Pre-Conference Workshop

Day 1 - Tuesday, September 26, 2017

7:30
Registration Begins and Continental Breakfast
8:30
Conference Co-Chairs’ Opening Remarks
8:45
SEC and DOJ Keynote: Status Report on FCPA Enforcement Priorities
10:15
Refreshment Break
10:35
Expectations vs. Reality of the Pilot Program One Year Later: How Companies are Changing Their Approach to Voluntary Self-Disclosure and How this is Affecting the Outcome of Investigations
11:30
CASE STUDIES: How to Achieve Compliance Synergies in Process and Controls: Anti-corruption vs. AML, Trade and Antitrust Risk
12:30
Compliance Vignette I: Leveraging Social Media to Engage your Internal Stakeholders
12:50
Networking Lunch for Attendees and Speakers
2:00
ASIA SPOTLIGHT : China, South Korea and Japan China: The Risks of Hiring Individuals and Third Party Entities with Ties to the Government: Practical Lessons from the Most Prominent Cases
2:45
South Korea: Assessing the Current Regulatory Landscapes and Outlook on Risks and Investigations for Multinationals
3:30
Refreshment Break
3:50
A Practical Review of the Pros and Cons of ISO37001 and Other Anti-Corruption Compliance Standards: Must-Knows for Running a Compliant International Business
4:45
How to Manage the Pitfalls with Marketing Development Funds and Third Party Incentives Programs
5:30
Conference Adjourns

Day 2 - Wednesday, September 27, 2017

8:00
Continental Breakfast
8:30
Conference Co-Chairs’ Remarks
8:35
A Dialogue with Hui Chen on USDOJ’s “Evaluation of a Compliance Program”
9:15
How to Leverage Technology and Avoid its Pitfalls to Conduct an Effective Internal Investigation
10:15
Refreshment Break
10:30
How to Bullet-Proof your Due Diligence on Channel Partners: Focus on Resellers and Distributors
11:15
Global Corruption Risk Assessments: How to Effectively Map your Company’s Greatest Risks
12:15
Joint Venture Pitfalls: How to Avoid the Top 5 Mistakes that Could Lead to Liability under the FCPA
1:00
Networking Lunch for Attendees and Speakers
2:10
Compliance Vignette: Innovative Training Compliance Methodology
2:30
Do’s and Don’ts when Choosing between Going Public (IPO) or Making Yourself “Acquirable” – How to Mitigate the Respective Risks
3:15
Refreshment Break
3:30
LATIN AMERICA SPOTLIGHT: How Regional Compliance Programs are Evolving in Response to the Biggest Risks in Brazil, Mexico, Colombia and Peru
4:20
Compliance Vignette: Data Privacy & Cyber Security
4:45
Conference Concludes

Day 1 - Tuesday, September 26, 2017

7:30
Registration Begins and Continental Breakfast
8:30
Conference Co-Chairs’ Opening Remarks

Tina Hua
Associate General Counsel, Ethics and Investigations
HP Inc. (San Francisco, CA)

Debra Wong Yang
Partner
Gibson, Dunn & Crutcher LLP (Los Angeles, CA)

8:45
SEC and DOJ Keynote: Status Report on FCPA Enforcement Priorities

Tarek Helou
Assistant Chief, FCPA Unit, Fraud Section, Criminal Division
U.S. Department of Justice (Washington, DC)

Tracy L. Davis*
Assistant Regional Director
U.S. Securities & Exchange Commission (San Francisco, CA)

  • How to assess the increased intersection of the various laws and statutes used by the DOJ and SEC to launch anti-corruption compliance investigations
  • What companies should know in order to prepare for enforcement priorities of the DOJ and SEC (disgorgement post Kokesh v. SEC, criminal charges, monitor imposition)
  • To what extent will your anti-bribery and anti-corruption compliance efforts today be measured against possible higher minimum standards in the future
  • What to make of the extension of the DOJ’s Pilot Program on voluntary self-disclosure and the potential legislative changes to Dodd-Frank
  • 2016 in numbers: 27 corporate enforcement resolutions by DOJ and SEC and, separately, 27 individuals charged with FCPA violations – a growing trend?
  • Multijurisdictional enforcement by way of a real-life example: Embraer

