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Pre-Conference Workshops
A Crash Course on the Foreign Corrupt Practices Act: A Practical Review of the Most Essential FCPA Requirements, Key Cases and Evolving Compliance Expectations
Sep 24, 2018 9:00am – 12:30pm
Speakers
Rob A. Lindquist
Former Chief Compliance Officer
Panasonic Avionics Corporation (Lake Forest, CA)
Jaime B. Guerrero
Partner
Foley & Lardner LLP (Los Angeles, CA)
Fine-Tuning Your Third Party Due Diligence in Asia: A Deep Dive into the Most Unique, High Stakes Considerations for Vetting Third Party Vendors, M&A Targets and JV Partners
Sep 24, 2018 1:30pm – 5:00pm
Speakers
Kim Tung
Associate General Counsel Compliance
Broadcom Limited (San Francisco, CA)
Todd Liao
Partner
Morgan, Lewis & Bockius (China)
Day 1 - Tuesday, September 25, 2018
Day 2 - Wednesday, September 26, 2018
Day 1 - Tuesday, September 25, 2018
7:45 |
Registration Begins and Continental Breakfast |
8:30 |
Conference Co-Chairs’ Opening RemarksJohn Skousen Robb Adkins |
8:45 |
Enforcement Update — Interview and Q&AMatthew S. Miner ModeratorPamela Davis |
9:30 |
“Piling on,” Aggravating Circumstances, Self-Disclosure, Messaging Apps, and More: How Recent DOJ Announcements Impact Your Global Anti-Corruption Risk CalculusJohn D. Buretta Leslie R. Caldwell
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10:30 |
Coffee & Networking Break |
10:45 |
SUBSIDIARIES, CHANNEL PARTNERS, DISTRIBUTORS AND SUB-AGENTSSpecial Considerations for Due Diligence Across the R&D and Product LifecycleLing-Ling Nie Allen W. Chiu Jeffrey Young ModeratorLewis D. Zirogiannis
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11:45 |
The Realities for MULTINATIONALS IN CHINAHow the Revised Anti-Unfair Competition Law, New National Supervision Law and Commission are Changing ABAC Compliance and Business OperationsYunxia (Kate) Yin Jason Linder
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12:30 |
TECHNOLOGY INNOVATION VIGNETTEData Analytics Demo: Inside Predictive Analysis, AI and Machine Learning for Effective Corruption Risk Detection and MitigationAlan Gibson Matthew Kral Learn how Microsoft uses a pragmatic approach for how compliance professionals can use data science for risk prediction via this live demo — an illustration of a novel solution to identify and monitor your “riskiest” sales transactions. |
1:15 |
Networking Lunch |
2:15 |
STORIES from the TRENCHES — Part IEvery Day is On-The-Job Training: Reflections of a Chief Compliance Officer on How to Weather an FCPA InvestigationRob A. Lindquist During this special session, the former CCO of Panasonic Avionics Corporation will discuss his experiences becoming as a Chief Compliance Officer in the midst of an FCPA investigation, helping to guide the company through the investigation, defending the compliance program before the DOJ and SEC, shaping the communications plan for the resolution of the investigation, and preparing the company for the compliance monitorship. Conference delegates may submit questions prior to the panel for the moderator to incorporate into the discussion. |
2:45 |
SEC Enforcement UpdateNew Priorities for FCPA, Books and RecordsBrian J. Stretch John Skousen |
3:15 |
Coffee & Networking Break |
3:30 |
INTERNAL INVESTIGATIONS FOCUSHow to Successfully Leverage New Technologies for Internal Investigations: Effective Upgrades and Missteps to Avoid Along the WayChristopher J. Steskal Roelie le Roux Nausher Hoodbhoy
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4:15 |
INNOVATION VIGNETTEFrom Blogs to Mascots: “Out Of the Box” Messaging and Communication that is More Effective than Traditional Employee TrainingKris Rossfeld Learn about methods of communicating to employees that have led some employees to remark “we enjoy compliance messages more than any other group’s.” From mascots to video clips to blogs to giveaways, a communication-focused compliance program can achieve, at times, even more than traditional trainings. |
