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Corporate Compliance and Ethics Institute 2014

Author(s): Theodore L. Banks, Rebecca Walker
Practice Area: Corporate & Securities, Ethics/Professional Responsibility
Published: May 2014
PLI Item #: 51078
CHB Spine #: B2101

Theodore L. Banks (Ted) is a partner in the firm of Scharf Banks Marmor LLC in Chicago, where his practice concentrates on general corporate and antitrust matters.  He is also President of Compliance & Competition Consultants, LLC, a firm devoted to assisting corporations in development of effective and efficient programs in the areas of corporate compliance, product distribution, internal investigations, and records management.  Formerly, he served as Chief Counsel & Senior Director, Global Compliance Policy, at Kraft Foods in Northfield, Illinois.  During his career at Kraft, his responsibilities also included supervision of complex litigation, negotiation of major corporate transactions, global records management, antitrust, and supervision of computer applications used in the Corporate and Legal Affairs Department.  He is also an Adjunct Professor of Law at Loyola University (Chicago) School of Law, where he teaches corporate compliance.

Throughout his career, Ted directed many substantial corporate transactions and dozens of litigated cases, in antitrust and in other areas.  He supervised the $19 billion acquisition of Nabisco by Kraft, and the $8.7 billion IPO of Kraft Foods Inc.   He currently serves as a compliance monitor on behalf of the Federal Trade Commission and the Competition Bureau of Canada to ensure that respondent companies comply with orders issued by those agencies.

Ted has written numerous articles on antitrust, compliance, and legal automation topics. He co-edited the Corporate Legal Compliance Handbook, published by Aspen/Wolters-Kluwer, and his multi-volume treatise, Distribution Law: Antitrust Principles and Practice, also published by Aspen/Wolters-Kluwer, is now in its second edition.  He is a frequent speaker at professional education programs, where he strives not to bore the attendees too much.

Rebecca Walker is a partner in the law firm of Kaplan & Walker LLP, a law firm specializing in compliance and ethics located in Santa Monica, California and Princeton, New Jersey.  Ms. Walker advises clients on the development and implementation of compliance and ethics programs that are tailored to each client's legal risks and business needs and that conform to applicable government requirements and pronouncements regarding effective compliance programs.  Ms. Walker has counseled numerous companies in diverse industries on the various components of their compliance and ethics programs, including risk assessment, codes of conduct and other policies, compliance training, monitoring and auditing systems, reporting procedures, program structure and program documentation. She has also conducted numerous assessments of companies’ compliance and ethics programs and compliance risk assessments.  Her clients have included companies from the consumer products, apparel, financial services, pharmaceutical, healthcare, banking, advertising, consulting, telecommunications, energy, retail and airline industries, including many companies in the Fortune 500.

Ms. Walker chairs the Practising Law Institute's annual Compliance and Ethics Institute in New York and PLI’s annual Advanced Compliance and Ethics Workshop in San Francisco.  Ms. Walker serves on the Advisory Boards of the Compliance and Ethics Professional Magazine, published by the Society of Corporate Compliance and Ethics, and the Corporate Compliance Center at the South Texas College of Law.  She also serves on the Editorial Board of the Complete Compliance and Ethics Manual.

Ms. Walker is the author of Conflicts of Interest in Business and the Professions: Law and Compliance, published by Thomson West in 2005.  She is the co-author of Safeguarding Intellectual Property and Preventing Corruption in the Global Supply Chain, published by The Conference Board in 2012 and the Anti-Corruption Compliance Program Benchmarking Survey, along with Jeff Kaplan and the FCPA Blog, published in 2011.  Ms. Walker has authored several surveys and published numerous articles regarding compliance and ethics.  She is also a contributing editor of ethikos, a leading compliance and ethics journal.  Ms. Walker is a frequent speaker on compliance and ethics issues, including for the Practising Law Institute, The Conference Board, the Ethics and Compliance Officer Association and other legal and business groups.

Ms. Walker received her B.A. (magna cum laude, Phi Beta Kappa) from Georgetown University and her J.D. (cum laude) from Harvard Law School.