CCO Roundtable

Nov 27, 2018 8:30am - 6:00pm

Day 1 - Wednesday, November 28, 2018

8:30
Opening Remarks from the Co-Chairs
8:45
Year in Review
9:45
The Unwritten Rules for “Right-Sizing” an Anti-Corruption Compliance Program: Real Life Lessons for Handling Complex and Unexpected Roadblocks


10:45
Networking Break
Special Industry Group (SIG) – Life Sciences
Sponsored by:

Country Risk & Compliance Exchange – Mexico
Sponsored by:
11:15
SEC INTERVIEW
11:45
Multi-Jurisdictional Coordination: Defense Counsel Discuss the Newest Realities of Multiplying Investigations across the Globe
12:45
Networking Luncheon
12:46
Women in FCPA and Anti-Corruption Luncheon – By invitation
Hosted by: WilmerHale
2:00
SFO KEYNOTE ADDRESS
2:30
BREAKOUT SESSIONS A
3:45
Networking Break
Special Industry Group (SIG) – Extractive Industry

Country Risk & Compliance Exchange – China
4:15
BREAKOUT SESSIONS B
5:15
BREAKOUT SESSIONS C
6:15
Networking Cocktail Reception
Hosted by: Weil Logo

Day 2 - Thursday, November 29, 2018

8:30
Opening Remarks
8:35
Deputy Attorney General Keynote Address
9:05
Compliance Drill #3: How Much Third Party Due Diligence is Now Enough?




Decision-Makers Discuss How They Are Making the Toughest, Most Urgent Compliance Calls
10:00
Networking Break
Special Industry Group (SIG) – Aerospace & Defense
Sponsored by:

Country Risk & Compliance Exchange – Brazil
10:30
INTERACTIVE DEBATE  The DOJ Corporate Enforcement Policy and Your Disclosure Calculus One Year In: Are Companies Benefitting?


11:30
INTERVIEW WITH SBM Offshore NV
12:00
Breakout Session D
1:00
Networking Luncheon
2:15
Airbus General Counsel Interview
2:45
BREAKOUT SESSION E
3:45
Networking Break
Special Industry Group (SIG) – Technology & Telecom

Country Risk & Compliance Exchange – Middle East
4:15
IMF KEYNOTE ADDRESS
4:45
SEC, DOJ & FBI Town Hall
5:45
Conference Concludes

Global Enforcement Seminar

Nov 30, 2018 8:30am - 5:00pm

Day 1 - Wednesday, November 28, 2018

8:30
Opening Remarks from the Co-Chairs

Lynn Haaland
SVP, Deputy General Counsel
Global Chief Compliance & Ethics Officer
Chief Counsel, Cybersecurity

PepsiCo

Jonathan Drimmer
Chief Compliance Officer, Deputy General Counsel
Barrick Gold Corp.

Charles E. Duross
Partner
Morrison & Foerster LLP

8:45
Year in Review

Charles E. Cain
Chief, FCPA Unit, Division of Enforcement
U.S. Securities and Exchange Commission

Daniel Kahn
Chief, FCPA Unit, Fraud Section, Criminal Division
U.S. Department of Justice

Moderated by:

Martin J. Weinstein
Partner
Willkie Farr & Gallagher LLP

Part I – Past and Present: Key Enforcement Takeaways from The Last 12 Months

USDOJ and SEC Unit Chiefs will discuss the most impactful developments over the last twelve months, and the changing enforcement landscape.

  • Status report on the implementation of the DOJ’s Corporate Enforcement and “Piling On” Policies, including:
    • What is now required for a company to sufficiently “voluntarily selfdisclose
      misconduct and “fully cooperate”
    • When a company’s actions would be deemed sufficient to trigger favorable treatment under the policy vs “aggravating circumstances”
    • What is “voluntary self-disclosure” within a “reasonably prompt time”?
    • Defining “full cooperation”
    • How “criminal recidivism” is defined
    • How the elements of the policy are being interpreted and applied:
    • What is expected for “timely and appropriate remediation?”
  • Messaging Apps: What is expected to prevent “employees from using software that generates, but does not appropriately retain business records or communications
  • What is now considered a violation of the internal controls provision of
    the FCPA
  • DOJ insights on the evaluation of corporate compliance programs
  • How the DOJ and SEC have been collaborating on enforcement matters
  • How recent court decisions affect the future of FCPA enforcement,
    including privilege and disgorgement

