2nd China Summit On Anti-Corruption

Implementing Effective Corporate Governance, Transparency and FCPA Compliance Programs

Tuesday, June 16, 2009

About

In 2009, Anti-Corruption and FCPA Enforcement Will Affect More Companies in Asia Than Ever Before. Can Your Internal Anti-Corruption Compliance Program Withstand the Impact of a Government Investigation?

Corruption is a serious problem in China’s economy. China’s leaders have recognized this problem and adopted increasingly aggressive policies to deal with it. Fighting corruption emerged as a top priority at the Chinese Communist Party’s 17th National Congress in January 2009, and according to Chinese authorities, 4,960 officials were punished between November 2007 and November 2008 for involvement in corruption, bribery or other law-breaking activity. Of those, 801 were prosecuted. China has also begun vigorously enforcing commercial bribery laws in its private sector. Foreign companies operating in China are thus faced with a rapidly evolving domestic anti-corruption compliance environment.

At the same time, U.S. companies, and companies listed on U.S. stock exchanges, must comply with the FCPA when doing business in China. FCPA compliance is especially challenging in China, where government regulation of the economy remains rigorous and state-owned enterprises continue to dominate many sectors. These difficulties are reflected in recent FCPA prosecutions. Several published cases in recent years – Siemens, Faro Technologies, AGA Medical, Lucent, Schnitzer Steel, ITT, York International, Diagnostic Products (for example) – have focused on activities in China, and many pending investigations reportedly also involve compliance issues in China.

If your company is doing business in the People’s Republic of China, you must have a comprehensive anti-corruption compliance program and be prepared to act promptly and effectively to remedy any problems that do arise.

After the tremendous success of its inaugural conference in July 2008, the American Conference Institute and C5 Group are proud to announce the 2nd China Summit on Anti-Corruption. Once again, the Summit brings together an exceptional faculty of seasoned corporate ethics and compliance executives, senior attorneys, forensic accountants and government officials. They will provide a comprehensive update on the anti-bribery landscape in China, the intersection of the FCPA and local Chinese anti-bribery laws and how to implement robust anti-corruption policies to comply with Chinese laws and the FCPA, including:

  • Who is a “government official” in China?
  • What kind of gifting or payment is acceptable and in what instances?
  • Overcoming cultural and legal challenges in rolling out an anti-corruption compliance programme
  • Due diligence: best practices for a prospective third party relationship in China
  • Creating a Code of Conduct that matters in China
  • Conducting internal investigations in China

 

Contents & Contributors

About

In 2009, Anti-Corruption and FCPA Enforcement Will Affect More Companies in Asia Than Ever Before. Can Your Internal Anti-Corruption Compliance Program Withstand the Impact of a Government Investigation?

Corruption is a serious problem in China’s economy. China’s leaders have recognized this problem and adopted increasingly aggressive policies to deal with it. Fighting corruption emerged as a top priority at the Chinese Communist Party’s 17th National Congress in January 2009, and according to Chinese authorities, 4,960 officials were punished between November 2007 and November 2008 for involvement in corruption, bribery or other law-breaking activity. Of those, 801 were prosecuted. China has also begun vigorously enforcing commercial bribery laws in its private sector. Foreign companies operating in China are thus faced with a rapidly evolving domestic anti-corruption compliance environment.

At the same time, U.S. companies, and companies listed on U.S. stock exchanges, must comply with the FCPA when doing business in China. FCPA compliance is especially challenging in China, where government regulation of the economy remains rigorous and state-owned enterprises continue to dominate many sectors. These difficulties are reflected in recent FCPA prosecutions. Several published cases in recent years – Siemens, Faro Technologies, AGA Medical, Lucent, Schnitzer Steel, ITT, York International, Diagnostic Products (for example) – have focused on activities in China, and many pending investigations reportedly also involve compliance issues in China.

If your company is doing business in the People’s Republic of China, you must have a comprehensive anti-corruption compliance program and be prepared to act promptly and effectively to remedy any problems that do arise.

