Pre-Conference Workshop

Third Party Risk Management

Jun 13, 2017 1:30pm – 5:15pm

Speakers

Karen Eryou
Senior Director, Corporate Compliance, APAC
UCB Pharma – Greater China and SE Asia

Jeanne Kang
APJ Chief Ethics Officer
Dell

Jun Li
Senior Director & Associate General Counsel, Ethics & Compliance – APJ
VMware

William Hu
Regional Compliance Officer
Daimler Greater China Limited

Fang Lei
Asia R&D Compliance Lead
Pfizer (Shanghai)

Barbara Tsai
Executive Director APAC Regional Head of Anti-Bribery & Corruption
UBS (Shanghai)

Harry Liu
Partner
King & Wood Mallesons

Day 1 - Wednesday, June 14, 2017

9:00
Conference Co-Chairs Opening Remarks
9:15
FORMER US PROSECUTOR DISCUSSION Current FCPA Priorities and Enforcement Trends
9:40
NEW Compliance Programme Benchmarking: Polling Questions and Audience Participation
10:00
Networking Break
10:30
NEW How to Incorporate China Anti-Unfair Competition Amendment into Your Compliance Programme: Key Requirements to Meet Expectations for an Adequate Programme
11:15
NEW Dawn Raid Experience Sharing: How to Appropriately Respond to a Chinese Enforcement Agency’s Investigation. Best Protocols to Mitigate Damages
12:15
Networking Luncheon
1:45
Economic uncertainty, unethical conduct: How should over-burdened compliance functions respond? – EY’s Asia-Pacific Fraud Survey 2017 results
2:05
NEW Compliance Officers Think Tank: How to Implement Effective Metrics for your Industry and Sector
3:05
NEW SCENARIO DISCUSSION How to Resolve Potential Conflicts of Interest: What Should You Do If….
4:00
Networking Break
4:30
NEW INTERACTIVE LIVE DEMO How Advanced Companies are Using Big Data to Analyze and Monitor Corruption Risks: Demo of Dashboard for Risk Assessments
5:30
Conference Adjourns to Day Two

Day 2 - Thursday, June 15, 2017

9:00
Co-Chairs Opening Remarks
9:05
NEW AUDIENCE POLLING RESULTS REVEALED Compliance Programme Benchmarking: How Compliance Programmes are Evolving and How to Select the Ideal Structure for your Company’s Greatest Risks in China
10:00
NEW How to Eliminate Anti-Corruption Risks for Tier 2 and Tier 3 Cities and Mobile Offices
10:45
Networking Break:
11:15
The Top 5 Mistakes Companies Make When Responding to Whistleblowers: Lessons Learned from Recent SEC Hefty Fines
12:15
NEW How to Resolve New Cyber Security Regulations Challenges: How to Obtain the Evidence in WeChat Connected Era
1:00
Network Luncheon
2:15
NEW LIVE DEMO ON INNOVATIVE TRAININGHow to Leverage Training to Increase Compliance Ownership and Engagement by Company Employees and Managers
3:45
Networking Break:
4:15
NEW DEBATE How to Eliminate Employee Risks While Safeguarding Your Business
5:15
Conference Concludes

Post-Conference Workshops

WORKSHOP A (9:00 – 12:30) Mock Government Investigation: A Complete Guide on How to Respond to the More Frequent Investigations by Chinese Government Agencies, AIC, Police, Prosecutor and Court

Jun 16, 2017 9:00am – 12:30pm

Speakers

Cheng Wang
Executive Director and Head of Legal, Greater China
Morgan Stanley

Bingna Guo
Partner
O'Melveny & Myers LLP (Beijing)

WORKSHOP B (13:30 – 17:00) A Practical Guide to Minimizing Risks of Gift, Entertainment, Event Sponsorship and Donations: How to Support Your Business Development, Sales and Marketing Power within Anti-Bribery Restrictions

Jun 16, 2017 1:30pm – 5:00pm

Speakers

Zhang Jing
Health Care Compliance Officer, Medical Device, China
Johnson & Johnson

Maggie Zhang
Senior Legal Counsel
UTC Climate, Controls & Security (Shanghai)

Patrick Sinclair
Partner
Davis Polk & Wardwell LLP (Hong Kong)

