L.L.M., and M.J. programs.
Kimberly Brandt serves as chief healthcare investigative counsel for the minority staff of the U.S. Senate Finance Committee. Kim’s government service includes serving for nearly seven years as the director of the medicare program integrity group at the Centers for Medicare & Medicaid Services (CMS), U.S. Department of Health & Human Services. Kim received her JD with a concentration in health law from the DePaul School of Law, an MA in legislative affairs and health policy from George Washington University, and her undergraduate degree from Valparaiso University.
James Brennan is vice president, chief ethics & compliance officer for Reyes Holdings, a $25 billion privately held food and beer distribution company based in Rosemont, Illinois. Before entering the field of ethics and compliance, Mr. Brennan clerked at the United States Court of Appeals for the Seventh Circuit and practiced commercial litigation for the Quarles & Brady law firm in Milwaukee. Mr. Brennan is a 1994 magna cum laude graduate of Marquette University Law School.
Ellen M. Hunt
Ellen Huntis a lawyer and ethics & compliance professional with extensive management experience in designing, implementing and operating ethics and compliance programs including board governance and reporting, designing ethics education, managing enterprise risk processes as well as handling investigations and regulatory agency inquiries. Ms. Hunt was featured as a Top Mind by Compliance Week in June of 2016, is a contributor to Trust Inc., A Guide for Boards & C-Suites and named as one of The Top 100 Thought Leaders for Trustworthy Business 2015 and 2016 by Trust Across America.
Professor Jeremy Kidd received his JD from the George Mason University School of Law and his PhD in economics from Utah State University. Prior to entering academia, he practiced law in Washington, DC and Utah, as well as clerking for federal judges at the trial and appellate level. He now teaches in the areas of corporate and commercial law and researches in the area of public choice economics, broadly applied. His current research interests are third-party litigation financing and applications of the bootleggers and Baptists theory.
Ryan Meade is the director of regulatory compliance studies at Loyola University Chicago School of Law and a Visiting Professor of Law. He has served on the advisory board of the Centers for Medicare & Medicaid’s Compliance Effectiveness Pilot Project. Professor Meade is editor-in-chief of the Loyola Journal of Regulatory Compliance. Prior to founding a law firm focusing on legal and consulting support for compliance programs, he practiced law at Mayer Brown and Katten Muchin Rosenman.
For 40 years, Joe Murphy, CCEP, has been a tireless champion of compliance and ethics in organizations and has done compliance work 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 and was a recipient of the SCCE Compliance and Ethics Award.
Nicholas R. Parrillo
Nicholas Parrillo is Professor of Law at Yale, where he teaches administrative law, legislation, remedies, and American legal history, as well as seminars on government bureaucracy. His book, Against the Profit Motive: The Salary Revolution in American Government, 1780-1940, received the Annual Scholarship Award of the ABA Section on Administrative Law for the year's best book or article on administrative law, as well as the Hurst Prize of the Law and Society Association for the year’s best book on socio-legal history. In addition, he is a co-author of the seventh edition of the casebook Administrative Law: The American Public Law System: Cases and Materials (West, 2014). Professor Parrillo is a public member of the Administrative Conference of the United States and is currently a consultant to the Conference to conduct a study of federal agencies’ use of guidance documents.
Steven L. Schwarcz
Professor Schwarcz is the stanley a. star professor of law & business at Duke University and founding director of Duke’s interdisciplinary Global Capital Markets Center (renamed the Global Financial Markets Center). His areas of research and scholarship include insolvency and bankruptcy law, international finance, capital markets, systemic risk, corporate governance, and commercial law. He holds a bachelor’s degree in aerospace engineering (summa cum laude) and a Juris Doctor from Columbia Law School. Prior to joining Duke, he was a partner at two leading international law firms. He also helped to pioneer the field of asset securitization, and his book Structured Finance: A Guide to the Principles of Asset Securitization is one of the most widely used texts in that field. Professor Schwarcz has been the Leverhulme Visiting Professor at the University of Oxford, visiting professor at the University of Geneva Faculty of Law, senior fellow at the University of Melbourne Law School, and an advisor to the United Nations.