Part II – Looking Ahead: SEC and DOJ Priorities, and Multi-Jurisdictional Coordination

During the second segment of this panel, the distinguished speakers will discuss agency priorities moving forward, and additional perspectives on the FCPA compliance and enforcement landscapes. Topics will include:

  • How the SEC and DOJ will coordinate with foreign governments moving
    forward
  • The interplay of GDPR during an investigation
  • Focus on individual vs. corporate enforcement

9:45
The Unwritten Rules for “Right-Sizing” an Anti-Corruption Compliance Program: Real Life Lessons for Handling Complex and Unexpected Roadblocks


Kurt Drake
Chief Ethics & Compliance Officer, VP
Kimberly-Clark

William Jacobson
Partner
Orrick

Jeannine Lemker
Assistant General Counsel
Office of Legal Compliance-Programs

Microsoft

Sulaksh Shah
Partner, Forensic Services
PwC

This session will offer an “inside look” at the real-life challenges and best practices for tailoring a global anti-corruption compliance program to the specific context of your organization. Experts will discuss their approaches to difficult decision-making, including resource allocation, program structure and implementation. The panel will include a special focus on concrete examples and “war stories.”

Audience members will be able to chime in through anonymous audience polling and Q & A with the panel.

10:45
Networking Break
Special Industry Group (SIG) – Life Sciences
Sponsored by:

Country Risk & Compliance Exchange – Mexico
Sponsored by:
11:15
SEC INTERVIEW

Stephanie Avakian
Co-Director, Division of Enforcement
U.S. Securities and Exchange Commission

Moderated by:

Kimberly A. Parker
Partner
WilmerHale

11:45
Multi-Jurisdictional Coordination: Defense Counsel Discuss the Newest Realities of Multiplying Investigations across the Globe

Courtney D. Trombly
Partner
King & Spalding LLP

Bruno Maeda
Partner
Maeda, Ayres & Sarubbi Advogados (Brazil)

Jonathan Pickworth
Partner
White & Case LLP (UK)

Laurence Urgenson
Partner
Mayer Brown LLP

At this highly anticipated session, expert practitioners will discuss what multi-jurisdictional enforcement truly looks like on the ground-and how best to manage increasing, overlapping and uncertain risk factors:

  • The risk of “follow-on” cases: When a resolved or settled case in one jurisdiction could trigger new bribery investigations in other countries
  • The challenges of coordinating with multiple agencies: Best practices for communicating with foreign authorities
  • Managing the uncertain risks posed by the enforcement of a new or amended anti-bribery law
  • How a settlement in one jurisdiction could affect a company’s business operations in other key markets
  • Local laws affecting your internal investigation and ability to cooperate with authorities: Data privacy, State Secret Law, privilege, evidencegathering procedures and more
  • When a DPA with the DOJ and/or a press release could “tip off” foreign authorities of bribery in their respective jurisdictions
  • When multi-jurisdictional bribery enforcement could spark investigations of other potential crimes, including fraud, money laundering and privacy violations-and vice versa
  • Impact of multi-jurisdictional enforcement risks on your decision to disclose or cooperate

12:45
Networking Luncheon
12:46
Women in FCPA and Anti-Corruption Luncheon – By invitation
Hosted by: WilmerHale
2:00
SFO KEYNOTE ADDRESS

Lisa Osofsky
Incoming Director
Serious Fraud Office

2:30
BREAKOUT SESSIONS A

3:45
Networking Break
Special Industry Group (SIG) – Extractive Industry

Country Risk & Compliance Exchange – China
4:15
BREAKOUT SESSIONS B

5:15
BREAKOUT SESSIONS C

6:15
Networking Cocktail Reception
Hosted by: Weil Logo

Day 2 - Thursday, November 29, 2018

8:30
Opening Remarks
8:35
Deputy Attorney General Keynote Address

Rod Rosenstein
Deputy Attorney General
U.S. Department of Justice

9:05
Compliance Drill #3: How Much Third Party Due Diligence is Now Enough?




