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

7:45
Registration Begins and Continental Breakfast
8:30
Conference Co-Chairs’ Opening Remarks
8:45
Enforcement Update — Interview and Q&A
9:30
“Piling on,” Aggravating Circumstances, Self-Disclosure, Messaging Apps, and More: How Recent DOJ Announcements Impact Your Global Anti-Corruption Risk Calculus
10:30
Coffee & Networking Break
10:45

SUBSIDIARIES, CHANNEL PARTNERS, DISTRIBUTORS AND SUB-AGENTS

Special Considerations for Due Diligence Across the R&D and Product Lifecycle
11:45

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
12:30

TECHNOLOGY INNOVATION VIGNETTE

Data Analytics Demo: Inside Predictive Analysis, AI and Machine Learning for Effective Corruption Risk Detection and Mitigation
1:15
Networking Lunch
2:15

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
2:45

SEC Enforcement Update

New Priorities for FCPA, Books and Records
3:15
Coffee & Networking Break
3:30

INTERNAL INVESTIGATIONS FOCUS

How to Successfully Leverage New Technologies for Internal Investigations: Effective Upgrades and Missteps to Avoid Along the Way
4:15

INNOVATION VIGNETTE

From Blogs to Mascots: “Out Of the Box” Messaging and Communication that is More Effective than Traditional Employee Training
4:35

Is a TECH SWEEP in the WORKS?

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

Inside the Real-Life Lessons and Daily Grind of an FCPA Investigation, Settlement, and Monitorship
9:15

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
10:15
Refreshment Break
10:30

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
11:30

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
12:15
Networking Lunch
1:15

ASK THE EXPERTS: RISK-RANKING in LATIN AMERICA

Experts Take Your Most Burning Questions on the Legal, Compliance and Business Realities on the Ground
2:15
Refreshment Break
2:30

GDPR DEMO Session

GDPR – IN EUROPE, THE US AND BEYOND: Achieving GDPR Compliance to Meet “The New World Standard on Privacy
3:15

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
4:00
Networking Break
4:15
CORPORATE GOVERNANCE ROUNDTABLE

Day 1 - Tuesday, September 25, 2018

7:45
Registration Begins and Continental Breakfast
8:30
Conference Co-Chairs’ Opening Remarks

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

Robb Adkins
Partner
Winston & Strawn LLP (San Francisco, CA)

8:45
Enforcement Update — Interview and Q&A

Matthew S. Miner
Deputy Assistant Attorney General, Criminal Division
U.S. Department of Justice (Washington, DC)

Moderator

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

9:30
“Piling on,” Aggravating Circumstances, Self-Disclosure, Messaging Apps, and More: How Recent DOJ Announcements Impact Your Global Anti-Corruption Risk Calculus

John D. Buretta
Partner
Cravath, Swaine and Moore LLP (New York, NY)

Leslie R. Caldwell
Partner
Latham & Watkins LLP (San Francisco, CA)

  • 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?

10:30
Coffee & Networking Break
10:45

SUBSIDIARIES, CHANNEL PARTNERS, DISTRIBUTORS AND SUB-AGENTS

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

Ling-Ling Nie
Chief Compliance Officer & Assistant General Counsel
Panasonic North America (Atlanta, GA)

Allen W. Chiu
Chief Compliance Officer & Global Head of Litigation
Genesys (Daly City, CA)

Jeffrey Young
Senior Counsel, Anti-Corruption and Business Conduct
Gilead Sciences Inc. (San Francisco, CA)

Moderator

Lewis D. Zirogiannis
Partner
Reed Smith LLP (San Francisco, CA)

  • 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

11:45

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

Yunxia (Kate) Yin
Partner
Fangda Law (China)

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

  • 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

12:30

TECHNOLOGY INNOVATION VIGNETTE

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

Alan Gibson
Assistant General Counsel
Microsoft Corporation (Redmond, WA)

Matthew Kral
Director – ERP Security, Controls, and Compliance Analytics Solutions
PwC (Seattle, WA)

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 I

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

Rob A. Lindquist
Former Chief Compliance Officer
Panasonic Avionics Corporation (Lake Forest, CA)

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 Update

New Priorities for FCPA, Books and Records

Brian J. Stretch
Partner
Sidley Austin LLP (San Francisco, CA)

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

3:15
Coffee & Networking Break
3:30

INTERNAL INVESTIGATIONS FOCUS

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

Christopher J. Steskal
Partner
Fenwick & West LLP (San Francisco, CA)