Day 1 - Wednesday, June 14, 2017

9:00
Conference Co-Chairs Opening Remarks

Co-chairs

Karen Eryou
Senior Director, Corporate Compliance, APAC
UCB Pharma – Greater China and SE Asia

Robert Ma
Legal Counsel, Lead of Greater China Legal Team
Texas Instruments

Wendy Wang
VP & Associate General Counsel
Mary Kay

9:15
FORMER US PROSECUTOR DISCUSSION Current FCPA Priorities and Enforcement Trends

Patrick Stokes
Partner Gibson, Dunn & Crutcher LLP (Washington, USA)
Former Chief, FCPA Unit, U.S. Department of Justice

  • What is the anticipated direction of FCPA enforcement and transition
  • Practical insights on the February 2017 release of USDOJ’s“ Evaluation of Corporate Compliance Programs” (the “Guidance”)
  • Practical review of high profile cases involving China for the past few months
  • Where companies and their executives in China are most vulnerable
  • How compliance efforts and voluntary disclosures are rewarded

9:40
NEW Compliance Programme Benchmarking: Polling Questions and Audience Participation

Questions will be asked by:

Katharine A. Bostick
Director, Compliance & Litigation
Microsoft

The 2017 conference features an exclusive and new panel dedicated to best and innovative practices in anti-corruption compliance programmes. In preparation for the discussion, the panel moderator will ask the audience 10 questions specific to compliance programme structure, resource allocation, reporting, governance and metrics. Polling results will be used as part of the panel discussion on day 2 of the conference and shared with all conference attendees.

10:00
Networking Break

Hosted by:

Brian G. Burke
Partner
Shearman & Sterling LLP (New York/Shanghai)

Life Sciences Industry SIG Meeting

10:30
NEW How to Incorporate China Anti-Unfair Competition Amendment into Your Compliance Programme: Key Requirements to Meet Expectations for an Adequate Programme

Susan Munro
Partner
Steptoe & Johnson LLP (Beijing)

Ray Ren
Legal Counsel
Henkel Greater China & Korea

  • Update on amendments to PRC Anti-Unfair Competition Law
  • Identifying commercial bribery, free gifts, kickbacks, discounts, sales incentives, and other economic benefits
  • Do companies need to change business practices in response to Anti-Unfair Competition Law amendments?
  • Addressing commercial bribery concerns in your compliance program
  • Commercial bribery enforcement priorities of Chinese authorities

11:15
NEW Dawn Raid Experience Sharing: How to Appropriately Respond to a Chinese Enforcement Agency’s Investigation. Best Protocols to Mitigate Damages

Jeanne Kang
APJ Chief Ethics Officer
Dell

Ginger Lu
Senior Legal Director, Greater China
Smith & Nephew

Hai Xiao (Helen) Zhang
Partner
Zhong Lun Law Firm (Shanghai)

  • What to do when you receive the dawn raid request from the government agency
  • How to get prepared. Setting up protocols to follow
  • What happens during a government dawn raid? What triggers a raid?
  • How to properly handle internal and external communication
  • How to properly interact with government officials at different stages of the dawn raid and government investigation
  • How to effectively preserve evidence and maintain confidentiality of the investigation
  • Important considerations when setting up a function in the organization dedicated to dealing with government relationship
  • How to engage with government to get positive results and how to earn trust from the government authority?

12:15
Networking Luncheon
1:45
Economic uncertainty, unethical conduct: How should over-burdened compliance functions respond? – EY’s Asia-Pacific Fraud Survey 2017 results

Emmanuel Vignal
Partner, Greater China Leader, Fraud Investigation & Dispute Services
EY (Shanghai)

The EY APAC Fraud Survey 2017 surveyed 1,698 employees from large businesses in 14 Asia-Pacific territories. The awareness about the dangers of fraud, bribery and corruption directly contrasts with employees’ understanding of what is and what isn’t allowed within an organization’s compliance protocols. The survey found that employee frustration with discrepancies and inconsistencies of how compliance programs are executed creates major stumbling blocks to managing effective compliance programs and bringing fraud, bribery and corruption under control. This session will cover the key findings and action items compliance functions need to consider when executing compliance programs in China.   Each attendee will get a copy of the severe from EY

2:05
NEW Compliance Officers Think Tank: How to Implement Effective Metrics for your Industry and Sector

Henry Yao
Head of Compliance
Roche Diagnostic China

ChenFan Forrest Fu
Managing Corporate Counsel
Lowe’s Companies, Inc.