Decision-Makers Discuss How They Are Making the Toughest, Most Urgent Compliance Calls

Eileen G. Akerson
Executive Vice President & General Counsel
KBR

Timothy Bridgeford
Global Head, Antitrust and Anti-Corruption Compliance
J.P. Morgan

Daniel Garen
Chief Ethics & Compliance Officer
Danaher Corporation

Jeremy B. Zucker
Partner
Dechert LLP

Richard N. Dean
Partner
Baker & McKenzie LLP

Hear from proven leaders on how they are addressing pressing, time sensitive issues coming across their desks. Topics will include:

  • “Forced Marriages” with local third parties
  • Special considerations for vetting investors, partners, agents, distributors, sub-distributors and lower tier supply chain members
  • When to consider terminating a third party relationship over bribery suspicions: Anti-Corruption, contractual and other key considerations
  • How confident to be in your compliance decision-making, supply chain management, and internal controls: How to work through high stakes, sensitive and complex issues
  • When your “gut” leads you to doubt what’s on paper
  • Making unpopular decisions: How sure do you need to be before moving forward?
  • Justifying your decision to upper management

10:00
Networking Break
Special Industry Group (SIG) – Aerospace & Defense
Sponsored by:

Country Risk & Compliance Exchange – Brazil
10:30
INTERACTIVE DEBATE  The DOJ Corporate Enforcement Policy and Your Disclosure Calculus One Year In: Are Companies Benefitting?


Debate Faculty Includes:

Mark Mendelsohn
Partner
Paul, Weiss, Rifkind, Wharton & Garrison LLP

Steven A. Tyrrell
Partner
Weil, Gotshal & Manges LLP

Kenneth L. Wainstein
Partner
Davis Polk & Wardwell LLP

David S. Krakoff
Partner
Buckley Sandler LLP

Expert defense counsel will engage in a debate over the most hotly contested aspects of the DOJ’s recent policy shifts, with a focus on the real life challenges for industry and outside counsel.

Attendees will select the winning debate team via anonymous audience polling.

11:30
INTERVIEW WITH SBM Offshore NV

Erik Lagendijk
Chief Governance & Compliance Officer
Management Board SBM Offshore NV (The Netherlands)

Moderated by:

Timothy L. Dickinson
Partner
Paul Hastings LLP

12:00
Breakout Session D

1:00
Networking Luncheon
2:15
Airbus General Counsel Interview

John Harrison
General Counsel
Airbus

Moderated by:

Robert Luskin
Partner
Paul Hastings LLP

John Harrison, General Counsel at Airbus, will discuss big picture, emerging legal risks that are top of mind. The interview will cover anti-corruption enforcement, as well as other high stakes issues. Audience members will benefit from strategic insights that will provide additional context and guidance for weathering a changing global landscape.

2:45
BREAKOUT SESSION E

3:45
Networking Break
Special Industry Group (SIG) – Technology & Telecom

Country Risk & Compliance Exchange – Middle East
4:15
IMF KEYNOTE ADDRESS

Rhoda Weeks-Brown
General Counsel
International Monetary Fund (IMF)

4:45
SEC, DOJ & FBI Town Hall

Sandra Moser
Acting Chief, Fraud Section, Criminal Division
U.S. Department of Justice

Leslie R. Backschies
Unit Chief, International Corruption Unit, Criminal Investigative Division
Federal Bureau of Investigation

Charles E. Cain
Chief, FCPA Unit, Division of Enforcement
U.S. Securities and Exchange Commission

Moderated by:

Lucinda A. Low
Partner
Steptoe & Johnson LLP

Back by popular demand, participants will have a worthwhile opportunity to ask decision-makers from the DOJ, SEC, and FBI additional questions, and gain further insights on FCPA compliance and enforcement. We invite you to join us once again for what will be another productive exchange with key U.S. Government decision-makers.

5:45
Conference Concludes

What is it about?

