Special Deliberation #1 – “Adequate” Internal Controls vs. “Creating a Risk of Bribery”: Advanced Session on Books and Records Enforcement, Analytics and The Role of Audit Committees

Dec 3, 2019 9:30am - 1:00pm

Speakers

Beatrice Hamza Bassey
Chief Legal Officer (Group General Counsel, Chief Compliance Officer and Corporate Secretary)
Atlas Mara Ltd.

Aditya S. Yerramilli
Forensic Program Manager
Google

Susan Markel
Managing Director, Washington, D.C.
AlixPartners
Former Chief Accountant for Enforcement Division, SEC

Jodi L. Avergun
Partner
Cadwalader, Wickersham & Taft LLP

Final hour will consist of discussion and Q & A with:

Tracy Price
Deputy Chief, FCPA Unit Division of Enforcement
U.S. Securities and Exchange Commission

David Last
Principal Assistant Chief, FCPA Unit Fraud Section, Criminal Division
U.S. Department of Justice

FCPA Boot Camp: A Deep Dive into Key Requirements and Core Elements of an Effective Compliance Program

Dec 3, 2019 9:30am - 1:00pm

Speakers

Sandra F. Palmer
Senior Corporate Counsel
Global Investigations – Science, Medicines & Manufacturing
Compliance Division

Pfizer

Rohan A. Virginkar
Partner
Foley & Lardner

Special Deliberation #2 – Whistleblower Complaints, Interviews and Internal Reporting: Mock Interview, and Review and Analysis of Sample Policies and Procedures

Dec 3, 2019 2:30pm - 6:00pm

Speakers

Eduardo A. Santiago-Acevedo
Vice President and Senior Counsel, Regulatory Law
Prudential

Shana Cappell
Senior Legal Director, Chief Anticorruption/Investigations Counsel
PepsiCo

Sean Hecker
Partner
Kaplan Hecker & Fink LLP

Third Party & Supply Chain Management Roadmap: A Comprehensive Guide to The Most Critical, Unwritten Rules for Vetting, Onboarding and Monitoring 1st, 2nd, 3rd and 4th Parties

Dec 3, 2019 2:30pm - 6:00pm

Speakers

Nancy Grygiel
Vice President, Worldwide Compliance and Business Ethics
Amgen

Pam Davis
Partner
Winston & Strawn LLP

Alexandra Wrage
Founder and President
TRACE

Special Pre-Conference Primer: Anti-Corruption Case Review of the Last 12 Months

Dec 3, 2019 6:30pm - 8:30pm

Speakers

William B.F. Steinman
Partner
Steinman & Rodgers LLP

Shawn M. Wright
Partner
Blank Rome LLP

Day 1 - Wednesday, December 4, 2019

8:30
Opening Remarks from the Co-Chairs
8:45
FCPA Year in Review
9:45
An Ethical Corporate Culture as a Legal, Compliance, Business and Investor Priority: What It Now Takes for Effective Messaging, Training and Program Implementation on Paper vs. Practice
10:45
Networking Break
11:15

SPECIAL REMARKS

The Assistant Attorney General Speaks on Enforcement Policies & Priorities: FCPA and Beyond
11:45
How to Defend Your Program to the Agencies: Practitioners Discuss Their Experiences Amid the Latest DoJ Guidance and Increased Global Enforcement
12:45
Networking Luncheon &

Women in FCPA & Anti-Corruption Luncheon (by invitation only)

Hosted by:
2:00
Special Interview: Post-Settlement Insights from Walmart’s Chief Legal Officer
2:30
BREAKOUT SESSIONS A
3:30
Networking Break
4:00
BREAKOUT SESSIONS B
5:00
BREAKOUT SESSIONS C
6:00
Networking Cocktail Reception

Hosted by:

Day 2 - Thursday, December 5, 2019

8:30
Opening Remarks from the Co-Chairs
8:35
Special Remarks and Q & A on The Evaluation of Corporate Compliance Programs
9:05
Legal, Compliance and Financial Gatekeepers as Defendants: The Realities of New, Rising Prosecution Risks Confronting Individuals
10:00
Networking Break
10:30
World Bank Interview: Insights on What Triggers Debarment and Other Key Enforcement Decisions
11:00
International Prosecutors Roundtable: Enforcement Officials Discuss Information Sharing, Self-Reporting, Cooperation and Global Settlements
12:00
BREAKOUT SESSIONS D
1:00
Networking Luncheon
2:15
Special Interview
2:45
BREAKOUT SESSIONS E
3:45
Networking Break
4:15
Town Hall: Cross-Agency Coordination, Information Sharing and Priorities for 2020
5:30
Conference Concludes

Chief Compliance Officer Roundtable

Dec 6, 2019 8:30am - 6:00pm

Speakers

Reynaldo Goto
Chief Compliance Officer
BRF SA (Brazil)

Elaina Loizou
Chief Compliance Officer
Pall Corporation, Danaher

Jeffrey Eglash
VP, Deputy Chief Legal Officer, Chief Compliance Officer
Nokia

Roundtable Chair

Carl Hahn
Vice President, Chief Compliance Officer
Northrop Grumman

Special Guest Speakers:

Mary Rose McCaffrey
Vice President of Security
Northrop Grumman
Former Director of Security, CIA

Eugene F. Soltes
Associate Professor of Business Administration
Harvard Business School
Author of Why They Do It: Inside the Mind of the White-Collar Criminal

APAC & Latin America Regulatory And Enforcement Update

Dec 6, 2019 9:00am - 3:00pm

Speakers

Brian G. Burke
Partner
Shearman & Sterling (China)

Matteson Ellis
Member
Miller & Chevalier Chartered

Jianwei (Jerry) Fang
Partner
Zhong Lun Law Firm (China)

John Frangos
Partner
Co-Lead, Compliance & Investigations Practice

Tilleke & Gibbins (Thailand)

Guillermo Jorge
Head, Compliance, Investigations and Corporate Criminal Law Department
Bruchou, Fernández Madero & Lombardi (Argentina)

Luis Dantón Martinez Corres
Leader of the Compliance, Anti-Corruption and Investigations practice
Ritch, Mueller, Heather y Nicolau, S.C. (Mexico)

Sandra Orihuela

Orihuela Abogados (Peru)

Antenor Madruga
Partner
Feldens Madruga Advogados (Brazil)

Day 1 - Wednesday, December 4, 2019

8:30
Opening Remarks from the Co-Chairs
Rachel Brand

Rachel Brand
Executive Vice President of Global Governance, Chief Legal Officer, and Corporate Secretary
Walmart
Former Associate Attorney General, U.S. Department of Justice

Chinwe Esimai
Managing Director – Chief Anti-Bribery & Corruption Officer
Citi

Kimberly A. Parker
Partner
WilmerHale

8:45
FCPA Year in Review

Charles E. Cain
Chief, FCPA Unit
Division of Enforcement

U.S. Securities and Exchange Commission

Christopher J. Cestaro
Acting Chief, FCPA Unit Fraud Section, Criminal Division
U.S. Department of Justice

Moderator:

Angela T. Burgess
Partner
Davis Polk & Wardwell LLP

PART I: 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.

