Columbus Compliance Professionals Forum - Capital University Law School

Columbus Compliance Professionals Forum

  • Anatomy of a Compliance Crisis: A Trustee’s Perspective 

    December 13, 2019
    8:00 AM – 10:00 AM
    Capital University Law School, Columbus, OH

    This program has been submitted to the Supreme Court of Ohio Commission on Continuing Legal Education for 2.0 total hours of general instruction. Pending Approval. 
    This event is free.
    7:30 – 8:00 AM     Check-in/Registration 
    8:00 – 9:00 AM    Anatomy of a Compliance Crisis: A Trustee’s Perspective

    This presentation will discuss the anatomy of a compliance crisis and how an institution can grow through and create success from a crisis. The presenters offer unique insights about an Ohio State University scandal.

    Mr. Schottenstein will discuss the Board of Trustees’ perspective about recognizing a crisis in light of OSU’s institutional values, reviewing the crisis through the broader lens of overall organizational compliance practices, and determining the next steps in how to react differently going forward and best meet the needs of all stakeholders.

    Mr. Garrity-Rokous will discuss the role of compliance in a crisis, how to build consensus on the problem and a reasonable solution, understanding the board’s vision beyond the crisis, and seizing on the opportunities to grow from the scandal. The presenters also will talk about the practicalities of bringing the board and compliance offices together to build confidence and consensus in the immediate crisis and beyond.

    9:00 – 10:00 AM    Facilitated Discussion with Presenters

    • What Do They Really Think? Bridging different perspectives of the board and compliance.
    • Consensus Building: What is the exact problem we are trying to solve and how?
    • Seize the Crisis: Capitalizing on opportunities created by a crisis for growth and improvement.
    • Cocker Spaniels Chasing Squirrels: Building confidence and a sustainable plan in a highly reactive environment.
    10:00 AM     Wrap-up Event 

    About the Presenters

    Robert H. Schottenstein is Chairman of the Board, Chief Executive Officer and President of M/I Homes, Inc., a public company listed on the New York Stock Exchange and one of the largest homebuilders in the United States. For many years, Mr. Schottenstein has been active in a number of business and charitable organizations. He currently serves on the board of L Brands, one of the world’s leading specialty retailers focused on women’s intimate and other apparel, personal care, beauty and home fragrance categories; and currently serves on the board of Installed Building Products, Inc., one of the nation’s leading installers of insulation and complementary building products for the residential new construction market. He also serves on the Executive Committee of The Policy Advisory Board of Harvard University’s Joint Center for Housing Studies, is a member of the Pelotonia Board, a member of The Columbus Partnership, serves on the Columbus 2020 Board and serves on The Ohio State University Foundation Board. 

    From 2005-2014, Mr. Schottenstein served as a trustee of The Ohio State University and was Chairman of the Ohio State University Board from 2012-2014. Mr. Schottenstein has an undergraduate degree from Indiana University and a law degree from Capital University Law School.

    Gates Garrity-Rokous serves as Vice President and Chief Compliance Officer for the Office of University Compliance and Integrity at The Ohio State University.

    Gates has spent more than 25 years developing, assessing and managing ethics and compliance programs for complex institutions, with a broad expertise in higher education, healthcare and financial services. Prior to joining Ohio State, Gates served as Chief Compliance Officer for GE Capital Americas, where he oversaw its regulatory compliance program. Before that, he was a white collar defense partner for Wiggin & Dana, LLP, advising universities, hospitals, and corporations on compliance issues. He also served as an assistant U.S. attorney and health-care fraud-enforcement officer with the Department of Justice. Gates also clerked in the United States District Court of Connecticut and the United States Court of Appeals, Second Circuit.

    Mr. Garrity-Rokous earned his Bachelor of Arts degree from Trinity College and his Juris Doctor from Yale Law School. He also served as a Peace Corps volunteer in Mali, West Africa.