4:35 |
Is a TECH SWEEP in the WORKS?New, Unique FCPA Risk Factors for Technology Companies and Their ExecutivesDaniel Freed Roxane Nass-Marenberg Carolyn McNiven W.S. Wilson Leung
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5:30 |
Conference Adjourns |
Day 2 - Wednesday, September 26, 2018
8:00 |
Continental Breakfast |
8:30 |
Conference Co-Chairs’ Remarks |
8:35 |
STORIES from the TRENCHES — Part IIInside the Real-Life Lessons and Daily Grind of an FCPA Investigation, Settlement, and MonitorshipJohn Skousen This session will delve into the key lessons learnt by a CCO who brings first-hand experience from having recently led Qualcomm through an FCPA monitorship. It will include a discussion of how the initial criminal charges brought by the DOJ morphed into a civil FCPA matter overseen by the SEC. How the compliance program was implemented subsequently will also be addressed. Conference delegates may submit questions prior to the panel for the moderator to incorporate into the discussion. |
9:15 |
MULTI-JURISDICTIONAL ENFORCEMENT 2.0Enhanced Coordination Versus “Piling On” — How Recent DOJ Policy Announcements are Affecting Multinationals’ Penalty Risk Assessments and Prospects of Double JeopardyStéphane Bonifassi Luis Adams Patrick Stokes Nathaniel B. Edmonds
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10:15 |
Refreshment Break |
10:30 |
ABAC COMPLIANCE RESOURCE & BUDGETARY THINK TANKHow Industry is Now Doing More with Less: The Latest Examples of Budgeting and Operational Efficiencies in Program ImplementationJohn McCoy Christine Wong David Searle April Oliver ModeratorRobb Adkins
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11:30 |
CRYPTOCURRENCIES and BLOCKCHAINEmerging Technologies as Bribery Tools: The Latest Corruption Schemes and How to Adapt Your FCPA, AML and KYC Strategies to a New Risk FrontierGabriella Geanuleas Celeste L. M. Koeleveld Brian Michael James R. Meehan
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12:15 |
Networking Lunch |
1:15 |
ASK THE EXPERTS: RISK-RANKING in LATIN AMERICAExperts Take Your Most Burning Questions on the Legal, Compliance and Business Realities on the GroundOdilon Castello Borges Neto Veronica Yepez Luis Armando López Linaldi |
2:15 |
Refreshment Break |
2:30 |
GDPR DEMO SessionGDPR – IN EUROPE, THE US AND BEYOND: Achieving GDPR Compliance to Meet “The New World Standard on PrivacyDr. Kai Westerwelle |
3:15 |
INTERNAL CONTROLS for GiftsHow to Achieve Compliance Synergies Across Your Payroll, AR, AP, CRM and Audit Systems to Mitigate the Newest, Biggest Bribery RisksAnne Takher Kendall Tieck Molly Arico Caz Hashemi
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4:00 |
Networking Break |
4:15 |
CORPORATE GOVERNANCE ROUNDTABLEJamie S. Gorelick Joseph Spiegler Priya Cherian Huskins Michael F. Munro Board members and venture capitalists discuss their roles in maximizing returns for hyper-growth startups and multinationals: How they are incorporating corruption and fraud risks into their investment decision-making. A special opportunity to learn about the governance and anti-corruption priorities of board members and venture capitalists. What is it they care about when leading or deciding to invest in a company? What is the most effective way for legal and compliance to communicate with the board? Should compliance officers be prepared to pitch and “sell” their program to the board? Get your questions answered here. |
A Crash Course on the Foreign Corrupt Practices Act: A Practical Review of the Most Essential FCPA Requirements, Key Cases and Evolving Compliance Expectations
Rob A. Lindquist
Former Chief Compliance Officer
Panasonic Avionics Corporation (Lake Forest, CA)
Jaime B. Guerrero
Partner
Foley & Lardner LLP (Los Angeles, CA)
What is it about?