Shaun Z. Wu
Partner
Kobre & Kim (Hong Kong)

  • How government compliance expectations have affected the use of metrics
  • Which metrics have proven useful in the context of measuring compliance upgrades and culture changes
  • The effectiveness and shortfalls of certain metrics, such as communications, leadership, HR, job performance, accountability, mission, values, turnover, ethics, compliance spending
  • Measuring the ROI of your anti-corruption compliance programme and ethical culture
  • Innovative way and tools to measure the performance of your compliance initiatives

3:05
NEW SCENARIO DISCUSSION How to Resolve Potential Conflicts of Interest: What Should You Do If….

Howard J. Lin
Vice President, Lilly China Ethics & Compliance
Eli Lilly and Company (Shanghai)

Stanley Lui
Head of Legal and Compliance Asia Pacific
Hilti Asia Ltd

Wang Yuan
Compliance Officer & Legal
GM China (Shanghai)

Chen Zhu
Counsel
Davis Polk & Wardwell, LLP

This exclusive and practical session will feature thee complex scenarios and highlight how to resolve conflicts of interest from different stakeholders.  

  • How to handle situation when employee’s family member owns the supplier
  • How to establish appropriate business relationship with SOE and government official, or even former government official
  • Whether you should hire former government officials
  • What action you should take when the romantic relationship occurs

4:00
Networking Break

Hosted by:

Technology Industry SIG Meeting

4:30
NEW INTERACTIVE LIVE DEMO How Advanced Companies are Using Big Data to Analyze and Monitor Corruption Risks: Demo of Dashboard for Risk Assessments

Christine Yu
Director, Ethics and Compliance, Asia Pacific
Baxter (China) Investment Co., Ltd.

Ray Zhou
Legal Director, DGO APAC
ABInBev APAC North

Chi Chen
Partner
EY, Fraud Investigation & Dispute Services (Shanghai)

Stephanie Chew
Head of Ethics and Compliance, Great China Office of Ethics and compliance
Medtronic (Shanghai) Management Co., Ltd. (Shanghai)

During this live demo sessions, companies will demonstrate how they collect and use data to improve compliance and risk management outcomes. Demo companies will show the audience how to use a dashboard and how to monitor and identify the red flags in the daily business activities.  

  • Maximizing efficiency to focus on high risk issues when increased local enforcement action coupled with limited resources to do more reviews have created a strain on compliance teams
  • Learn how many multinational companies are utilizing forensic data analytics as a proactive tools vs a creative investigative tool
  • See the benefits of having a multinational platform
  • Predicting and preventing fraudulent and corrupt behavior before in occurs
  • How data and behavior can help you shape internal controls, policies and procedures
  • Value: why it makes business sense to invest in technology and ensure compliance sustainability

5:30
Conference Adjourns to Day Two

Day 2 - Thursday, June 15, 2017

9:00
Co-Chairs Opening Remarks

大会主席致辞

9:05
NEW AUDIENCE POLLING RESULTS REVEALED Compliance Programme Benchmarking: How Compliance Programmes are Evolving and How to Select the Ideal Structure for your Company’s Greatest Risks in China

Katharine A. Bostick
Director, Compliance & Litigation
Microsoft

Jonathan M Shun Wah
Regional Compliance Director, China
Pfizer

Noah Ai
Compliance Officer, Great China Region
Nestle

Emmanuel Vignal
Partner, Greater China Leader, Fraud Investigation & Dispute Services
EY (Shanghai)

Find out how your compliance programme compares to other companies in the audience. The panel moderator will share the results of the compliance programme polling done Day 1 of the conference. The panel will take a deep dive into the most innovative strategies to implement and monitor an internal anti-corruption programme, including:  

  • Outlining the components of an effective compliance programme – industry specific considerations vs. general best practices
  • Assessing the risks faced by your company based on geographic scope, business model, business sector and other factors
  • How to ensure comprehensive reporting, clear accountability and full and effective oversight by top decision makers
  • Integrated solutions to compliance: How to manage the interplay of anti-corruption with AML, export controls and sanctions compliance requirements
  • Compliance programme reviews – how often to review policies and adjust according to evolving legislative and enforcement activity
  • How to deal with fragmented information management systems and decentralized compliance organizations
  • How to maintain a robust anti-corruption programme and leverage technology amidst budget cut-backs across corporate departments
  • Which new Apps, social media and high-tech monitoring tools are companies using in their anti-corruption initiatives in China