10:15
Refreshment Break
10:35
Expectations vs. Reality of the Pilot Program One Year Later: How Companies are Changing Their Approach to Voluntary Self-Disclosure and How this is Affecting the Outcome of Investigations

Pamela R. Davis
Partner
Orrick, Herrington & Sutcliffe LLP (San Francisco, CA)

Matthew J. Jacobs
Partner
Vinson & Elkins LLP (San Francisco, CA)

  • What companies have gained from participating in the Pilot Program’s self-disclosure process
  • Perspectives on whether the USDOJ is achieving its objective and whether the Pilot Program has proved to be the expected game-changer
  • Examining the theoretical vs. actual benefits: What your company can realistically expect from self-disclosure and whether enforcement authorities are “holding up their end of the bargain” regarding leniency
  • Disgorgement and the five-year statute of limitations: Practical implications of the Supreme Court’s decision to limit the SEC’s authority to retrieve ill-gotten gains from defendants
  • “War stories” from real-life cases

11:30
CASE STUDIES: How to Achieve Compliance Synergies in Process and Controls: Anti-corruption vs. AML, Trade and Antitrust Risk

Marc Maramag
Director - AML Compliance
First Republic Bank (San Francisco, CA)

Robert E. Sims
Partner
Latham & Watkins LLP (San Francisco, CA)

Sara Putnam
Partner
PwC LLP (San Francisco, CA)

This expert panel will present practical examples to illustrate best practices on how to mitigate the biggest risks by identifying areas of compliance overlap and possibilities for integration:

  • Anti-corruption vs. AML
  • Anti-corruption vs. trade and sanctions
  • Anti-corruption vs. anti-trust

12:30
Compliance Vignette I: Leveraging Social Media to Engage your Internal Stakeholders

Ana Iacovetta
Vice President, Deputy General Counsel and Chief Ethics & Compliance Officer
VMware, Inc. (San Francisco, CA)

Benefit from hearing expert advice on how a company engages in group-sharing via a collaborative social media platform. Learn how to get your colleagues similarly engaged through innovative means

12:50
Networking Lunch for Attendees and Speakers
2:00
ASIA SPOTLIGHT : China, South Korea and Japan China: The Risks of Hiring Individuals and Third Party Entities with Ties to the Government: Practical Lessons from the Most Prominent Cases

John Skousen
Chief Compliance Officer
Qualcomm Incorporated (San Diego, CA)

Eric Carlson
Partner
Covington & Burling LLP (Shanghai, China)

Jason Linder
Partner
Irell & Manella LLP (Los Angeles, CA)

  • How to determine whether a job or an internship to a relative is a “thing of value” and how to mitigate risks with government princeling hiring and internships
  • How to spot red flags and identify effective mitigation strategies from prominent hiring practices cases
  • Managing the pitfalls of engaging third parties connected with Chinese officials
  • How to effectively monitor employee business activities
  • How to define the employee’s liability and potential impact on the company
  • Utilizing HR as a gatekeeper to hire the “right” employee and initiate an investigation into potential misconduct
  • How to preserve evidence of employee misconduct to safeguard your company and business
  • How to terminate an individual’s employment, executive level and group in this employee favorable court
  • How to approach your investigation when trying to cooperate with both US and Chinese anti-corruption agencies

2:45
South Korea: Assessing the Current Regulatory Landscapes and Outlook on Risks and Investigations for Multinationals

Samuel Nam
Senior Foreign Attorney
Kim & Chang (Seoul, South Korea)

  • Recent enforcement trends
  • Whether Korea’s new Anti-Graft Act is a game-changer in the fight against corruption
  • Lessons learned one year since the law has been effective
  • Behavior changes and public opinion
  • Bribe-givers vs. bribe-receivers: Who the Korean government is targeting, and why
  • What types of industries and business practices are current and expected targets for Korean authorities, and how to avoid common pitfalls