After the tremendous success of its inaugural conference in July 2008, the American Conference Institute and C5 Group are proud to announce the 2nd China Summit on Anti-Corruption. Once again, the Summit brings together an exceptional faculty of seasoned corporate ethics and compliance executives, senior attorneys, forensic accountants and government officials. They will provide a comprehensive update on the anti-bribery landscape in China, the intersection of the FCPA and local Chinese anti-bribery laws and how to implement robust anti-corruption policies to comply with Chinese laws and the FCPA, including:

  • Who is a “government official” in China?
  • What kind of gifting or payment is acceptable and in what instances?
  • Overcoming cultural and legal challenges in rolling out an anti-corruption compliance programme
  • Due diligence: best practices for a prospective third party relationship in China
  • Creating a Code of Conduct that matters in China
  • Conducting internal investigations in China

 

Contents & Contributors

The Anti-Corruption Regulatory and Enforcement Landscape in China
Jun Wei, Hogan & Hartson LLP (Beijing)

The U.S. Foreign Corrupt Practices Act: Latest FCPA Cases Involving China
Amy C. Lee, Resident Legal Adviser, US Embassy (Beijing)
Jeffrey D. Clark, Willkie Farr & Gallagher LLP (Washington)

Assessing Your Customer Base: Who is a “Government Official” in China
Beatrice M. Schaffrath, Baker & McKenzie LLP (Beijing)

Conducting a Corruption Risk Assessment in the PRC: How to Detect Patterns of Bribery and Non-Compliant Behavior
Hua Lee, Legal Counsel, Rockwell Automation (Beijing)
Grant Jamieson, Partner, Asia-Pacific Forensic Chairman and China Forensic Practice Leader, KPMG (Hong Kong)
Nicholas V. Chen, Pamir Law Group (Shanghai)

Implementing a Risk-Oriented Due Diligence Process for Intermediaries in China
John W. Sullivan, Asia Legal Director, Texas Instruments (Beijing)
Ning Fei, Jun He (Shanghai)
John Auerbach, Managing Director, Fraud & Investigation Dispute Services, Ernst & Young (Shanghai)

Investigating Questionable Payments in China: How to Conduct Cost-Effective and Fact-Finding Internal Investigations

Frederic R. Miller, Partner, Investigations and Forensic Services, PricewaterhouseCoopers LLP (Washington)
Wu Wei, King & Wood (Beijing)

Implementing and Monitoring an Effective Anti-Corruption Compliance Program for Chinese Operations
Hong Liu, Regional Counsel – Greater China, Corning China (Shanghai)
Dr. Zhang Xi, General Counsel, Asia, Celanese China Holding Co. (Shanghai)
Liz Li, Corporate Counsel – Asia Pacific, Caterpillar (China) Investment Co., Ltd. (Shanghai)
Panel Moderator:
K. Lesli Ligorner
, Paul, Hastings, Janofsky & Walker LLP (Shanghai)

FCPA Books and Records Requirements & Unique Features of China’s Accounting System
Nathan Garrett Bush, O’Melveny & Myers LLP (Beijing)
John Donker, Partner, Forensic Services, PricewaterhouseCoopers LLP (Hong Kong)

The Delicate Art of Gift-Giving and Entertainment in China: Balancing Politeness and the Letter of the Law

Bobby D. Butler, Jr., Vice President & Chief Compliance Officer, Universal Weather & Aviation (Houston)
Alexandra Wrage, President, Trace International (Washington)

Keynote Address – The OECD Anti-Bribery Convention: Monitoring and Future Initiatives
Nicola Bonucci, Director of Legal Affairs, OECD – Organisation for Economic Co-Operation and Development (Paris)

Conducting Pre-Acquisition Due Diligence and Overcoming Integration Challenges
Lester Ross, Wilmer Cutler Pickering Hale and Dorr LLP (Beijing)