  • Is there a move toward being more “corporate friendly”?
  • Prosecutions of individuals under the new DoJ policy
  • DoJ and SEC perspectives on trends over the last 12 months: What has triggered a declination vs. 50% off
  • How the agencies evaluate “cooperation”: Trends in what meets the threshold and what doesn’t
  • When a company’s actions would be deemed sufficient to trigger favorable treatment under the policy vs “aggravating circumstances”: Is there a difference between SEC and DoJ analyses?
  • Evaluation of Corporate Compliance Programs: DoJ insights on how to interpret and apply the new guidance
  • Monitorships: Expectations of the agencies and application of DoJ’s policy
  • Voluntary Disclosures: Is DoJ continuing to see an increase self-disclosures post-Pilot Program?
  • Timeframe for resolving cases: Are the agencies moving more quickly?
  • Data Analytics and AI: DoJ and SEC perspectives on leveraging and investing in automation/technologies

 

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:

  • Anticipated direction of FCPA enforcement for the upcoming year
  • Focus on individual vs. corporate enforcement
  • How recent court decisions affect the future of FCPA enforcement, including privilege and disgorgement
  • How the SEC and DOJ will coordinate with foreign governments moving forward
  • The interplay of GDPR during an investigation

9:45
An Ethical Corporate Culture as a Legal, Compliance, Business and Investor Priority: What It Now Takes for Effective Messaging, Training and Program Implementation on Paper vs. Practice

Dianne Ralston
Executive Vice President & Chief Legal Officer
TechnipFMC

Glenn Leon
Senior Vice President and Deputy General Counsel, Chief Ethics & Compliance Officer
Hewlett Packard Enterprise

Moderator:

David N. Kelley
Partner
Dechert LLP

During this highly anticipated session, executives will share their experiences and lessons learned for fostering an ethical corporate culture in the midst of challenging circumstances, including an enforcement action, merger, uncertainty in emerging markets and more.

  • Influencing behavior to develop a strong culture of compliance: Important takeaways on what has worked and what has proven ineffective
  • Measuring the success and shortcomings of your program, including:
    • What to make of who is using the hotline
    • Effectiveness of using surveys
    • Assessing the tone at the top and in the middle
  • The new take on “investor value” and what that means for your efforts to sustain a strong ethical culture: Value built on IP and other assets vs. talent
  • What does it mean be “ethical” in real life: Evaluating what is on paper vs. practice
  • Interplay of culture and corporate governance:
    • Trends in board of directors’ expectations for culture, and where it sits on their lists of priorities
    • The roles of the board of directors and audit committees
    • Reporting to the board and audit committee on ethical culture

10:45
Networking Break
11:15

SPECIAL REMARKS

The Assistant Attorney General Speaks on Enforcement Policies & Priorities: FCPA and Beyond

Brian Benczkowski
Assistant Attorney General
Criminal Division

U.S. Department of Justice

11:45
How to Defend Your Program to the Agencies: Practitioners Discuss Their Experiences Amid the Latest DoJ Guidance and Increased Global Enforcement

Ronald C. Machen
Partner
WilmerHale

Laura N. Perkins
Partner
Hughes Hubbard & Reed LLP

Ephraim (Fry) Wernick
Partner
Vinson & Elkins LLP

George Prokop
Principal
PwC

Moderator:

Martin Weinstein
Partner
Willkie Farr & Gallagher LLP

This important discussion will navigate critical aspects of how to prepare for meetings with prosecutors and walk them through your program. Expert speakers will impart their experiences with respect to key program elements and improvements, objective data, and best practices for
cultivating a positive working relationship.

Take the worthwhile opportunity to hear from seasoned practitioners and ask them your questions. Amid new, evolving compliance and enforcement priorities, along with new agency decision-makers, take away important lessons learned and helpful guidance for your organization.

12:45
Networking Luncheon &

Women in FCPA & Anti-Corruption Luncheon (by invitation only)

Hosted by:
2:00
Special Interview: Post-Settlement Insights from Walmart’s Chief Legal Officer
Rachel Brand

Rachel Brand
Executive Vice President of Global Governance, Chief Legal Officer, and Corporate Secretary
Walmart
Former Associate Attorney General, U.S. Department of Justice

Moderator:

Alice S. Fisher
Partner
Latham & Watkins LLP

2:30
BREAKOUT SESSIONS A

TRACK 1: Legal Think Tank – Disclosure Calculus

Alex Young K. Oh
Partner
Paul, Weiss, Rifkind, Wharton & Garrison LLP

Niketh Velamoor
Senior AML, Anti-Corruption and Privacy Officer
Neuberger Berman

Tarek Helou
Partner
Wilson Sonsini Goodrich & Rosati
Former Assistant Chief, FCPA Unit, U.S. Department of Justice (2014-2019)
 

The Grey Areas of Self-Disclosure: Unwritten Lessons on If, When and How Much to Disclose in the U.S. and Across Multiple Jurisdictions

During this practical, interactive session, experts will work through a series of hot button, sensitive hypothetical scenarios, and whether or not they would disclose under the circumstances. Participants will be able to compare their approaches and benchmark through discussion and Q & A. Topics will include:

  • The DOJ Corporate Enforcement Policy and your disclosure calculus: Are companies benefitting?
  • The new calculus of if, when and how much to disclose
  • The most important factors that should drive disclosure in light of recent global enforcement developments
  • Practical impact of U.S. disclosures on foreign corruption investigations: When a U.S. disclosure can now be used against you by a foreign government
  • Balancing disclosure obligations while preserving privilege
  • Drafting the disclosure: Best practices

TRACK 2: Compliance Brainstorming Session #1

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

Travis W. Hunter
Senior Vice President – US Head of Anti-Bribery & Corruption
HSBC Bank NA

James Scroggins (Invited)
Head of Risk & Assurance
ST Engineering North America

Tiffany R. Moseley
Partner
Loeb & Loeb LLP

Anne Murray
Partner
Orrick, Herrington & Sutcliffe LLP

Matt Shelhorse
Partner
PwC
 

Behind the Scenes of ABC Program Testing and Metrics: Testimonials on Achieving Success Through the “Roller-Coaster” of Trial and Error

  • Metrics to score your global program: How companies are selecting and utilizing key risk indicators to measure success and weak spots
  • Measuring the ROI and real-life effectiveness of new initiatives: Navigating the trial and error process as the compliance standard increases
  • How to score the success of your compliance program from an implementation standpoint
  • Key performance and risk indicators
  • Which qualitative and quantitative metrics are being used and how
  • How government compliance expectations and big ticket FCPA enforcement actions have affected the use of metrics
  • Metrics that have proven useful in the context of measuring compliance upgrades and culture changes
  • The effectiveness and shortfalls of certain metrics, such as communications, leadership, HR, innovation, job performance, accountability, mission, values, turnover, compliance spend and representation of compliance staff in the C-Suite

