Registration Begins and Continental Breakfast

Conference Co-Chairs’ Opening Remarks

Enforcement Update — Interview and Q&A

“Piling on,” Aggravating Circumstances, Self-Disclosure, Messaging Apps, and More: How Recent DOJ Announcements Impact Your Global Anti-Corruption Risk Calculus

• How to practically interpret the presumption of declination and translate it into concrete action at the company operations and risk mitigation levels
• What it means in practice:
  • “Aggravating circumstances”
  • “Voluntary self-disclosure” within a “reasonably prompt time”
  • “Pervasiveness of the misconduct within the company”
  • “Criminal recidivism”
• How to manage the DOJ’s expectations for different levels of cooperation
• Messaging apps: What is expected to prevent “employees from using software that generates but does not appropriately retain business records or communications”
• When multiple penalties can “serve the interests of justice in a particular case”
• How CCOs can use the new policy to achieve “buy-in” from the C-suite to invest in a robust compliance program
• Restitution litigation by example of the Och-Ziff case: Will companies need to set aside funds to compensate the victims of their bribes?

Coffee & Networking Break

SUBSIDIARIES, CHANNEL PARTNERS, DISTRIBUTORS AND SUB-AGENTS

Special Considerations for Due Diligence Across the R&D and Product Lifecycle

• How to minimize FCPA risks when moving your product through the pipeline from seller to end-user
• Vetting big vs. small business partners
• Third party requirements: How to include contractual provisions for third parties to have adequate compliance controls
• What regulators consider adequate controls and how your company’s market position and power may impact your leverage in contractual negotiations with third parties
• Understanding the local business environment, customs and practices of foreign partners
• What to do with information uncovered during the vetting process: How to evaluate red flags
• When to consider terminating a third and “fourth” party relationship over bribery suspicions: Anti-corruption, contractual and other key considerations
• How to fine-tune your due diligence process and move beyond the value-added reseller (channel partner) to the extended third (“fourth”) party or system integrator
• How to get sufficient insight into a system integrator’s operations that enables proper due diligence

The Realities for MULTINATIONALS IN CHINA

How the Revised Anti-Unfair Competition Law, New National Supervision Law and Commission are Changing ABAC Compliance and Business Operations

• Revision of the country’s Anti-Unfair Competition Law and recent enforcement cases: Interpreting the likely impact on the enforcement of commercial bribery (B2B)
• Implications of China’s National Supervision Law and the establishment of the National Supervision Commission
• What this new legislation means for the retention and detainment of individuals suspected of corruption
• How the legislation will affect companies that have significant interaction with state-owned enterprises (SOEs)
• How and why companies must make sure they have the “right” person in place to interact with and respond to government questions

TECHNOLOGY INNOVATION VIGNETTE

Data Analytics Demo: Inside Predictive Analysis, AI and Machine Learning for Effective Corruption Risk Detection and Mitigation

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.

Networking Lunch

STORIES from the TRENCHES — Part I

Every Day is On-The-Job Training: Reflections of a Chief Compliance Officer on How to Weather an FCPA Investigation

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.

SEC Enforcement Update

New Priorities for FCPA, Books and Records

Coffee & Networking Break

INTERNAL INVESTIGATIONS FOCUS

How to Successfully Leverage New Technologies for Internal Investigations: Effective Upgrades and Missteps to Avoid Along the Way

• 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)
• The “going-dark” problem with non-traditional methods of communication: Apps and various chat services (Confide, Link, Kik)
• The limits of AI and automatic keyword searches when reviewing emails and other “tangible” documentation
• How to prevent “employees from using software that generates, but does not appropriately retain business records or communications”
• To what degree a company is responsible for its employees’ use of privileged tools and the preservation of business-related communications

INNOVATION VIGNETTE

From Blogs to Mascots: “Out Of the Box” Messaging and Communication that is More Effective than Traditional Employee Training

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.

Is a TECH SWEEP in the WORKS?