Michael G. Silverman
Professor Silverman is an adjunct professor at Columbia University’s School of International and Public Affairs where he teaches compliance management and ethics, and was on the faculty of the Financial Industry Regulatory Authority’s Institute of Professional Development where he taught compliance and risk. He is the author of Compliance Management for Public, Private or Nonprofit Organizations (2008), McGraw-Hill. He was a fellow at the Ethics Resource Center in Washington, and in 2015 was appointed to the Fulbright Specialist Roster focusing on organizational compliance and ethics. He spent sixteen years as a senior Compliance and Human Resources officer for Citigroup’s global businesses.
Roy Snell is the ceo of the Health Care Compliance Association (HCCA) and the Society of Corporate Compliance and Ethics (SCCE), which together now total more than 12,000 members. He was a co-founder and the organization’s first President. Roy has a Masters degree in Health and Human Services Administration. He has been a regular speaker in the compliance profession for more than ten years and has spoken internationally for the United Nations on compliance and ethics. Mr. Snell is a former compliance officer at the University of Wisconsin. He was named one of Ethisphere’s Most Influential People in Business Ethics in both 2007 and 2010.
Stacey A. Tovino
Professor Tovino, JD, PhD, serves as the Lehman Professor of Law and the Director of the Health Law Program at the UNLV William S. Boyd School of Law. Professor Tovino is a leading expert in health law, bioethics, and the medical humanities. She has particular expertise in the civil, regulatory, operational, and financial aspects of health law, and she frequently explores issues that lie at the intersection of health law and other fields, such as gaming law, insurance law, and immigration law. Professor Tovio is a frequent lecturer on privacy law and is widely published in law reviews and specialty journals.
Professor Walker teaches at The Ohio State University Moritz College of Law. Prior to joining the law faculty, he clerked for Justice Anthony Kennedy of the U.S. Supreme Court and worked on the Civil Appellate Staff at the U.S. Department of Justice. Professor Walker teaches Civil Procedure, Constitutional Litigation, Legislation and Regulation, and State and Local Government Law. Outside the law school, he serves as one of forty Public Members of the Administrative Conference of the United States and as a Council Member of the American Bar Association’s Section on Administrative Law and Regulatory Practice. He also blogs regularly at the Yale Journal on Regulation.
Art Weiss is the chief compliance & ethics officer for TAMKO Building Products, Inc. in Joplin, Missouri. He became its first chief compliance officer and established its first compliance and ethics program. He spent six years as senior counsel for Sears, Roebuck and Co. in Chicago. Prior to his service at Sears, Mr. Weiss served 13 years as an assistant attorney general for the States of Texas; Missouri; and Kansas; four years as an assistant district Attorney in Topeka, Kansas; and two years as associate counsel for the National Association of REALTORS® in Chicago. He holds the designations of Certified Compliance and Ethics Professional (CCEP-F) and CCEP-I (International) by the Society of Corporate Compliance and Ethics. He is a board member of the Society of Corporate Compliance and Ethics, a regular faculty member of the SCCE Compliance and Ethics Academies, and an adjunct Professor at Loyola University School of Law.
CONFERENCE LOCATION • The Conference will be held in the Philip H. Corboy Law Center, Power Rogers & Smith Ceremonial Courtroom, on the 10th floor of 25 E. Pearson St. at Loyola University Chicago’s Water Tower Campus.
REGISTRATION INFORMATION • Loyola University Chicago School of Law is pleased to present this Conference at no charge for Loyola students and faculty and individuals not seeking CLE credit. For those who wish to obtain credit, registration fees are $50 for attendees seeking CLE credit, or $40 for Loyola alumni. There is no charge for CLE credit for current faculty, staff, or students, and an immediate 50% fee reduction is offered for attorneys working in the areas of government or public interest. Seating is limited and registration is appreciated. Open seating will be available on a first-come basis to those who do not register. For registration information, please visit planetreg.com/compliancesymposium
This program has been approved for 5.25 hours of General MCLE credit and 0.75 hours Professionalism CLE credit by the Commission on Professionalism.
About the Loyola University Chicago Journal of Regulatory Compliance
The Loyola University Chicago Journal of Regulatory Compliance publishes scholarship from the interdisciplinary perspectives of law, economics, philosophy, and ethics. The journal seeks to advance academic dialogue on managing regulatory risk in a commercial enterprise, the experience of the regulated actor, and analysis of regulations in the context of organized efforts to comply with law. Each annual issue offers a forum for both speculative and practical discussion. In addition to the publication of scholarly articles on a variety of compliance topics, the Journal also maintains a blog, Inside Compliance at blogs.luc.edu/compliance to provide up to date content about emerging compliance issues.