TRACK 3: Latin America

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

Brian F. Saulnier
Partner
K & L Gates LLP
 

When Someone Else’s Scandal Becomes Yours: What to Do If Your Organization is Directly or Indirectly Caught in the Notebooks and Lava Jato Aftermath

  • What to do if your company is directly implicated by “Operation Car Wash” or other scandal (or entangled in another government bribery investigation)
  • When your third parties are under suspicion: How multinationals are tackling more regional enforcement, scandals and legislation
  • What to do if a third party is under investigation or has been named by a cooperating witness
  • When you should terminate the third party relationship and/or turn to law enforcement
  • Inside the decision-making process: Key factors affecting your decision to continue/terminate the relationship
  • When/how to communicate your concerns to the third party in question
  • Strengthening your due diligence and monitoring processes
  • Lessons on how to better detect “red flags” before and during a third party relationship
  • Contractual risks posed by terminating the relationship

3:30
Networking Break
4:00
BREAKOUT SESSIONS B

TRACK 1: FCPA Tech

Ali Hadjarian
Principal
PwC

Christian Focacci
Vice President
Steele Compliance Solutions, Inc.
 

The ROI of Automation, Data Analytics and AI: Is Industry Making Quicker, Better Decisions on Compliance, Data Privacy and Third-Party Management?

  • Perspectives on the lengths, limits and cost-benefits of technological innovations
  • Concrete examples of extracting and using data for effective decision-making and risk management vs. when a manual review and approval process are still preferable
  • The latest automated controls that companies are using to identify suspicious payments and other risk factors
  • How to select vendors: Understanding your organization size, risk profile, budget and more
  • Evaluating capabilities of solutions and your company’s needs
  • How much to spend-and how much is too much?
  • Conducting a cost-benefit analysis of available solutions
  • Due diligence reports: How to select the right provider for your company
  • Crafting your business case to senior management and the Audit Committee: Justifying the cost and value-add
  • How to measure ROI
  • What data analytics can and cannot do to identify risks
  • Mining and interpreting data during compliance monitoring, audits and investigations

TRACK 2: Legal Think Tank

John Buretta
Partner
Cravath, Swaine & Moore LLP

Cheryl J. Scarboro
Partner
Simpson Thacher & Bartlett LLP

Moderator

Virginia Chavez Romano
Partner
White & Case LLP
 

The Expected and Unexpected Impact of U.S. v. Connolly: New Considerations for Handling Internal Investigations, Individual Prosecutions, De-Confliction and Other Government Requests
Introduced by popular demand, leading practitioners will discuss the finer points and aftermath of U.S. v. Connolly, and the implications for internal investigations and enforcement moving forward. The session will specifically focus on the most pressing, high stakes issues confronting industry and outside counsel.

Benefit from a unique opportunity to ask your questions and gain worthwhile strategic insights for confronting new challenges coming across your desk.

The discussion will include a special focus on the practical challenges affecting legal practitioners and how they are addressing them.


TRACK 3: CHINA

Steven S. List
Americas, China & Australia General Counsel, Secretary and Chief Compliance Officer
LJUNGSTRÖM | ARVOS Group

Vincent Li
Member
Smith Pachter McWhorter PLC
 

New Takeaways for Detecting and Mitigating Hidden Legal, Compliance, Geopolitical and Reputational Risks on the Ground

  • Interplay of geopolitical tension, the trade war and national security with anti-corruption risk and compliance
  • Contrasting enforcement risks for local vs. multinational companies
  • Interacting with government officials: How the key local agencies communicate with companies, and approach regulatory approvals and investigations
  • New, special considerations for onboarding and monitoring third parties in China
  • Gifts & Entertainment: How to support your business development, sales and marketing in the wake of China’s Anti-Unfair Competition Law
  • China’s Belt and Road Initiative: What it reveals about emerging, growing risk factors for infrastructure projects and across industries in the region

5:00
BREAKOUT SESSIONS C

TRACK 1: “War Stories”

Kimberly Chainey
General Counsel
Panasonic Avionics Corporation

Adam J. Falkowitz
Deputy General Counsel
Olympus Corporation of the Americas

Eric W. Sitarchuk
Partner
Morgan Lewis & Bockius LLP

Moderator

Steven A. Tyrrell
Partner
Weil, Gotshal & Manges LLP
 

When Your Bad News is Big News: Experts Discuss How They Put Out Simultaneous Legal and PR Fires
Introduced by popular demand, audience members will have an unparalleled opportunity to learn from in-house executives and leading defense counsel, who have been involved in some of the most recent, high profile settlements. Benefit from a worthwhile opportunity to gain helpful takeaways from decision-makers, who have been “in the trenches” and have successfully worked through high stakes issues.

Topics of discussion will include:

  • Key PR and legal missteps that can derail your efforts: The lesser known rules of the road
  • Untangling “a mess”: What to do in the first 24-48 hours vs. the longer-term
  • Developing an effective cross-border strategy in cases of multi-jurisdictional enforcement actions
  • Settlement Calculus:
    • Determining if it is preferable to aim for a global settlement or settle with only some authorities/not with others
    • Weighing debarment and other regulatory, industry-specific risks (for ex., financial services and life sciences)
  • Concrete examples of the unexpected impact of reputational issues on your business and legal exposure
  • How legal can work with their compliance colleagues to develop an effective strategy and response
  • The implications of bad news on financing/lending, M & A and other important transactions
  • How things have evolved internationally: Measuring the risk of double-dipping across settlements
  • Unpredictability of a country’s cooperation with the U.S., and the impact on your approach

TRACK 2: Compliance Brainstorming Session #2

Anton Alferov
Senior Counsel Regional Compliance Counsel Europe, Eurasia and Sub-Saharan Africa Region
Global Ethics and Compliance

Halliburton (UK)

Audrey L. Harris
Partner
Mayer Brown
Former Chief Compliance Officer, BHP

Greg Esslinger
Senior Partner
Control Risks
 

Risk Assessments in Reality: Concrete Examples of “Value-Add” Takeaways for Your Analysis, Global Program, Operations and Business
This practical and popular session will delve into real-world examples of how to strengthen risk assessment practices to better support your organization’s compliance and business objectives.