Remediation Programs – How to Restore Confidence and Enhance Compliance after an Anti-Corruption Investigation or Penalty Involving China
Stefan Hoffmann-Kuhnt, Vice President & Regional Compliance Officer, Siemens Ltd., China  (Beijing)
Patrick M. Norton, Steptoe & Johnson LLP (Washington)

Facilitating and “Grease” Payments, Small Bribes: Understanding the Limits of Reasonable Payments in China
Yuet-Ming Tham, DLA Piper (Hong Kong)
Agnieszka Moskal Gallagher, Assistant General Counsel, Regulatory Law and Legal Policy Lead, Emerging Markets Business Unit, Pfizer (Hong Kong)
Katharine A. Bostick, Director Compliance & Litigation, Asia Pacific, Microsoft Operations Pte Ltd (Singapore)



DOCUMENT TYPES: PPT PDF PRESENTATIONS AVAILABLE: 23

8:00
Registration Begins and Morning Refreshments
9:00
Co-Chairs Opening Remarks and Welcome
Mr. Patrick M. Norton
Partner
Steptoe & Johnson LLP
Mr. Stephen A. Maloy
General Counsel - Asia Pacific
General Electric Company
9:15
The Anti-Corruption Regulatory and Enforcement Landscape in China
Ms. Jun Wei
Partner
Hogan & Hartson LLP
1 file
The Anti-Corruption Regulatory and Enforcement Landscape in China
1.1 MB 33 pages Presentation
PPT - The Anti-Corruption Regulatory and Enforcement Landscape in China
10:00
The U.S. Foreign Corrupt Practices Act: Latest FCPA Cases Involving China
Ms. Amy Chang Lee
Resident Legal Adviser
US Embassy
1 file
ANTI-CORRUPTION COOPERATION BETWEEN THE UNITED STATES AND CHINA
2.9 MB 29 pages Presentation
PPT - ANTI-CORRUPTION COOPERATION BETWEEN THE UNITED STATES AND CHINA
Mr. Jeffrey D. Clark
Partner
Willkie Farr & Gallagher LLP
1 file
Foreign Corrupt Practices Act Enforcement Risks in China
262.5 KB 25 pages Presentation
PPT - Foreign Corrupt Practices Act  Enforcement Risks in China
11:00
Coffee/Tea Break
11:15
Assessing Your Customer Base: Who is a "Government Official" in China
Beatrice M. Schaffrath
UTC Compliance Counsel & Director, Business Practices – China
United Technologies Corporation (China)
1 file
A Comparative View: Interplay between FCPA and Anti-Corruption Elements in the Laws of the People's Republic of China ("PRC")
5.8 MB 18 pages Presentation
PPT - A Comparative View: Interplay between FCPA and Anti-Corruption Elements in the Laws of the People's Republic of China (
11:45
Conducting a Corruption Risk Assessment in the PRC: How to Detect Patterns of Bribery and Non-Compliant Behavior
-Ms. Kelly Austin
Compliance and Litigation Counsel -- Asia Pacific
General Electric International‚ Inc.
Ms. Hua Lee
Legal Counsel‚ Asia Pacific
Rockwell Automation
1 file
2nd China Summit on Anti-Corruption – Corruption Risk Assessment Panel
413 KB 8 pages Presentation
PPT - 2nd China Summit on Anti-Corruption – Corruption Risk Assessment Panel
Mr. Grant Jamieson
Partner‚ Asia-Pacific Forensic Chairman and China Forensic Practice Leader
KPMG
1 file
Conducting a Corruption Risk Assessment in the PRC: How to Detect Patterns of Bribery and Non-Compliant Behaviour
167.5 KB 8 pages Presentation
PPT - Conducting a Corruption Risk Assessment in the PRC: How to Detect Patterns of Bribery and Non-Compliant Behaviour
Mr. Nicholas V. Chen
Partner
Pamir Law Group
1 file
How to Detect Patterns of Bribery and Non-Compliant Behavior: A Taiwan Perspective
2.4 MB 63 pages Presentation
PPT - How to Detect Patterns of Bribery and Non-Compliant Behavior:  A Taiwan Perspective
12:45
