June 2021 Compliance Seminar Agenda

Compliance Seminar Details

Monday, June 14, 2021

10:00am to 10:15am CST

Welcome and meet the presenters:
Linda Robertson
Eric Johnson
Marcia N. Jackson
EJ Shelby

10:15am to 11:00am CST

Session 1:
Linda Robertson
Why a Culture of Compliance?
Case Study on Bronx Honda

11:00am to 12:15pm CST

Session 2:
Eric Johnson, JD - Hudson Cook, LLP


1:15pm to 2:15pm CST

Session 3:
Eric Johnson, JD - Hudson Cook, LLP
Vehicle Financing
Customer Communication

2:15pm to 3:15pm CST

Session 4:
Marcia Nelson Jackson, JD - Wicks Phillips
General Human Resources Regulations
Customer Communication

Break - 15 minutes

3:30pm to 4:45pm CST

Session 5:
EJ Shelby - ComplyNet
Environmental Health and Safety Training Module

Tuesday, June 15, 2021

3:00pm to 4:30pm CST (live)

Networking Plus:
Judy Vann Karstadt, MPFS, DCOP
Michael Moore, CPBS, DCOP
Welcome New Members (NEW)
Linda J. Robertson, SPHR
Review syllabus for DCOP Exam

Wednesday, June 16, 2021

10:00am to 10:15am CST

Meet the presenters:
Terry O'Loughlin
Linda Robertson
Randy Henrick
Judy Vann Karstadt

10:15am to 11:15am CST

Session 6:
Terry O'Loughlin, JD, MBA - Reynolds & Reynolds
Business Administration & Accounting

11:15am to 12:00pm CST (live)

Session 7:
Linda Robertson, SPHR
Introduction to the Components of a Compliance Program


12:45pm to 1:30pm CST

Session 8:
Randy Henrick, JD - Auto Dealer Compliance
High-level Oversight & Compliance Officer Role
Board of Directors Oversight
Delegating Authority / Controls of Authority
Compliance Officer Responsibilities

1:30pm to 2:15pm CST

Session 9:
Randy Henrick, JD - Auto Dealer Compliance
Standards of Conduct / Policies and Procedures
Code of Business Conduct and Values & Ethics
Compliance Policies
Delegation of Authority

Break - 15 minutes

2:30pm to 3:15pm CST

Session 10:
Judy Vann Karstadt, MPFS, DCOP - JV Solutions
Communication & Education
Employee Orientation and Training for All Staff
What Constitutes Effective Training
Effective Lines of Communication
Creating a Compliance Communication Plan
A Culture of Positive Reinforcement

3:30pm to 5:00pm CST

Session 11:
Terry O'Loughlin, MBA, JD - Reynolds & Reynolds
Monitoring & Auditing / Identification of Compliance Risks
Review Internal Compliance Reporting Venues
Risk Assessment and Prioritization
Internal Audit and GAP Analysis

Thursday, June 17, 2021

10:00am - 10:15am CST

Meet the presenters:
Melinda Levy
Marcia Jackson
Stephanie Licata

10:15am to 11:15am CST

Session 12:
Melinda Levy, JD - Levy Law
Reporting and Investigation
Review Compliance Reporting
Process to Comply with Government Investigation

11:00am to 11:45am CST

Session 13:
Marcia N. Jackson, JD - Wicks Phillips
Enforcement and Discipline
Consistent Enforcement and Discipline for Violations
Enforcement, Discipline and Documentation
Consistent Reinforcement


12:30pm to 1:15pm CST

Session 14:
Linda Robertson, SPHR - ADCO
Response and Prevention
Newly Identified Compliance Risks
Root Cause
Lessons Learned

1:15pm to 1:45pm CST

Session 15:
Stephanie Licata, MA, ACC - Purpose and Performance Group
Leveraging Leadership Tendences That Cause Results

Linda Robertson, SPHR - ADCO
Close Seminar

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