  • Global risk assessments on paper and in reality: How to know if you are identifying the right compliance priorities for tomorrow
  • Identifying new, emerging corruption and other key risk factors
  • Assessing and weighting risk factors
  • Updating risk management practices as the global economic, legal and compliance landscapes evolve
  • When your “gut” leads you to doubt what’s on paper
  • How risk assessment methodologies have evolved in recent memory-and the verdict on best practices and key pitfalls to avoid moving forward
  • New approaches to identifying and measuring new, emerging risk factors
  • Updating risk management practices in response to the evolving global economic, legal and compliance landscapes
  • Tailoring your approach to industry-specific contexts
  • Assessing indirect and residual risk factors
  • Trends in anti-corruption and enterprise-wide risk assessments

TRACK 3: Special Industry Groups (SIGs)

(by invitation only)

  • Technology & Telecom

    Jeannine Lemker
    Assistant General Counsel Office of Legal Compliance-Programs
    Microsoft

    HL Rogers
    Executive Vice President & Chief Ethics and Compliance Officer
    Millicom
     

  • Energy & Mining

    Michael Pass
    Deputy Chief Compliance Officer
    Freeport-McMoRan

    Justin Olson
    Chief Compliance Officer
    McDermott International, Inc.
     

  • Defense & Aerospace

    Brian Baldrate
    VP & General Counsel, International & Washington Operations
    Raytheon Company

    Patricia Byrne
    Vice President & Associate General Counsel, International Compliance
    BAE Systems Inc.
     

  • Life Sciences

    Peter Jensen
    Global Chief Compliance Officer
    Arthrex

    Ryan Rohlfsen
    Partner
    Ropes & Gray

 

New for this year, participants from industries that have been under the enforcement microscope will convene in smaller groups to discuss the newest, emerging industry-specific challenges.

Each SIG will be led by in-house decision-makers, along with outside advisors with industry-specific expertise. We invite all in-house participants from the below industries to save their seats before the session fills to capacity.

6:00
Networking Cocktail Reception

Hosted by:

Day 2 - Thursday, December 5, 2019

8:30
Opening Remarks from the Co-Chairs
8:35
Special Remarks and Q & A on The Evaluation of Corporate Compliance Programs

Matt Miner
Deputy Assistant Attorney General
U.S. Department of Justice

Moderator:

Mythili Raman
Partner
Covington & Burling LLP

9:05
Legal, Compliance and Financial Gatekeepers as Defendants: The Realities of New, Rising Prosecution Risks Confronting Individuals

Greg D. Andres
Partner
Davis Polk & Wardwell LLP

Sarah Coyne
Partner
Weil, Gotshal & Manges LLP

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

Tai Park
Partner
White & Case LLP

Moderator:

Lucinda A. Low
Partner
Steptoe & Johnson LLP

Now more than ever, legal, compliance, financial and other corporate gatekeepers face unprecedented liability risks as enforcement agencies intensify their focus on pursuing individuals. At this important panel, highly respected practitioners and former prosecutors will address important, new trends and pressing issues to flag now.

Topics of discussion will include:

  • In-house and outside counsel, compliance officers and financial executives under the microscope: Defense counsel perspectives on emerging new liability trends
  • The move toward prosecutions of corporate gatekeepers in particular, including general counsel, chief compliance officers and accountants
  • Scope of the in-house legal and compliance officers’ obligations to investigate potential red flags and monitor suspicious activity
  • Recent enforcement actions against individual executives and key takeaways
  • Approaches to the legal, compliance and financial roles amid developments in the U.S. and globally, and in response to internal corporate and industry pressures
  • Contrasting U.S. and UK approaches to individual liability: DoJ, SEC vs. SFO
    • Takeaways from recent Serious Fraud Office cases
    • The UK’s new Senior Managers and Certification Regime
    • U.S. emphasis on the naming of wrongdoers
  • Examples of successful defense strategies and settlements
  • Penalty trends for individuals vs. corporations

10:00
Networking Break
10:30
World Bank Interview: Insights on What Triggers Debarment and Other Key Enforcement Decisions

Pascale Hélène Dubois
Vice President, Integrity
The World Bank

Moderator:

Laurence Urgenson
Partner
Mayer Brown

11:00
International Prosecutors Roundtable: Enforcement Officials Discuss Information Sharing, Self-Reporting, Cooperation and Global Settlements

Hannah Von Dadelszen
Head of Fraud
UK Serious Fraud Office

Eric Russo
First Deputy Prosecutor
Parquet National Financier (PNF)

Marcelo Ribeiro de Oliveira
Prosecutor
Procurador Ministério Público Federal (MPF) (Brazil)
Member, Curitiba Task Force (Responsible for the Car Wash Investigation)

Moderator:

Robert Luskin
Partner
Paul Hastings LLP

With heightened multi-jurisdictional enforcement activity (and more anticipated for the next year), audience members will benefit from a truly unique chance for in-person updates and Q & A on enforcement outside of the United States, and priorities moving forward. Learn how the agencies work together, coordinate with U.S. authorities, approach the effort to avoid double-dipping across settlements, as well as their expectations for cooperation.

12:00
BREAKOUT SESSIONS D

TRACK 1: Compliance Drill: Re-Thinking Contingency Planning and Compliance Amid More Overlapping, Unpredictable Exposure: ABC, Fraud, AML, Trade, Sanctions and Geopolitics

Kim Urbanchuk
Vice President, Deputy General Counsel, Chief Ethics and Compliance Counsel
Parsons

Robert Johnston
Deputy Chief Compliance Officer – Core Compliance, Private Markets, FCPA & AML
Assistant General Counsel

Oz Management

Peter Burrell
Partner
Willkie Farr (UK)

Moderator

Andrew S. Boutros
Partner
Dechert LLP
 

  • Enhancing your program to identify and manage the convergence of various legal and compliance risks
  • How geopolitical shifts and evolving trade policies have affected contingency planning
  • Navigating the evolving economic sanctions environment and other regulatory enforcement initiatives
  • How recent, big ticket bribery settlements in the U.S. and abroad have affected overall industry compliance efforts
  • How companies are ranking and managing interrelated risk factors
  • When FCPA enforcement actions have led to other types of government investigations and vice versa
  • Where enforcement officials in the U.S. and abroad have been the most active outside of the anti-corruption

TRACK 2: Concrete Examples of How to Reconcile Varying Privilege Protections Across Jurisdictions — and Prevent Inadvertent Waivers

Cari Robinson
General Counsel
Revlon

Lisa LeCointe-Cephas
Executive Director, Head of Global Investigations
Merck & Co., Inc.

Neil T. Smith
Partner
K&L Gates LLP

Matthew J. Jacobs
Partner
Vinson & Elkins LLP
 

Through the use of hypothetical scenarios, experts will take participants through the nuances of determining the scope of privilege and accidental waivers. With varying approaches to privilege across jurisdictions, learn how to navigate complex decision-making and the potential impact on the course of an investigation.

  • How a company’s disclosures while seeking cooperation credit can “accidentaly” trigger a waiver of the attorney-client and work
    product privilege
  • When to waive privilege, and steps to take toward avoiding inadvertent waivers
  • What happens to privilege under U.S. rules when a matter involves foreign jurisdictions without privilege protection (or a more limited form of privilege)
  • The scope of privilege relating to interviews during an internal investigation, notes and memoranda
  • When the SFO expects companies to hand over written notes of internal investigation interviews
  • Maintaining privilege for compliance
  • Special considerations for audits:
    • How much to document in audits
    • Distributing the audit report/findings

TRACK 3: Compliance Brainstorming Session #3 How Industry is Handling Instant Messaging Post-DoJ Revised Guidance: Interactive Benchmarking

Lorinda Laryea
Assistant Chief, FCPA Unit
Fraud Section, Criminal Division

U.S. Department of Justice

Chad Fentress
Chief Compliance and Group Compliance Officer
SoftBank Group Corp.