10:00
NEW How to Eliminate Anti-Corruption Risks for Tier 2 and Tier 3 Cities and Mobile Offices

Seth Yu
Director, Global Investigation
MSD

Brian G. Burke
Partner
Shearman & Sterling LLP (New York/Shanghai)

Robert Ma
Legal Counsel, Lead of Greater China Legal Team
Texas Instruments

  • How to spot corruption risks that are unique to tier 2 and tier 3 cities in China
  • How to ensure your compliance programme is suitable to mitigate risks presented by mobile offices and employees working remotely
  • Differences between managing investigations in tier 1 city versus tier 2 and tier 3 cities
  • Whom to go to if employee on the ground need compliance assistance
  • Establishing effective approval procedures for remote employees

10:45
Networking Break:

Automobile Industry SIG Meeting

11:15
The Top 5 Mistakes Companies Make When Responding to Whistleblowers: Lessons Learned from Recent SEC Hefty Fines

Casey Kah
Partner, Fraud Investigation & Dispute Services
EY (Shanghai)

Mimi Yang
Partner
Ropes & Gray LLP (Hong Kong)

Iris Xie
Corporate Counsel, Compliance & Ethics, Greater China
Johnson Controls

Jing Li
Legal & Compliance Director
Teleflex China

  • Recent SEC whistleblower cases and fines, what steps in those companies went wrong
  • How to respond to whistleblowers that come internally or from the outside
  • How to question your employees without exposing the fact that an issue could exist
  • Handling anonymous whistleblower and how to respond to them
  • Knowing the steps to take immediately once a claim has been made

12:15
NEW How to Resolve New Cyber Security Regulations Challenges: How to Obtain the Evidence in WeChat Connected Era

Jason Cao
Chief Legal Counsel, China
Dover China Regional Headquarters (Shanghai)

Janice Tsang
Compliance Counsel, Legal and Compliance Department
Porsche (China) Motors Limited

Richard K. Wagner
Partner
Steptoe & Johnson LLP (Beijing)

Melody Wang
Partner
Fangda Partners (Beijing)

  • How the Cyber Security Law may be implemented in practice – what kinds of cyber security and privacy pitfalls does your company need to pay the most attention to?
  • SPC’s New Arrangement with Hong Kong for Handling Evidence Collection in Commercial Litigation* Update on PRC classified, sovereign, data privacy, and other information risk issues before foreign courts and regulators
  • What is the best practice to migrate data between China and the overseas HQ?
  • What is the best practice on e-disclosure, how much should you disclose within limits of the data security regulations?
  • PRC sourced evidence – how to collect and legally preserve evidence in the WeChat world?* Recent cases from Chinese and US courts

1:00
Network Luncheon

演讲嘉宾与与会代表共进午餐

2:15
NEW LIVE DEMO ON INNOVATIVE TRAININGHow to Leverage Training to Increase Compliance Ownership and Engagement by Company Employees and Managers

Wendy Wang
VP & Associate General Counsel
Mary Kay

This Live Demonstration is an exclusive opportunity to get a peer review of your training programme. Participants will have 1 and a half hour to benchmark and share their training curriculum, videos, powerpoints, youtube and online training modules with others in the room. Attendees are encouraged to bring their videos and other trainings to share with the group. Benefit from the shared successes (and failures) on how to effectively train your employees across different continents and job functions. Come exchange your ideas, hear what others are doing, and take away proven-effective strategies to effectively train your employees. Attendees are also welcome to share their own innovative training program.  

