Registration & Continental Breakfast

Conference Co-Chairs’ Opening Remarks

From Pen to Paper to Practice: How Enforcement of El Sistema Nacional Anticorrupción is Expected to Play Out

• How the administration is expected to implement the seven pillars of the new anti-corruption system
• What resources will be dedicated to ensuring enforcement of the new laws by means of prosecution and conviction powers for the public prosecutor (Fiscalía Anticorrupción)
• How feasible is the implementation of the Plataforma Digital Nacional?
• Will the Comité de Participación Ciudadana live up to its expectations?
• What to realistically expect of the role and authority of the
• Fiscalía General de la Nación to prosecute and obtain convictions in corruption cases
• How to assess the role of the auditor general in recommending investigations and prosecutions
• How to solve the problem of lacking autonomy of prosecutors in Mexico’s reporting hierarchy
• How Mexico’s prosecutor can recover embezzled funds and assets obtained through bribery
• How the Ley General de Responsabilidades Administrativas is shifting the focus of enforcement from government officials to bribe payers

How Companies Can Accelerate Their Preparation for Mexico’s New Anti-Corruption System

• Which aspects of the Anti-Corruption System companies need to pay special attention to in order to assess their risk exposure as well as the extent to which they are likely to be impacted by the new System
• How companies can devise an appropriate action plan based on their risk exposure
• What action companies should take with regard to third party relationships and how to determine whether to conduct audits with business partners
• How to anticipate the “support” and “client commitment” companies can expect from outside counsel when preparing for the new legislation
• How to tap into the most useful (official) resources at companies’ disposal and how to put them to best use

Coffee & Networking Break

Spotlight on FCPA Enforcement by the USDOJ and SEC: What are Targeted Violations, What Industries are Under Investigation, and How are US and Mexican Authorities Cooperating

• Update on what the DOJ and SEC focus on in Mexico
• How to understand potential tensions between the USDOJ and Mexican authorities regarding the implementation and enforcement of anti-corruption legislation and Ley de Responsabilidades (“Ley 3 de 3”)
• How to understand the impact of the Yates Memo in determining liability in Mexico
• What enforcement action will be taken on the international vs. domestic level
• Understanding the mandate of the CNBV in connection with SEC and DOJ actions and how companies can proactively minimize the risk of fines by the same
• Should the CNBV implement a whistleblower program similar to the SEC’s?

How to Minimize Pitfalls When Working with Municipalities: Focus on Business Licenses and Permits Granting

• How to interpret the legal framework in which municipalities may issue permits and licenses
• How to identify fabricated requests: Understanding what licenses, permits, or certifications are legally required and how they differ across municipalities
• How to identify key risk areas when working with local government during the approval process and strategies on how to deal with different government agencies
• What supporting documentation should you ask for to prevent lapses that might lead to an anti-corruption violation and how it differs on the local vs. federal levels?
• How to tailor your controls and procedures to the risks presented by different municipalities within Mexico
• When to report potential difficulties related to bribery and when to involve the federal government?

Interactive Industry Networking Luncheon for Attendees and Speakers

Learn informally during lunch as you sit at the industry table of your choice. Network and discuss the anti-corruption issues that are the most pertinent to your industry as well as current challenges in the country.

• Manufacturing
• Pharmaceuticals
• Extractive Industries and Infrastructure
• Technology and Telecommunications

EXCLUSIVE INTERVIEW: Mexico’s Next Big Challenge

Where Companies Go Wrong with Internal Investigations: How to Minimize Risk Upon Suspicion of Corrupt Conduct

• How to decide when to launch an internal investigation once a compliance breach has been detected
• Identifying a best-practice plan on the sequence of appropriate actions that your company should follow, such as documents collection, facts gathering, and interviewing
• How to decide which departments to involve in the process (e.g., audit, HR, sales, marketing)
• How to reduce the risk of spiraling costs and knowing when to conclude an investigation: What regulators will expect you to have on file
• Understanding the importance of computer imaging for forensics, cyber and data issues: How to handle these matters and identify best practice solutions