Nancy McCready Higgins
Vice President & Chief Ethics and Compliance Officer
Bechtel Group

Alison Tanchyk
Partner
Morgan Lewis & Bockius LLP
 

  • What has (and has not) changed since the release of DoJ’s revised policy
  • What is now good practice for record review and retention, discovery, reporting, evidence gathering and cybersecurity
  • Messaging Apps and the revised DOJ Policy: Examples of how industry is addressing the practical hurdles to implementing the policy
  • Managing employee usage of WhatsApp and WeChat
  • Concrete examples of how industry is interpreting and applying the revised policy
  • Mitigating newfound cyber risks posed by the new messaging policy
  • Archiving in the cloud: How long data needs to be stored and other considerations
  • Building your own app: Concrete examples of successful initiatives
  • How the increasing use of social media and messaging apps has affected the course of internal investigations
  • What happens if you are unable to produce records requested by the DOJ

1:00
Networking Luncheon
2:15
Special Interview
2:45
BREAKOUT SESSIONS E

TRACK 1: Inside a Monitorship from Start to Finish: Important Lessons on Compliance and Remediation

Josh Drew
Group Chief Compliance Officer
VEON (The Netherlands)

Dr. Andreas Pohlmann
Partner
Pohlmann & Company (Germany)

Iris E. Bennett
Member
Smith Pachter McWhorter PLC
 

Hear from compliance executives and monitors on how they worked together to address “behind the scenes” roadblocks to strengthening a global program.

Key areas for discussion include:

  • Inside the selection of the monitor
  • Behind the scenes of a monitorship – and the challenges faced by both the company and monitor
  • The Compliance Monitor’s Perspective: Where companies have gone right and wrong on compliance and remediation
  • Taking stock of successes and missteps across the life cycle of the monitorship
  • How to conduct an effective compliance review and leverage the findings to revise your policies and procedures
  • Implementing compliance upgrades and improved training programs
  • Working with the monitor to address “on the ground” hurdles to remediation

INTERNATIONAL RISK & COMPLIANCE EXCHANGES

María González Calvet
Partner
Ropes & Gray LLP
 

Led by experts with “on the ground” experience, participants will benefit from an interactive, smaller-group exchange on emerging issues affecting compliance and third-party management in Brazil and China.

Unlike other sessions, this segment will be structured as a discussion among speakers and participants. Few events offer audience members the chance to meet and ask questions to experts based in China and Brazil — in a more informal setting. Bring your questions or submit them in advance at [email protected].
 

TRACK 2: Risk & Compliance Exchange #1 – China

TRACK 3: Risk & Compliance Exchange #2 – Brazil

 

3:45
Networking Break
4:15
Town Hall: Cross-Agency Coordination, Information Sharing and Priorities for 2020

Daniel Kahn
Senior Deputy Chief Fraud Section, Criminal Division
U.S. Department of Justice

Deborah Connor
Chief, Money Laundering and Asset Recovery Section
U.S. Department of Justice

Lawrence Scheinert
Associate Director, Office of Compliance and Enforcement, Office of Foreign Assets Control (OFAC)
U.S. Department of the Treasury

Steven Peikin
Co-Director, Division of Enforcement
U.S. Securities and Exchange Commission

James M. McDonald
Director of Enforcement
Commodity Futures Trading Commission (CFTC)

Senior Representative
International Corruption Unit Criminal Investigative Division
Federal Bureau of Investigation

Moderator:

Guy Singer
Partner
Orrick, Herrington & Sutcliffe LLP

Newly expanded to focus on the interplay of DoJ, SEC, FBI, CFTC and OFAC enforcement priorities, participants will gain further insights on cross-agency coordination and compliance expectations, along with an unparalleled opportunity ask questions to a panel of enforcement officials.

We invite you to join us once again for what will be another productive exchange with key U.S. Government Officials!

Part I: Panel Discussion
Part II: Open Audience Q & A

5:30
Conference Concludes

FCPA Boot Camp: A Deep Dive into Key Requirements and Core Elements of an Effective Compliance Program

Dec 3, 2019 9:30am - 1:00pm

$700

Speakers

Sandra F. Palmer
Senior Corporate Counsel
Global Investigations – Science, Medicines & Manufacturing
Compliance Division

Pfizer

Rohan A. Virginkar
Partner
Foley & Lardner

What is it about?

Expert faculty members will take a deep dive into the nuts and bolts of FCPA compliance 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: What it means to maintain records that “accurately and fairly” reflect transactions

Special Deliberation #1 – “Adequate” Internal Controls vs. “Creating a Risk of Bribery”: Advanced Session on Books and Records Enforcement, Analytics and The Role of Audit Committees

Dec 3, 2019 9:30am - 1:00pm

$700

Speakers

Beatrice Hamza Bassey
Chief Legal Officer (Group General Counsel, Chief Compliance Officer and Corporate Secretary)
Atlas Mara Ltd.

Aditya S. Yerramilli
Forensic Program Manager
Google

Susan Markel
Managing Director, Washington, D.C.
AlixPartners
Former Chief Accountant for Enforcement Division, SEC

Jodi L. Avergun
Partner
Cadwalader, Wickersham & Taft LLP

Final hour will consist of discussion and Q & A with:

Tracy Price
Deputy Chief, FCPA Unit Division of Enforcement
U.S. Securities and Exchange Commission

David Last
Principal Assistant Chief, FCPA Unit Fraud Section, Criminal Division
U.S. Department of Justice

What is it about?

This important session will bring together government, legal, compliance and forensic experts to discuss the finer points of books and records compliance and enforcement risk mitigation. As part of the discussion, speakers will focus on the roles and priorities of boards of directors and audit committees-and how the legal, compliance and accounting/financial functions have evolved accordingly. Additionally, the discussion will also work through important lessons for navigating the toughest legal, compliance and financial decisions affecting your business.

The last hour of the session will be dedicated to open Q & A with senior SEC accounting and enforcement officials.

Whether you are a legal, compliance, financial or audit professional, don’t miss an unprecedented opportunity to fine tune your knowledge on internal controls, and how to leverage cross-department resources to support corporate governance and business priorities.