Roelie le Roux
Assistant General Counsel | Office of Legal Compliance - Investigations Center of Excellence | Corporate, External and Legal Affairs
Microsoft Corporation

Nausher Hoodbhoy
Director, Forensic Technology
PwC (Los Angeles, CA)

  • 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

4:15

INNOVATION VIGNETTE

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

Kris Rossfeld
Senior Director, Privacy, Anti-Corruption and Antitrust Compliance
Western Digital Corporation (Irvine, CA)

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 Executives

Daniel Freed
Vice President and Deputy General Counsel, Chief Compliance Officer
Agilent Technologies, Inc. (San Francisco, CA)

Roxane Nass-Marenberg
Senior Ethics & Compliance Counsel
eBay Inc. (San Francisco, CA)

Carolyn McNiven
Shareholder
Greenberg Traurig LLP (San Francisco, CA)

W.S. Wilson Leung
Director, Litigation and Investigations
Uber Technologies, Inc. (San Francisco, CA)

  • 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

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 II

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

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

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 2.0

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

Stéphane Bonifassi
Partner
Bonifassi Avocats (France)

Luis Adams
Partner
Tauil & Chequer Advogados (Brazil)

Patrick Stokes
Partner
Gibson, Dunn & Crutcher LLP (Washington, DC)

Nathaniel B. Edmonds
Partner
Paul Hastings LLP (Washington, DC)

  • 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

10:15
Refreshment Break
10:30

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

John McCoy
Group Chief Compliance Officer
21st Century Fox (Los Angeles, CA)

Christine Wong
Vice President, Head of International Compliance
Fujitsu (Sunnyvale, CA)

David Searle
Chief Compliance Officer & Associate General Counsel
Bristow Group Inc. (Houston, TX)

April Oliver
Vice President and Associate General Counsel, Global Ethics & Integrity
Salesforce Inc. (San Francisco, CA)

Moderator

Robb Adkins
Partner
Winston & Strawn LLP (San Francisco, CA)

  • 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

11:30

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

Gabriella Geanuleas
Senior Trial Attorney
U.S. Commodity Futures Trading Commission, CFTC (New York, NY)

Celeste L. M. Koeleveld
Partner
Clifford Chance LLP (New York, NY)
(Former Deputy Superintendent and Special Counsel, Department of Financial Services, DFS)

Brian Michael
Partner
King & Spalding LLP (Los Angeles, CA)

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

  • 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

12:15
Networking Lunch
1:15

ASK THE EXPERTS: RISK-RANKING in LATIN AMERICA

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

Odilon Castello Borges Neto
General Counsel
Porto Sudeste (Brazil)

Veronica Yepez
Of Counsel
Covington & Burling LLP (Washington, DC)

Luis Armando López Linaldi
Partner
Solorzano, Carvajal, Gonzalez y Perez-Correa, S.C. (Mexico)

2:15
Refreshment Break
2:30

GDPR DEMO Session

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

Dr. Kai Westerwelle
Partner
Bird & Bird (San Francisco, CA)

3:15

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

Anne Takher
Associate Director, Ethics & Legal Compliance
Intel Corporation (Portland, OR)

Kendall Tieck
Vice President Internal Audit
Workday, Inc. (Pleasanton, CA)

Molly Arico
Senior Compliance and Regulatory Counsel
GE Digital (San Ramon, CA)

Caz Hashemi
Partner
Wilson Sonsini Goodrich & Rosati (Palo Alto, CA)

  • 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

4:00
Networking Break
4:15
CORPORATE GOVERNANCE ROUNDTABLE

Jamie S. Gorelick
Director, Chair of the Nominating and Governance Committee of the Board
Amazon.com
Director
Verisign (Washington, DC)

Joseph Spiegler
Former Associate General Counsel & Global Head of Compliance
Uber Technologies, Inc. (San Francisco, CA)

Priya Cherian Huskins
Partner & Senior Vice President
Woodruff-Sawyer & Co. (San Francisco, CA)

Michael F. Munro
Chief Compliance Officer – Director of Global Outreach and Board Advisor
Odebrecht, Engenharia & Construção (São Paulo and Houston, TX)

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

Sep 24, 2018 9:00am – 12:30pm

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?
  • 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

Sep 24, 2018 1:30pm – 5:00pm

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