3:30
Refreshment Break
3:50
A Practical Review of the Pros and Cons of ISO37001 and Other Anti-Corruption Compliance Standards: Must-Knows for Running a Compliant International Business

Tom Gean
Global Anti-Corruption Officer
Wal-Mart Stores Inc. (Bentonville, AK)

Judd Hesselroth
Director, Office of Legal Compliance – Programs
CELA Microsoft (Redmond, WA)

James R. Meehan
Partner
Forensic Services PwC (San Francisco, CA)

  • What is the value and (international) recognition of ISO 37001, and assessing the prospects for standardizing and harmonizing compliance programs
  • How to determine whether to get certified and best practices on going about doing so: Is it “worth it?” What if your company is small/big?
  • Is ISO 37001 more relevant to certain industries over others?
  • Is the new standard considered “sufficient” by regulators in the US and in nonUS jurisdictions that may have unique requirements (e.g., Mexico, Brazil, France, Russia, China)?
  • How to assess the potential competitive advantages of adhering to a higher compliance and integrity standard via certification
  • Determining whether a certified company will be considered compliant with key laws, market guidelines and government initiatives: FCPA, UKBA, OECD
  • Will certified third parties need to continue to be audited?

4:45
How to Manage the Pitfalls with Marketing Development Funds and Third Party Incentives Programs

Matthew Werner
Chief Compliance Officer
Bio-Rad Laboratories, Inc. (San Francisco, CA)

Mark D. Gursky
Director of Anti-Corruption Compliance & Associate General Counsel
Intel Corporation (Santa Clara, CA)

  • Examining real-world examples of how marketing development funds and third party incentive programs implicate the FCPA
  • What guidance the DOJ and SEC provide on how they expect these types of programs to be managed
  • Best practices developing in the marketplace to mitigate program risk
  • How to mitigate common operational challenges to effective global program management

5:30
Conference Adjourns

Day 2 - Wednesday, September 27, 2017

8:00
Continental Breakfast
8:30
Conference Co-Chairs’ Remarks
8:35
A Dialogue with Hui Chen on USDOJ’s “Evaluation of a Compliance Program”

Hui Chen Hui Chen is the former compliance consultant to the USDOJ’s FCPA Unit. In this capacity, Ms. Chen was providing expert legal advice to prosecutors on how best to evaluate a company’s compliance program in the context of potential misconduct, criminal prosecution and ongoing assessment, remediation and monitoring. Don’t miss this opportunity to hear directly from one of the most highly regarded authorities on anti-corruption compliance today

9:15
How to Leverage Technology and Avoid its Pitfalls to Conduct an Effective Internal Investigation

Tina Hua
Associate General Counsel, Ethics and Investigations
HP Inc. (San Francisco, CA)

Anthony DeSantis
Principal, Forensic Technologies
PwC (New York, NY)

Jessica S. Mussallem
Partner
Vinson & Elkins LLP (San Francisco, CA)

Shannon Capone Kirk
E-Discovery Counsel
Ropes & Gray

  • Common technology approaches and analytic techniques leveraged on internal investigations
  • Where companies stumble trying to leverage technology on an investigation and considerations for deploying technology (privacy, security, internal tools and capabilities)
  • More than metrics: Going beyond dashboards, metrics and reporting to drive insight
  • Beyond emails and sampling: Helping the CCO and compliance/legal team gain visibility into business transactions not recorded through hard copies, email and phone records
  • Cost vs. benefit: Will investing in sophisticated software pay off and translate into better results?
  • Emerging technology: How AI and machine learning could enhance your internal investigations process and provide meaningful insight

10:15
Refreshment Break
10:30
How to Bullet-Proof your Due Diligence on Channel Partners: Focus on Resellers and Distributors

Cameron P. Hoffmann
Director, Office of Ethics and Compliance
Symantec Corporation (San Francisco, CA)

Lisa Borgeson
Senior Director, Legal; Worldwide Employment & Compliance
NetApp, Inc. (San Francisco, CA)