  • What every legal, compliance and financial professional should know about the SEC’s focus on the risk of bribery (not just actual bribery): Accounting violations in the absence of bribery charges: What does it mean to “create a risk” of bribery?
  • Using analytics and automation for legal and compliance decision-making
  • The role of the board of directors and Audit Committee in the anti-corruption space: Fiduciary and other duties, expectations and how to interface with them effectively
  • What do regulators and board of directors say about analytics?
  • Best practices for advising your organization on internal controls: Legal, compliance and financial perspectives
  • What is now required for adequate financial, revenue and compliance controls: Important takeaways from recent cases, including Elbit Systems, Kinross, Polycom and more
  • Revisiting charitable donations and other compliance sensitive transactions
  • The SEC’s perspective:
    • how industry can strengthen controls for monitoring compliance sensitive accounts
    • Examples of outstanding and unique controls
    • where industry has gone wrong
  • Cross-departmental synergy for audits and investigations: Identifying systematic patterns of bribery in your books and records
  • What recent enforcement cases reveal about SEC expectations for internal controls
  • How to determine whether or not your internal controls adequately address risk, types of products, geographical considerations and other key risk factors
  • When a violation of your own policy could constitute a regulatory violation
  • KYC controls for blockchain and cryptocurrency
  • Addressing unique legal and compliance challenges posed by virtual currencies
  • How legal, compliance and audit can work together to develop an effective, risk-based approach to mitigating FCPA, AML and other financial crime risks

Third Party & Supply Chain Management Roadmap: A Comprehensive Guide to The Most Critical, Unwritten Rules for Vetting, Onboarding and Monitoring 1st, 2nd, 3rd and 4th Parties

Dec 3, 2019 2:30pm - 6:00pm

$700

Speakers

Nancy Grygiel
Vice President, Worldwide Compliance and Business Ethics
Amgen

Pam Davis
Partner
Winston & Strawn LLP

Alexandra Wrage
Founder and President
TRACE

What is it about?

At this practical, industry-driven working group, expert speakers will discus how companies are using a tiered due diligence approach based on the appropriate risk level and type of third party in question. The session will discuss how to re-evaluate your risk ranking approach and minimize the costs of a robust program.

With evolving risk factors and compliance obligations, don’t miss this worthwhile opportunity to upgrade your best practices. Discover how your approach to managing high stakes risks compares to your peers, and benefit from important takeaways for your work. Topics will include

Ample time will be left for Q & A, so please bring your questions!

  • How far you need to go in vetting 1st, 2nd, 3rd, 4th and lower third parties
  • How to incorporate effective front-end vetting and screening protocols based on the type of relationship and interests represented by the third party
  • Developing a model that stratifies your risk based on third parties-and how to perform due diligence accordingly
  • What you need in a questionnaire for third parties
  • Addressing resistance to follow-up questions after an initial questionnaire
  • Impact of GDPR on third party due diligence
    • How much due diligence is enough: How to know if your approach is truly “risk-based”
    • Unique challenges associated with critical types of third parties for your global business
    • When and how much due diligence to perform for an ongoing, existing third party relationship
    • Understanding the local business environment, customs and practices
    • How to incorporate effective front-end vetting and screening protocols based on the type of relationship and interests represented by the third party
    • What to do with information uncovered during the vetting process: How to evaluate red flags
    • Making the decision regarding which parties to use/not use “On the Ground” obstacles to monitoring third party conduct
    • Special considerations for exercising audit rights
    • When and how much to train third parties
    • The scope of due diligence to perform for an ongoing, existing third party relationship

Special Deliberation #2 – Whistleblower Complaints, Interviews and Internal Reporting: Mock Interview, and Review and Analysis of Sample Policies and Procedures

Dec 3, 2019 2:30pm - 6:00pm

$700

Speakers

Eduardo A. Santiago-Acevedo
Vice President and Senior Counsel, Regulatory Law
Prudential

Shana Cappell
Senior Legal Director, Chief Anticorruption/Investigations Counsel
PepsiCo

Sean Hecker
Partner
Kaplan Hecker & Fink LLP

What is it about?

This highly anticipated, interactive session will take you through a mock scenario that highlights the complexities of handling a whistleblower complaint and interview, and will delve into the latest best practices for encouraging internal reporting, and managing complaints.

Take this one-of-a-kind opportunity to delve into the finer points of handling a compliant from A to Z, and discuss the lesser known missteps to avoid before it’s too late.

Part I- Encouraging Internal Whistleblowing, and Fine Tuning Policies and Messaging

  • Have more employees been reporting directly to the SEC post-Digital Realty v. Somers?
  • Opening multiple channels for internal reporting
  • Training management to recognize and deal with whistleblowers’ concerns
  • How industry is updating policies and procedures
  • Assessing your workplace culture, and revisiting corporate messaging
  • When a simple complaint can be an instance of whistleblowing

 

Part II- Mock Whistleblower Complaint and Interview

The second part of this session will navigate the anatomy of a whistleblower interview, successful techniques, as well as common pitfalls that can undermine an effective strategy.
 

Part III: Best Practices for Handling Complaints & Interviews

  • What to do first: Which steps to take immediately once a claim has been made
  • How to question your employees
  • How to investigate and respond to whistleblower claims vs. “anonymous” reports
  • Mitigating the risk of whistleblower retaliation claims
  • The impact of DOJ settlements on the SEC’s calculation of whistleblower awards
  • How to handle whistleblowers that come internally vs. from the government

Special Pre-Conference Primer: Anti-Corruption Case Review of the Last 12 Months

Dec 3, 2019 6:30pm - 8:30pm

$400

Speakers

William B.F. Steinman
Partner
Steinman & Rodgers LLP

Shawn M. Wright
Partner
Blank Rome LLP

What is it about?

This session will bring you up-to-speed on enforcement developments over the last 12 months-and important, practical takeaways that will lay the groundwork for discussions during the main conference. Leading defense counsel involved in some of the most significant, high profile cases will focus on the most critical updates and settlement trends affecting your risk calculus, compliance program and internal investigations.

Seating is limited! Due to popular demand, we encourage you to reserve your space early.

Key topics will include:

  • Dissecting the top 10 most significant, surprising and impactful cases in the last 12 months
  • Which industries have been under the microscope, and what recent cases reveal about the potential for new “industry sweeps”
  • Recent cases impacting the future of FCPA settlements
  • Which circumstances have led to declinations, DPAs and NPAs
  • Which cases have led to an SEC settlement, but a DOJ declination-and why
  • What has triggered suspicion and a government investigation
  • What key settlements reveal about DOJ and SEC expectations
  • Trends in settlements, including penalty structures and remediation requirements
  • How the agencies have applied cooperation credit
  • Insights on DOJ and SEC coordination with foreign enforcement agencies
  • How to leverage the key lessons from settlements toward effecting compliance improvements in your organization

Chief Compliance Officer Roundtable

Dec 6, 2019 8:30am - 6:00pm

$1,495

Speakers

Reynaldo Goto
Chief Compliance Officer
BRF SA (Brazil)

Elaina Loizou
Chief Compliance Officer
Pall Corporation, Danaher

Jeffrey Eglash
VP, Deputy Chief Legal Officer, Chief Compliance Officer
Nokia

Roundtable Chair

Carl Hahn
Vice President, Chief Compliance Officer
Northrop Grumman

Special Guest Speakers:

Mary Rose McCaffrey
Vice President of Security
Northrop Grumman
Former Director of Security, CIA

Eugene F. Soltes
Associate Professor of Business Administration
Harvard Business School
Author of Why They Do It: Inside the Mind of the White-Collar Criminal

What is it about?


