Evolving Expectations for Compliance and Ethics Programs and Compliance Leadership

Erica MacDonald and Henry Van Dyck are moderating “Evolving Expectations for Compliance and Ethics Programs and Compliance Leadership” at CEFLI’s Annual Conference. Also on the panel are Tim Bolden, VP and chief compliance officer of American Fidelity Corp. and chair of CEFLI’s Board of Directors; Noreen Fierro, senior VP, enterprise chief ethics and compliance officer of Principal Financial Group; and Steve Harris, senior VP and chief ethics and compliance officer of Lincoln Financial Group.

The expectations for compliance and ethics programs at all organizations continue to evolve. The Department of Justice has articulated policy views that reinforce the important role that compliance and ethics programs and chief compliance officers play at corporations subject to corporate enforcement actions. Recent decisions in corporate-law cases point to new considerations for compliance leadership as senior corporate officers. Erica, Henry and the panel are providing an update on these developments and discussing their potential implications for chief compliance officers at life insurance companies.