Lidia Maher
Senior Counsel, Global Compliance & Ethics
Oracle Corporation (Redwood Shores, CA)

Caz Hashemi
Partner
Wilson Sonsini Goodrich & Rosati (San Francisco, CA)

  • How to identify the unique FCPA risks related to channel partners
  • How to craft and implement an effective due diligence program for channel partners
  • Best practices to verify whether channel partners are adhering to contractual compliance clauses and how to create responsibility at the reseller and distributor levels
  • How to mitigate risks associated with price manipulations such as significant mark-up or steep discounts
  • How to maintain your program’s effectiveness once implemented and know when to “tweak” it
  • What tools and criteria you should use to benchmark program functionality, such as scoring effectiveness and data interpretation
  • Lessons from the most prominent cases

11:15
Global Corruption Risk Assessments: How to Effectively Map your Company’s Greatest Risks

Lewis Zirogiannis
Chief Compliance Officer &Executive Counsel – Litigation and Investigations
GE Digital (San Ramon, CA)

Roy K. McDonald
Partner
McDermott Will & Emery LLP (Menlo Park, CA)

Debra Wong Yang
Partner
Gibson, Dunn & Crutcher LLP (Los Angeles, CA)

  • Understanding the importance of conducting periodic, documented risk assessments
  • How to design an effective global anti-corruption assessment: Identifying risk factors, assigning weighting and effectively risk-ranking jurisdictions
  • Practical examples on evaluating operations across various locations and jurisdictions
  • Best practices for successful execution such as timing, data standardization and presentation of results
  • How to effectively and efficiently deploying outside resources to improve the outcome of your risk assessment
  • How to operationalize the results: Crafting effective remedial measures and next steps

12:15
Joint Venture Pitfalls: How to Avoid the Top 5 Mistakes that Could Lead to Liability under the FCPA

Kevin Gross
Senior Counsel – Compliance, Investigations & Policy
Chevron Corporation (San Francisco, CA)

Steven J. Smart
Assistant Global Compliance Officer & Regional Compliance Officer
Americas ICL Group (St. Louis, MO)

  • How to understand the purpose of the JV and how revenue is generated
  • How to conduct due diligence on a local minority partner
  • How to conduct due diligence on the third party agents of the local partner
  • How to communicate your company’s compliance policies and expectations to the controlling shareholder when acting as a minority partner in a JV
  • How to understand the anti-corruption laws and requirements of the country where the JV conducts business, in addition to the FCPA

1:00
Networking Lunch for Attendees and Speakers
2:10
Compliance Vignette: Innovative Training Compliance Methodology

Allison Chang
Senior Legal Director Ethics and Compliance
Yahoo Inc. (San Francisco, CA)

Learn about successful efforts to train and communicate across different in-house teams around ethics and compliance, including various ways to interface with them which will allow you to choose the most fitting approach for your company culture

2:30
Do’s and Don’ts when Choosing between Going Public (IPO) or Making Yourself “Acquirable” – How to Mitigate the Respective Risks

Trâm Phi
Senior Vice President and General Counsel
Imperva, Inc. (San Francisco, CA)

Moderated by:

Debra Wong Yang
Partner
Gibson, Dunn & Crutcher LLP (Los Angeles, CA)

  • How to factor FCPA compliance risks into your company’s decision whether to go public or not
  • How to assess whether any specific due diligence should be conducted prior to an IPO
  • How to self-disclose to enforcement authorities if a compliance misconduct is detected in the context of IPO-specific due diligence
  • Understanding the respective jurisdictions of the USDOJ and SEC for private vs. public companies
  • What specific steps should be taken to bolster your FCPA compliance program before going public
  • Does a company need to “grow a conscience” before going public? How to mitigate ethically or morally challengeable business practices
  • How the legal and compliance departments can get a (primarily profits-driven) board behind its cause to build a robust FCPA program
  • The flip-side: How the acquirer should mitigate compliance risks