8:30am
Opening Remarks & Ice Breaker

8:45am
Geopolitics, Destabilized Markets and Your Risk Calculus: CCOs Share Lessons for Making the Newest, Toughest Compliance Calls

At this opening session, faculty members and participants will discuss the real-world impact of geopolitical changes on contingency planning and compliance decision-making. Discover how CCOs are working through high stakes challenges affecting the conduct of business in volatile markets-and the lesser known rules of the road for making the right calls under pressure. Discussion points will include how to evaluate future, uncertain risks posed by regime changes, and the challenges of interacting with local government officials.

9:30am
Behavioral Compliance and the Verdict on Incentives: What Works and What Doesn’t? Real Life Takeaways from the Latest Research Findings: What It Really Takes to Drive Ethical Conduct

The U.S. Department of Justice’s “Evaluation of Corporate Compliance Programs” indicates that
an effective compliance program should include incentives. During this session, speakers and
participants will discuss the latest research findings and approaches to implementing this key component of a global program.

The session will also address how to overcome the real-life obstacles to sustaining a strong
compliance culture for the short-and long terms

  • What has proven effective vs. not: Updates on the research findings
  • Defining compliance responsibilities within your organization
  • Developing a sustainable strategy to prevent a repeat scenario
  • How to know if your message is being heard and followed
  • Addressing specific cultural nuances when localizing your training
  • Overcoming training “fatigue”
  • How to strengthen your culture of compliance in the field

10:30am
Networking Break

10:45am
Compliance as Your Corporate Brand

“Operationalizing” Your Global Compliance Program: Dovetailing Your Program with the Company’s Overall Business Strategy

Learn about successes and lessons learned for embedding global regulatory requirements into your processes and procedures. Benefit from firsthand insights and concrete examples of pitfalls to avoid at the implementation stage.

11:30am
5 Things You Don’t Know About Me: CCOs Tell Their Stories on Becoming Effective Leaders and Influential Voices in Their Organizations

Hear first-hand stories from CCOs about their successful climb up the ladder-and the unwritten rules for effective leadership. Themes to be discussed include:

  • Proving your worth: How to showcase your accomplishments and promote yourself
  • How to advocate for yourself and your team: Securing buy-in, confidence and resources from senior management and the Board
  • Getting a seat at the table: How to drive home a message that resonates
  • The biggest mistakes to avoid when building and managing a compliance team: How to know if you are an effective leader or falling short?
  • Fostering successful relationships with the General Counsel, CFO and other corporate leaders

12:15pm
Executive Networking Luncheon

1:15pm
Insider Threats – Detecting a “Bad Apple” in Your Workplace: Key Predictive Indicators and Best
Ways to Leverage the Compliance Function

Current and former law enforcement officials will take you through real-life examples of rooting out unethical and criminal conduct in an organization. In addition to providing practical guidance, the discussion will also address how law enforcement and compliance officials have successfully partnered to address these worst case scenarios.

1:45pm
Economic Sanctions Compliance “Nail-Biters”

Keeping Sanctions Compliance Current in Unpredictable Times: Responding to Rapid Geopolitical and Regulatory Changes Amid Blocking Statute Conflicts

During this practical session, CCOs will walk you through a series of hypothetical scenarios on some of the most complicated, high pressure situations-and how they would address them. Areas of discussion will include:

  • Perspectives on the most vexing challenges in the last 12 months, and how to prepare for more anticipated changes
  • Thinking on your feet: The most important considerations for responding to new, evolving sanctions-and the impact on screening and compliance protocols
  • Quick decision-making on Russia, Iran and more: How CCOs are updating their programs, and making time sensitive calls affecting legal, contractual and business commitments

2:45pm
High Stakes Compliance Decision-Making

The Pressure of “Pressure Testing” Your Program: How to Truly Evaluate If You’ve Made the Right Call on Compliance Spend, Resource Allocation, Structure and More

Compliance is an art-not a science. Your job does not end after making tough decisions, but
continues with the need to continuously re-evaluate and measure the effectiveness of your
decisions.

During this interactive session, CCOs will take you through their approaches to evaluating the
aftermath of decisions, charting solutions to address compliance weak spots, and making unpopular decisions that are critical to strengthening your program and mitigating heightened risk factors.

3:30pm
Networking Break

3:45pm
The Realities of Reporting to the Board and Audit Committee: Examples of How to Navigate New Corporate Governance Priorities and Expectations for Compliance

This session will address how to interface with an Audit Committee and Board of Directors amid a changing corporate governance landscape. Topics will include:

  • Trends in Board and Audit Committee priorities, including cybersecurity
  • What boards and audit committees have been expecting from Chief Compliance Officers
  • Positioning yourself as a strategic thinker that can influence the upper echelons of a company

4:30pm
Behind the Scenes of “Nightmare” Situations: CCOs Share The Good, The Bad and The Ugly of Cyber, Third Party, Trade Secret Theft and Other Worst Case Scenarios

This last, “closed-door” discussion will provide speakers and participants an enhanced opportunity to exchange war stories and the “behind the curtain” challenges affecting decisions and outcomes.

Situations to be addressed include:

  • Responding to a ransomware, data breaches and cyber intrusions
  • Dealing with uncooperative or non-compliant third parties, and those under investigation
  • When the government comes knocking
  • Dealing with the aftermath of trade secret theft
  • When the CCO relationship with General Counsel goes sour

5:00pm
Roundtable Concludes

APAC & Latin America Regulatory And Enforcement Update

Dec 6, 2019 9:00am - 3:00pm

$1,395

Speakers

Brian G. Burke
Partner
Shearman & Sterling (China)

Matteson Ellis
Member
Miller & Chevalier Chartered

Jianwei (Jerry) Fang
Partner
Zhong Lun Law Firm (China)

John Frangos
Partner
Co-Lead, Compliance & Investigations Practice

Tilleke & Gibbins (Thailand)

Guillermo Jorge
Head, Compliance, Investigations and Corporate Criminal Law Department
Bruchou, Fernández Madero & Lombardi (Argentina)

Luis Dantón Martinez Corres
Leader of the Compliance, Anti-Corruption and Investigations practice
Ritch, Mueller, Heather y Nicolau, S.C. (Mexico)

Sandra Orihuela

Orihuela Abogados (Peru)

Antenor Madruga
Partner
Feldens Madruga Advogados (Brazil)

What is it about?