Networking Luncheon
14:00
Implementing a Risk-Oriented Due Diligence Process for Intermediaries in China
John W. Sullivan
Asia Legal Director
Texas Instruments
1 file
Implementing a Risk-Oriented Due Diligence Process for Intermediaries in China
375 KB 14 pages Presentation
PPT - Implementing a Risk-Oriented Due Diligence Process for Intermediaries in China
Mr. Ning Fei
Partner
Jun He Law Offices
1 file
Implementing a Risk-Oriented Due Diligence Process for Intermediaries in China
569.5 KB 14 pages Presentation
PPT - Implementing a Risk-Oriented Due Diligence Process for Intermediaries in China
Mr. John Auerbach
Managing Partner, Greater China, Fraud Investigation and Dispute Services
Ernst & Young
1 file
Managing Intermediary - Driven Corruption Risk
1.2 MB 11 pages Presentation
PPT - Managing Intermediary - Driven Corruption Risk
15:15
Refreshment Break
15:30
Investigating Questionable Payments in China: How to Conduct Cost-Effective and Fact-Finding Internal Investigations
Mr. George K. Miller
Partner
Mayer Brown LLP
1 file
Impact of Recent Bankruptcies
345.8 KB 6 pages Presentation
PDF - Impact of Recent Bankruptcies
Ms. Wei Wu
Partner
King & Wood LLP
1 file
Commercial Bribery: How to Conduct an Effective Discovery through Investigation
741.5 KB 24 pages Presentation
PPT - Commercial Bribery: How to Conduct an Effective Discovery through Investigation
16:30
Dealing with Requests for Bribes or "Consideration" When Obtaining Regulatory Approvals or Responding to Local Government Investigations/Audits
Mr. Shawn Li
Regional Counsel‚ Greater China
Johnson & Johnson (China) Investment Ltd.
Ms. Celina Teh
Senior Counsel‚ Ethics & Compliance Director
Baxter International Inc
-Ms. Amy L. Sommers
Partner
Squire‚ Sanders & Dempsey L.L.P.
17:30
Conference Adjourns to Day 2
9:00
Co-Chairs Opening Remarks
Mr. Patrick M. Norton
Partner
Steptoe & Johnson LLP
1 file
After the Anti-Corruption Investigation: Restoring Confidence and Enhancing Compliance
331 KB 21 pages Presentation
PPT - After the Anti-Corruption Investigation:  Restoring Confidence and Enhancing Compliance
Mr. Stephen A. Maloy
General Counsel - Asia Pacific
General Electric Company
9:05
Implementing and Monitoring an Effective Anti-Corruption Compliance Program for Chinese Operations
Ms. Hong Liu
Regional Counsel - Greater China
Corning China (Shanghai) Regional Headquarter
1 file
Implementing and Monitoring an Effective Anti-Corruption Compliance for Chinese Operations
287 KB 10 pages Presentation
PPT - Implementing and Monitoring an Effective Anti-Corruption Compliance for Chinese Operations
Dr. Xi Zhang
General Counsel‚ Asia
Celanese (China) Holding Co.‚ Ltd
1 file
Implementing and Monitoring an Effective Anti-Corruption Compliance for Chinese Operations
287 KB 10 pages Presentation
PPT - Implementing and Monitoring an Effective Anti-Corruption Compliance for Chinese Operations
Ms. Liz Li
Corporate Counsel - Asia Pacific
Caterpillar
1 file
Implementing and Monitoring an Effective Anti-Corruption Compliance for Chinese Operations
287 KB 10 pages Presentation
PPT - Implementing and Monitoring an Effective Anti-Corruption Compliance for Chinese Operations
K. Lesli Ligorner
Partner
Simmons & Simmons LLP
1 file
Implementing and Monitoring an Effective Anti-Corruption Compliance for Chinese Operations
287 KB 10 pages Presentation