  • How to address specific cultural nuances when localizing your training
  • How to tailor your compliance message for sales and marketing, finance and accounting, legal, audit, regulatory, pro-curement and logistics teams
  • How to test if the training is actually working: Addressing training “fatigue” and staying up to speed with the latest training techniques
  • Incentive-based approaches that work
  • Managing the anti-corruption training lifecycle – What to do from onboarding through retirement

3:45
Networking Break:

Manufacturing Industry SIG Meeting

4:15
NEW DEBATE How to Eliminate Employee Risks While Safeguarding Your Business

Leon Cheng
Compliance Director, Greater China
Pearson China (Shanghai)

Maggie Pie
Associate General Counsel – Legal
Tesla

  • How to mitigate risks of government princeling hiring and internship
  • How to define the employee liability and impact to company
  • How to ensure the handbook go through democratic procedure and ask for employee feedback so they will easily to be followed
  • How to effectively monitor employee business activities
  • Utilizing HR as a gatekeeper to hire right employee and engage with investigation
  • What is the technique to preserve employee misconduct evidence to safeguarding your company and your business
  • How to terminate the individual’s employment, executive level and group in this employee favorable court
  • How to position your investigation management approach when trying to cooperate with both US and China Anti-Corruption agencies

5:15
Conference Concludes

大会结束

WORKSHOP A (9:00 – 12:30) Mock Government Investigation: A Complete Guide on How to Respond to the More Frequent Investigations by Chinese Government Agencies, AIC, Police, Prosecutor and Court

Jun 16, 2017 9:00am – 12:30pm

Cheng Wang
Executive Director and Head of Legal, Greater China
Morgan Stanley

Bingna Guo
Partner
O'Melveny & Myers LLP (Beijing)

What is it about?

Dawn raid and government investigation are always the biggest challenge for multinational companies. In-house counsel and compliance officers seldom have experience how to draft a plan and strategy to respond to those frequent government investigations. This interactive working group is led by experienced lawyers and inhouse counsels, who will take you through hypothetical scenarios and guide you through:  
  • What would happen in the investigation
  • What kind of plan you should have an what right you have during the investigation
  • How to best respond to government agencies while protecting your business interests
  • When you disclose the documents
  • What is the best timing to engage them and what documents you need to disclose

WORKSHOP B (13:30 – 17:00) A Practical Guide to Minimizing Risks of Gift, Entertainment, Event Sponsorship and Donations: How to Support Your Business Development, Sales and Marketing Power within Anti-Bribery Restrictions

Jun 16, 2017 1:30pm – 5:00pm

Zhang Jing
Health Care Compliance Officer, Medical Device, China
Johnson & Johnson

Maggie Zhang
Senior Legal Counsel
UTC Climate, Controls & Security (Shanghai)

Patrick Sinclair
Partner
Davis Polk & Wardwell LLP (Hong Kong)

What is it about?

This interactive and practical working session will go beyond high-level understanding of the FCPA, UK Bribery Act, China Anti-Corruption regulations and New Anti-Unfair Competition Amendment to identify concrete and innovative tools and tactics for avoiding the new emerging loopholes presented by the gift giving, entertainment, hospitality, and events in China. Attendees will receive practical guidance on how to create a robust, culturally sensitive cost-effective and credible approach to gift, entertainment, travel, and events. The workshop will include an interac-tive session on how to decide, document, approve, review decisions, and engage business teams relating to gift, entertainment, hospitality and event.  
  • Update on new regulation on the event and charitable activities
  • Identify the risks on the sponsorship, donation, travel arrangement, conferences, advisory boards and other entertainment
  • How to make the event and case and non-case related activities transparent and open
  • Handling the risks when inviting a government official to an events and traveling
  • How to use evidence to prove the commercial purpose vs. public interests of sponsorship and donation
  • How to make your marketing, sales and business development managers aware of bribery issues How to handle new types of emerging non-cash gift and incentives: Decreasing hotel rates, allowing family members to travel, job offer for relatives of government official
  • Practice sharing on real-life case studies

Third Party Risk Management

Jun 13, 2017 1:30pm – 5:15pm

Karen Eryou
Senior Director, Corporate Compliance, APAC
UCB Pharma – Greater China and SE Asia

Jeanne Kang
APJ Chief Ethics Officer
Dell

Jun Li
Senior Director & Associate General Counsel, Ethics & Compliance – APJ
VMware

William Hu
Regional Compliance Officer
Daimler Greater China Limited

Fang Lei
Asia R&D Compliance Lead
Pfizer (Shanghai)

Barbara Tsai
Executive Director APAC Regional Head of Anti-Bribery & Corruption
UBS (Shanghai)

Harry Liu
Partner
King & Wood Mallesons

What is it about?