ACI’s signature FCPA Boot Camp is back in workshop format. This acclaimed half-day session will delve into the ins and outs of key requirements and developments. If you are new to handling FCPA risks or need a practical refresher, then we encourage you to attend this discussion that will lay the groundwork for the main conference panels.-
Who is covered by the FCPA?
- Foreign Private Issuers (FPI) — who qualifies?
- Foreign subsidiaries, joint venture partners?
- What is the extraterritorial reach of the FCPA?
- What are the implications for employees, executives and board members?
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What are the risks?
- Potential criminal liability for the company, its employees and executives; potential civil liability — regulatory actions and shareholder suits; reputational damage; risk of investigation; whistleblowers; disqualification and debarment from participation in government contracts and publicly financed projects
- Basic elements of the FCPA’s anti-bribery provision, which prohibits covered persons and companies from paying, offering or promising to pay, or authorizing the payment of anything of value to a foreign official in order to influence any act or decision of the official in order to obtain or retain business.
- Who is a “foreign official” under the FCPA and how to deal with employees of state-owned enterprises
- What does “anything of value” mean?
- Gifts and entertainment; travel; charitable contributions; political contributions
- What are the exceptions under the FCPA?
- Facilitating payments: limits on “grease”
- Reasonable and bona fide expenditures
- How third parties can expose a company to a risk of violating the FCPA
- Distributors, agents, consultants and joint venture partners
- Conducting due diligence on third parties to identify potential risks
- Common “red flags” and how to deal with them
- Expectations of enforcement authorities
- The “Achilles Heel” of FCPA compliance: the books and records requirements
- Maintaining records that “accurately and fairly” reflect transactions
- Maintaining a system of internal accounting controls
- Intersection of Sarbanes-Oxley and FCPA
- Fundamentals of an effective FCPA compliance program
- The questions enforcement authorities will ask; the role and obligations of senior management; why policies and procedures are not always enough; training
- Dealing with a potential FCPA violation
- How FCPA issues arise; investigating suspected violations and misconduct; remediation; navigating government investigations: DOJ, the SEC, and multi-jurisdictional enforcement
Fine-Tuning Your Third Party Due Diligence in Asia: A Deep Dive into the Most Unique, High Stakes Considerations for Vetting Third Party Vendors, M&A Targets and JV Partners
Kim Tung
Associate General Counsel Compliance
Broadcom Limited (San Francisco, CA)
Todd Liao
Partner
Morgan, Lewis & Bockius (China)
What is it about?
This practical deep dive has been tailored to address the complex challenges of conducting due diligence during three of the most common scenarios: Third parties, JV and M&A. Each area will be examined in the unique context of China, Malaysia, Indonesia, Vietnam, Thailand and Singapore. Take part in this intensive, peer-to-peer discussion to discover solutions to practical scenarios, identify tips and pitfalls, as well as best practices for minimizing risk exposure for yourself and your company. The smaller group setting will provide a unique opportunity for enhanced Q&A and anti-corruption compliance benchmarking. The following areas will be covered:- The ABAC laws in key jurisdictions: What can get your company into trouble
- How to implement a risk-based approach to vetting new third parties
- How to devise a coherent transaction road map to hit the ground running
- How to solve the most common third party due diligence risks and pitfalls
- Tools to successfully uncover potential relationships with government officials during your due diligence process
- Determining if, how and what third party due diligence should be outsourced based on risks
- What to do if your due diligence reveals that a proposed third party vendor, prospective joint-venture partner or M&A target does not share your anti-corruption commitment
- How to conduct due diligence on uncooperative third parties
- What type of due diligence findings will enforcement agencies expect you to have in your files?
- Real-life examples of due diligence for internal investigations: How to navigate complicated local labor laws and how such legislation can hamper conducting certain types of interviews