Expert faculty members will take a deep dive into the nuts and bolts of the FCPA, and key enforcement matters toward laying the groundwork for the rest of the conference. Participants will benefit from a solid foundation, smaller-group learning, enhanced Q & A and helpful reference materials for their daily work after the event.

Topics will include:

  • 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?
  • Key enforcement agencies, their roles and jurisdictions
  • A close look at new, heightened risks affecting organizations and their employees:
    • criminal liability
    • civil liability
    • regulatory actions and shareholder suits
    • reputational damage
    • whistleblower complaints
    • debarment
  • What it means to “pay, offer or promise to pay, or authorize 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 and political contributions
  • What are the exceptions under the FCPA?
    • Facilitating payments: limits on “grease”
    • Reasonable and bona fide expenditures
  • Third party due diligence and monitoring requirements
    • distributors and sub-distributors
    • agents
    • consultants
    • joint venture partners
    • customs agents and brokers
  • Books and records requirements: Maintaining records that “accurately and fairly” reflect transactions
  • How the FCPA has been enforced around the world: Lessons learned from key settlements
$700

What is it about?

This exclusive session will bring together senior-level practitioners and executives for an interactive, sophisticated discussion of emerging trends, challenges and best practices. Participants will gain strategic guidance on how to weather intensifying enforcement and newfound debarment risks. Designed as a worthwhile, smaller-group benchmarking and networking forum, audience members will also benefit from a practical survey of the unique, finer points of managing World Bank and MDB enforcement actions in contrast with DOJ and SEC investigations.

Internal Investigations Program Benchmarking & GDPR Executive Council

Nov 27, 2018 2:30pm - 6:00pm

$700

What is it about?

Designed as an exclusive, “closed door” benchmarking and networking opportunity, senior-level decision-makers will compare their internal investigations programs, and exchange concrete examples of successes and lessons learned. Audience members will also benefit from best practices for resolving pressing issues amid the interplay of GDPR, foreign labor laws, privilege, governance issues and budgetary constraints.

  • Addressing the most significant investigative challenges posed by GDPR, including:
    • risk of losing helpful, relevant data to the internal investigations
    • ramifications of erasing personal data: how to identify patterns of behavior and monitor ongoing issues
    • reconciling varying rules by Member State
    • impact of GDPR on disciplinary actions
  • Implications of GDPR for whistleblowers:
    • right to be forgotten
    • hurdles to providing retaliation protection
  • Managing the impact of foreign labor laws on the scope of internal investigations
  • Evolving an investigations program in your company, including reporting structures, and assignment of roles and responsibilities
  • Updating standards, manuals, policies, operating procedures for the team
  • Budget: How much you need to spend and mitigating the risk of spiraling costs
  • Delivering effective training to team members
  • When Attorney-Client privilege may not apply
  • When to involve outside counsel
  • Right-sizing internal investigations: Lessons from recent US DOJ enforcement actions and settlements
  • When and when not to investigate new or peripheral red flags
  • When to stop: How to know when to conclude the investigation
  • Governance issues: What types of matters to report to your Audit Committee and the Board

CCO Roundtable

Nov 27, 2018 8:30am - 6:00pm

$1,395

What is it about?

Chief Compliance Officers from a myriad of industries come together for a series of interactive, candid discussions on highly complex issues and the evolving CCO role. Participants benefit from a meaningful, smaller-group opportunity to exchange “war stories” and best practices. This unique boardroom-style forum will provide exclusive networking and benchmarking on pressing global compliance challenges affecting industry..

*Open to Chief Compliance Officers (and to senior-level professionals with the same level and scope of job responsibilities). All interested parties will be pre-qualified before registering for the program.

Global Enforcement Seminar

Nov 30, 2018 8:30am - 5:00pm

$1,395

What is it about?

This unique seminar provides attendees with a worthwhile opportunity to interface with anti-corruption law experts from across the globe. Our distinguished speaking faculty will cover the most significant regulatory and enforcement developments in high-risk jurisdictions. Unlike the previous days of the conference, this program will focus on international developments and their practical, “on the ground” impact for industry.