Tuesday, June 13, 2017

1:30
Case Studies on Distributors’ Margin Pitfalls: How to Monitor Distributors’ Bribery Activities and Ensure They Offer Fair Market Values
分销商案例分析:如何最有效的监控分销商商业贿赂行为及提 供市场公平的利润差额  
  • Distributors margin common pitfalls
  • How to research and ensure distributor is at fair market value
  • Engaging internal resources to set up an appropriate margin
  • How to detect wrong doing of distributor through report, transactions, and performance
  • How to appropriately reward distributors while control and monitor the room of margin
  • How to handle Antitrust concerns when you monitor the distributor margin
9:00
Co-Chairs Opening Remarks
大会主席致辞
9:15
Case Study: How to Structure and Build a Transparent Third Party Compliance Programme to Effectively Monitor and Audit Ongoing Risks
案例分析:如何建立公开透明的第三方合规程序有效监管,跟踪第三方风险  
  • How to develop an appropriate third party management plan
  • How to customize internal controls for effective third party oversight to detect and prevent anti-bribery issues
  • How to establish appropriate front-end vetting and screening protocol based on the type, level of relationship and interests represented by the third party
  • Case study on effective programme roll out, what to do when you have uncooperative partner
  • How to evaluate third party compliance procedure and contractual terms and conditions
  • Helpline and Hotline set up internally and externally
10:15
Top Five Pitfalls in Due Diligence for Intermediaries, Brokers, Vendors, Distributors, and Agents
中间商,经纪,供应商,分销商和中介尽职调查中五大最容易犯 的错误  
  • How to identify whether the third party is related to your employee or employee-owned
  • What happens when public records are not available or not reliable
  • What about the sub-level third party
  • How to handle the government ownership
  • Warning sign of the unclear payment, how to detect the third party expense, invoices and other underlying documents
11:15
Coffee and Tea Break
茶点休息
11:30
Scenarios on Effective Third Party Training and Program Implementation: What Would You Do if…
案例分析:如何开展第三方有效培训及合规程序的普及案例分析   This exclusive and practical session will feature three complex third party risk management scenarios:  
  • Massive number of third parties with different locations
  • Unique cultural nuances and risks that are specific to China
  • Third party attended the training, but did not implement teachings
  After a review of each scenario and the specific challenges involved, speakers will present a step-by-step review of strategies to address each situation. Don’t miss the chance to test your business acumen and benchmark with your peers during this insightful and interactive panel.
12:15
Networking Luncheon for Attendees and Speakers
与会者和演讲嘉宾共进午餐
2:15
Joint Venture Risks: How to Address the Most Complex Challenges in JV Relationships
合资方风险防控案例分析:如何解决纷繁复杂的合资方关系及 有效做好合规工作  
  • The 3 Ds when entering a JV: diligence, decision points and defense strategies
  • What determines “control” in a JV and its impact on legal liability
  • What if a Government official or SOE is a business partner
  • Minority ownership: Persuading your JV partner to adopt compliance
  • Implementing an effective compliance programme at different levels in a JV
3:30
Coffee and Tea Break
茶点休息
3:45
Minimizing the Unique Risks of Service Providers in China: Special Focus on Travel Agencies, Payment Agencies, Brokers and Consultants
如何减少服务类第三方风险,聚焦旅游代理,经纪人和顾问  
  • What are the best and innovative practices for travel arrangement
  • Crafting permissible guidelines for the use of service providers
  • Best practices for organizing conferences, sponsorship
  • Minimizing the risk of third party vendors that handle your marketing and business development
  • How to mitigate the risk of the broker and intermediary to obtain new business and good deal for you
  • How to handle service providers who have weak accounting system or unclear item of invoice
  • How to manage and vet the offshore agencies
4:30
Industry Roundtable Discussion: Navigating Complex and Hidden Risks in Sponsorship, Procurement and Bidding
行业分组圆桌讨论:如何减少行业特有的赞助或招投标合规中 第三方合规风险   Each industry has its unique set of third party risks and challenges. During this interactive panel, attendees will sit at the industry table of their choice and discuss the cases and scenarios with their own industry’s peers. Each speaker will join one table to lead the discussions. Take advantage of this unique opportunity to benchmark practices with industry peers and walk away with more in-depth and valuable insights.
5:15
Co-Chairs Closing Remarks
大会结束