3:15
Refreshment Break
3:30
LATIN AMERICA SPOTLIGHT: How Regional Compliance Programs are Evolving in Response to the Biggest Risks in Brazil, Mexico, Colombia and Peru

Raphael Kudaka
Regional Compliance Counsel LATAM
Google Inc. (São Paulo, Brazil)

Jaime B. Guerrero
Partner
Foley & Lardner LLP (Los Angeles, CA)

Héctor Gadea Benavides
Partner
Benites, Forno & Ugaz Abogados (Lima, Peru)

  • How unprecedented cross-border collaboration and coordinated enforcement efforts by Attorneys General across the region affects your company’s risk exposure
  • Addressing whether and how national regional laws apply across borders
  • BRAZIL: Status report on “Operation Car Wash” and how Brazil’s scandals have spilled over into the region and other jurisdictions
  • MEXICO: The new National Anti-Corruption System and how multinationals with local operations should accelerate their preparation in order to hit the ground running
  • COLOMBIA: The impact of leniency provisions and mandatory compliance programs on local and multinational businesses’ processes
  • PERU: Enactment of new national laws, public pressure on authorities, and regional collaboration (Tratado de Asistencia Judicial en Materia Penal)
  • How Latin American societies’ growing intolerance of corrupt conduct is driving legislative changes across the region

4:20
Compliance Vignette: Data Privacy & Cyber Security

Matthew Werner
Chief Compliance Officer
Bio-Rad Laboratories, Inc. (San Francisco, CA)

Ronald Cheng
Partner
O’Melveny & Myers LLP (Hong Kong and Los Angeles, CA)

4:45
Conference Concludes

Seminar | Third Party Due Diligence & Monitoring for New and Existing Partners

Sep 25, 2017 8:45am – 5:00pm

What is it about?

802L18_3rdParty_RG  
Ana Iacovetta
Vice President, Deputy General Counsel and Chief Ethics & Compliance Officer
VMware, Inc. (San Francisco, CA)
Christine Wong
Vice President, Head of International Compliance
Fujitsu (Sunnyvale, CA)
 
Cameron P. Hoffmann
Director, Office of Ethics and Compliance
Symantec Corporation (San Francisco, CA)
Christopher J. Steskal
Partner
Fenwick & West LLP (San Francisco, CA)
 
Brian Michael
Partner
King & Spalding LLP (Los Angeles, CA)
(former Deputy General Counsel and Group Chief Compliance Officer, 21st Century Fox)
  This single-day seminar is a topical deep dive specially designed to address the complex challenges of vetting, monitoring and auditing third parties, and to discuss how companies and multinationals are minimizing their exposure in risk-prone jurisdictions. Take part in comprehensive discussions on the most pertinent third party must-knows, practical tips, risks and pitfalls – from selecting and onboarding to dealing with government-linked entities to due diligence outsourcing to ongoing management of third parties and intermediaries. This small group setting will provide a unique opportunity to benchmark best practices with others who share same challenges. Registration will be limited to ensure a smaller group setting. Registrations on first-come first-served basis, so please reserve your seat early.

Download Brochure

 
8:45
Opening Remarks
 
9:00
How to Implement a Risk-Based Approach to Vetting and Onboarding New Third Parties
 
9:45
Tools to Successfully Uncover Potential Relationships with Government Officials during Your Due Diligence Process
 
10:15
Networking Break
 
10:30
Case Studies for New Third Party Due Diligence Reviews
 
11:15
Under the Hood: How Different Industries Monitor Their Existing Third Party Relationships
 
12:00
Effective Strategies for Working with State Owned Enterprises or a Government Mandated Third Party in China and Mexico
 
12:30
Networking Lunch for Speakers & Attendees
 
1:45
Third Party Vendors: Determining If, How and What Should be Outsourced Based on Risks
 
2:30
Third Party Maintenance: Ongoing Management of Third Party Intermediaries
 
3:15
Networking Refreshment Break
 
3:30
Group Exercise: How to Work with Uncooperative Third Parties or Joint Venture Partners
 
4:00
How to Conduct an Effective Third Party Audit
 
5:00
Program Concludes