New, Unique FCPA Risk Factors for Technology Companies and Their Executives

• How recent FCPA cases differ from earlier ones: How companies are “getting caught” now
• Where the tech industry’s biggest FCPA risks lie compared to “brick-and-mortar” industries
• Assessing the probability of a tech industry sweep and how to prepare your company by re-focusing your
• How to design an effective global anti-corruption assessment: Identifying risk factors, assigning weighting and effectively risk-ranking jurisdictions
• How to handle compliance issues around ethics, transparency and corporate reputation

Conference Adjourns

Continental Breakfast

Conference Co-Chairs’ Remarks

STORIES from the TRENCHES — Part II

Inside the Real-Life Lessons and Daily Grind of an FCPA Investigation, Settlement, and Monitorship

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.

MULTI-JURISDICTIONAL ENFORCEMENT 2.0

Enhanced Coordination Versus “Piling On” — How Recent DOJ Policy Announcements are Affecting Multinationals’ Penalty Risk Assessments and Prospects of Double Jeopardy

• How closer coordination with non-US enforcement authorities for the same corporate misconduct is already working: The Keppel Offshore case
• Lessons learned from the rise in multijurisdictional prosecutions and settlements: Examining the risks and opportunities of international coordination
• Mitigating the risk of double jeopardy: When a company can receive a “coordinated” fine or settlement rather than fines by multiple enforcement bodies
• How to respond to multiple and sometimes conflicting demands by different enforcement agencies
• How to navigate a lack of coordination among national enforcement bodies (for ex., in Brazil where enforcement authorities include the federal prosecutor’s office, court of audits, and Brazil’s SEC)
• Concrete examples of multi-jurisdictional enforcement and how outcomes can differ significantly

Refreshment Break

ABAC COMPLIANCE RESOURCE & BUDGETARY THINK TANK

How Industry is Now Doing More with Less: The Latest Examples of Budgeting and Operational Efficiencies in Program Implementation

• How to get the most bang for your buck: Optimizing and effectively allocating anti-corruption compliance resources
• The feeling of “compliance fatigue:” How to counter the idea that current resources are better invested elsewhere rather than best spent on anti-corruption compliance
• The focus on “operational compliance:”
  • Assessing whether the handling of anti-corruption and FCPA compliance should lie mostly in the hands of attorneys
  • Weighing the benefits of a more “inclusive approach” to compliance that avoids “getting bogged down in legalese” and fosters cross-departmental relationships
  • Handling relationships with third parties and subsidiaries in high-risk markets
• How to “institutionalize” compliance as an essential part of your business process
• How to operationalize your global compliance program: Dovetailing your anti-corruption efforts with the company’s overall business strategy

CRYPTOCURRENCIES and BLOCKCHAIN

Emerging Technologies as Bribery Tools: The Latest Corruption Schemes and How to Adapt Your FCPA, AML and KYC Strategies to a New Risk Frontier

• How a flux of regulations is likely to play out in practice, and how you can do business via virtual currencies and exchanges, blockchain, and ICOs
• Reducing risks by cutting out the middle man: An economy built on “smart conduct” where “smart contracts” can transact funds automatically
• How to reconcile reduced third-party risk with the purpose/idea that blockchain transactions be anonymous
• What to do when your company receives a subpoena or questionnaire from the NY Attorney General

Networking Lunch

ASK THE EXPERTS: RISK-RANKING in LATIN AMERICA

Experts Take Your Most Burning Questions on the Legal, Compliance and Business Realities on the Ground

Refreshment Break

GDPR DEMO Session

GDPR – IN EUROPE, THE US AND BEYOND: Achieving GDPR Compliance to Meet “The New World Standard on Privacy

INTERNAL CONTROLS for Gifts

How to Achieve Compliance Synergies Across Your Payroll, AR, AP, CRM and Audit Systems to Mitigate the Newest, Biggest Bribery Risks

• Practical strategies to forge synergies in data collection across your payroll, AR, CRM, and books and records systems
• How to identify possible red flags early and proactively
• How to extract useful information from the data once it has been collected
• How to implement appropriate checks and balances and integrate your broader due diligence process
• Pros and cons of a one-size-fits-all system versus “bucketed”/country-specific policies for gifts, travel and entertainment

Networking Break

CORPORATE GOVERNANCE ROUNDTABLE

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.