PPT - Implementing and Monitoring an Effective Anti-Corruption Compliance for Chinese Operations
10:20
Coffee/Tea Break
10:35
Controlling The Money: How to Set Up Internal Accounting Controls to Meet FCPA Books and Records Requirements & Unique Features of China's Accounting System
Mr. Nathan Garrett Bush
Partner
O'Melveny & Myers LLP
1 file
Heeding the Accounting Provisions
1.8 MB 20 pages Presentation
PDF - Heeding the Accounting Provisions
Mr. John Donker
Partner‚ Forensic Services
PwC LLP
1 file
2nd China Summit on Anti-Corruption Accounting & Internal Controls in China
741.5 KB 14 pages Presentation
PPT - 2nd China Summit on Anti-Corruption  Accounting  & Internal Controls in China
11:20
The Delicate Art of Gift-Giving and Entertainment in China: Balancing Politeness and the Letter of the Law
Bobby Butler
Senior Vice President, Chief Compliance Officer
Universal Weather & Aviation, Inc.
1 file
The Delicate Art of Gift Giving in China
620.5 KB 7 pages Presentation
PPT - The Delicate Art of Gift Giving in China
Ms. Alexandra A. Wrage
President
TRACE International‚ Inc.
1 file
FCPA and International Anti-Corruption for the Pharmaceutical and Medical Device Industries
214.5 KB 7 pages Presentation
PPT - FCPA and International Anti-Corruption for the Pharmaceutical and Medical Device Industries
12:20
Networking Luncheon
13:30
Keynote Address - The OECD Anti-Bribery Convention: Monitoring and Future Initiatives
Mr. Nicola Bonucci
Director, Legal Affairs
OECD
1 file
THE OECD ANTI-BRIBERY Monitoring and future initiatives
479 KB 11 pages Presentation
PPT - THE OECD ANTI-BRIBERY Monitoring and future initiatives
14:00
Conducting Pre-Acquisition Due Diligence and Overcoming Integration Challenges
Mr. Lester Ross
Partner
WilmerHale
1 file
Conducting Due Diligence in Acquisitions to Detect and Prevent Corruption
867 KB 28 pages Presentation
PPT - Conducting Due Diligence in Acquisitions to Detect and Prevent Corruption
Mr. Michael Schwartz
Partner‚ Global Anti-Bribery and Corruption Service Leader
KPMG LLP
1 file
Why Conduct Due Diligence for Corruption? U.S. Enforcement Activity and Trends
284.5 KB 21 pages Presentation
PPT - Why Conduct Due Diligence for Corruption?U.S. Enforcement Activity and Trends
15:00
Remediation Programs - How to Restore Confidence and Enhance Compliance after an Anti-Corruption Investigation or Penalty Involving China
Mr. Stefan Hoffmann-Kuhnt
Vice President & Regional Compliance Officer
Siemens Ltd.‚ China
1 file
Cost Effective FCPA Investigations Issues and Challenges
7.3 MB 27 pages Presentation
PPT - Cost Effective FCPA Investigations  Issues and Challenges
Mr. Patrick M. Norton
Partner
Steptoe & Johnson LLP
15:45
Facilitating and "Grease" Payments‚ Small Bribes: Understanding the Limits of Reasonable Payments in China
- Ms. Yuet-Ming Tham
Consultant
DLA Piper
1 file
Facilitating and Grease Payments, Small Bribes
4.5 MB 9 pages Presentation
PPT - Facilitating and Grease Payments, Small Bribes
Ms. Agnieszka Moskal Gallagher
Assistant General Counsel
Pfizer
1 file
Facilitating and Grease Payments, Small Bribes
4.5 MB 9 pages Presentation
PPT - Facilitating and Grease Payments, Small Bribes
Katharine A. Bostick
Director Compliance & Litigation‚ Asia Pacific
Microsoft Operations (Singapore)
1 file
Facilitating and Grease Payments, Small Bribes
4.5 MB 9 pages Presentation
PPT - Facilitating and Grease Payments, Small Bribes
16:30
Conference Ends