8:30am
Opening Remarks from the Co-Chairs

Matteson Ellis
Member
Miller & Chevalier Chartered

CHINA
8:45am
Part I: A Complete Roadmap to the Local Agencies, Laws & Regulations: Who Does What for Anti-Bribery, Antitrust, Cyber and Data Security Enforcement

Brian G. Burke
Partner
Shearman & Sterling (China)
Jianwei (Jerry) Fang
Partner
Zhong Lun Law Firm (China)

 

  • Who does what: Clarifying the jurisdictions and roles of key agencies
  • The jurisdictions, functions and priorities of each agency
  • When the police become involved in corruption enforcement, including detention of individuals

9:15am
Part II: A Deep Dive Into Key Requirements, New and Anticipated Changes

Anti-Bribery & Antitrust

New anti-bribery compliance expectations and the local government crackdown: New, evolving standards and trends
The latest on commercial bribery risks, rising penalties and amendments to the Anti-Unfair Competition Law: How to know what crosses the line

  • Expanded scope of bribery-related violations and governmental powers
  • Clarified basis for vicarious liability; emphasis on actions of employees
  • Procedural emphasis and change
  • Jurisdiction of NSC and potential impact on foreign companies
  • NSC’s broad investigation powers
  • Government agency consolidation, including the State Administration for Market Regulation

Data Privacy, Security and Transfers

  • Status report on what has triggered penalties for data privacy and security violations
  • Best practices for cross-border data transfers
  • Defining “Critical Information Infrastructure”: When local government approval will be necessary for a data transfer
  • Key elements of the pending data security law and guidelines
  • Using and transferring consumer data: Pitfalls to avoid
  • Key differences between the China Data Security landscape and GDPR
  • Rolling out a successful marketing campaign within data security limits
  • How to collect and use lawful consumer data for your marketing campaign
  • HQ and local office data resource sharing

Whistleblowers

  • The biggest misunderstanding about key requirements
  • Requirements affecting reporting and compliant management

10:45am
Networking Break

11:00am
SOUTHEAST ASIA

John Frangos
Partner
Co-Lead, Compliance & Investigations Practice at Tilleke & Gibbins (Thailand)

Singapore

  • Corrupt Practices Investigations Bureau (CPIB) anti-bribery enforcement crackdown on individuals and corporations
  • CPIB enforcement trends and conviction rates
  • New initiatives to strengthen anti-corruption measures:
    • CPIB Corruption Reporting & Heritage Centre
    • Singapore Standard of ISO 37001 on Anti-Bribery Management Systems

Malaysia Post-1MDB

  • Jurisdiction and effectiveness of the Malaysian Anti-Corruption Commission (MACC)
  • Status report on the “war on corruption” and three-year plan to increase Malaysia’s corruption index ranking
  • The latest Malaysian anti-bribery and AML regulations
  • Recent enforcement actions and penalties
  • The biggest, newest areas of risk exposure in Malaysia
  • New Corporate and Executive Liability registrations
  • Appropriate compliance programmes accepted by the local government

Indonesia

  • Update on the Corruption Eradication Commission (KPK) investigations and cooperation with foreign authorities, including the SFO and CPIB
  • Impact of key reforms to strengthen anti-corruption enforcement, including the aftermath of decision No. 25/PUUXIV/ 2016 from the Constitutional Court to amend articles 2(1) and 3 of Law No. 31 of 1999

Vietnam

  • Common misunderstandings regarding the definition of “bribery” and “public official”
  • Limitations on gifts under The Anti-Corruption Law
  • Key provisions under the Penal Code

12:00pm
What’s Keeping You Up at Night?

Speakers and participants will have an opportunity to discuss highly complicated, stressful issues
affecting their jobs each day. From getting (and staying) up-to-speed on key developments, training and managing employees worldwide to operating during a government investigation, no question is off the table

12:30pm
Networking Luncheon

LATIN AMERICA

1:30pm
Brazil

Antenor Madruga
Partner
Feldens Madruga Advogados (Brazil)
  • The Clean Company Act five years in: Status report on how it has been interpreted, applied and enforced
  • Dissecting the roles and responsibilities of agencies at the federal, state and municipal levels
  • Status update on guidelines by the MPF’s Anti-Corruption Unit
  • The extent of coordination across the agencies, the impact on settlements and penalties, and the risk of “double-dipping” (multiple fines for the same anti-corruption violation)
  • What is the likely the “next phase” of anti-corruption enforcement in Brazil post-Lava Jato

2:15pm
Argentina

Guillermo Jorge
Head, Compliance, Investigations and Corporate Criminal Law Department
Bruchou, Fernández Madero & Lombardi (Argentina)
 

  • Jurisdiction of Argentina’s provincial vs. federal authorities: Who does what
  • Nuts and bolts of the law on criminal responsibility: No retroactive application
  • Comparing and contrasting Argentina’s approach to prosecutions with Brazilian agencies
  • Extent of cooperation between Argentinian and Brazilian authorities amid the Notebooks scandal
  • Argentina’s asset recovery bill, and how it aides prosecutors investigating bribery
  • Antitrust: The most common price-fixing/bid-rigging schemes and how to mitigate the biggest risks
  • Re-Review of public works contracts awarded to foreign companies for potential bribery: New risks to your business and bottom line

2:45pm
Mexico

Luis Dantón Martinez Corres
Leader of the Compliance, Anti-Corruption and Investigations practice
Ritch, Mueller, Heather y Nicolau, S.C. (Mexico)
 

  • Status report on the political landscape post-election and the outlook for industry
  • What next steps can be expected from the Mexican regulatory and enforcement authorities
  • How the National Anti-Corruption System (SNA) is being implemented
  • Key elements of the General Law of Administrative Responsibilities (GLAR)
  • How corporate criminal liability (prosecuted by the attorney general’s office) now intersects with administrative liability (overseen by the Función Pública)
  • How and why criminal attorneys are focusing more on anti-corruption compliance

3:30pm
The Andean Region – Focus on Peru, Ecuador & Colombia

Sandra Orihuela
Orihuela Abogados (Peru)
Matteson Ellis
Member
Miller & Chevalier Chartered
  • What anti-corruption legislation exists across the Andean countries, how are they similar and/ or different from one another, what are key elements, and what to watch out for
  • The extent of individual vs. corporate liability: Revisiting your risk profile
  • Legislation vs. enforcement in the region: The record to date, what to expect going forward, enforcement “competition” between countries and agencies
  • Special industry-specific rules and anti-bribery requirements when bidding for public contracts
  • How increased cross-border collaboration on bribery cases between regional prosecutors is changing companies’ risk exposure
  • Should you or should you not self-disclose corrupt conduct to authorities? To whom?
  • Key aspects of Peruvian Law 30424 on corporate liability for offenses on corruption, money-laundering and terrorist financing      
  • Aftermath of Peru’s joining two OECD Conventions:
  • » Anti-Bribery Convention
  • » Convention on Mutual Administrative Assistance in Tax Matters

4:00pm
Your Must Burning Questions Answered: Q & A with LatAm Experts

During this closing session, participants will benefit from in-person Q & A and discussion with faculty members across Latin America.  Ensure that you attend this session to ask any remaining questions, and hear what is keeping your peers up at night as well

4:45pm
Seminar Concludes