Coffee & Networking Break

How to Leverage Technology to Enhance your Corporate Compliance Program and Training Initiatives… and Make Your Employees Actually Want to Participate

This highly practical panel will present a selection of cases where companies have effectively leveraged technology to improve their compliance function. Don’t miss this opportunity to hear top-tier compliance practitioners share their insights on how technological innovations resulted in:

• More compliance program effectiveness: Why “training begins at home”
• Increased data accuracy and usability, enhanced cybersecurity
• Novel compliance training for employees and third parties: How to keep it alive and interesting and handle training of uncooperative and opaque business partners
• Improved employee buy-in across various corporate departments
• Better understanding of the importance of values in Mexico:
• Do employees tend to react better to values than to laws and regulations?

Re-Engineering Mexico’s Energy Market: What Compliance Officers Must Know About the Fast-Evolving Competition and Corruption Landscape

• What recent developments in the energy market compliance officers need to pay close attention to in assessing corporate risk exposure
• How to disentangle and manage Mexico’s complex web of energy, environment and government regulations entities
• How to interpret the new rules surrounding (foreign) competition, legal requirements as well as associated risks
• How to understand the risks when engaging with clients, partners, intermediaries and suppliers under the new energy legal framework
• How Mexico’s political relationship with the US is likely to impact the economics of oil and gas in Mexico

Conference Adjourns

Continental Breakfast

Conference Co-Chairs’ Opening Remarks

An Inside Look at Effective Risk Assessments on the Ground: How to Detect Potential Bribery Schemes and Foster Collaboration across the Compliance, Legal and Accounting Functions

• How to anticipate corruption risks that could trigger an investigation of your company
• How to detect and manage high risk structures, hidden parties, conflicts of interest and collusive deals undertaken by corrupt employees
• How to manage risks from outsourcing services according to new criteria (Financial Intelligence Unit, Supreme Court)
• How to spot illicit payments, illegal schemes and potential tax breaches in your books & records that are disguised as legitimate commissions and expenses such as fake invoices and sham deductibles
• How to interpret the UIF’s “clarifying note” on outsourcing services and how this relates to AML, corporate tax and labor laws
• Privilege vs. transparency: Where does professional secrecy end?
• How are internal and external counsel supposed to interact? When to bring in third parties and what information can and should be shared with them
• How to decipher Mexico’s complex tax laws and determine the extent to which your company’s compliance department should be involved
• How to assess the relevance of SOX’s Internal Controls Provision: Maturity of controls vs. risk assessment
• Why it is important to win top management’s buy-in as champions of compliance: How to foster integration across departments (compliance, legal, HR, internal controls, internal audit, etc.)

How to Manage Third Party Due Diligence and Auditing: Special Focus on Transparency of Ownership, Data Privacy and Risks Posed by Unavailability of Information

• How to overcome data privacy hurdles when conducting due diligence on an existing or new third party
• Best practices on conducting third party due diligence while achieving business objectives and understanding the need for a due diligence process
• Understanding the significance of identifying beneficial ownership structures post “Panama Papers” and other recent document leaks and releases
• Assessing where the money comes from and where it goes in a third party transaction: How to avoid being caught up in a potential  anti-money laundering scheme
• How to mitigate the risk of reputational damage and avoid “bad press” related to your third party interactions (e.g., Deutsche Bank and HSBC)
• What’s next? Is due diligence sufficient and the only step required? How to effectively monitor the compliance performance of your intermediaries

Coffee & Networking Break

SPECIAL ADDRESS:

Gifts, Entertainment, Travel and Hospitality Facts and Hypotheticals — How to Handle Complex Day-to-Day Relationship-Building Scenarios Specific to Mexico

• How to implement the right compliance policies and procedures and apply them properly in view of local regulation, sector-specific regulation and internal policies
• How to identify who is involved in the authorization and approval of gifts, hospitality and other requests?
• How Mexico’s cultural orientation towards gifts, entertainment, travel & hospitality affects your policies
• How much tolerance of and catering to local custom is “too much” and how to determine the “limit” for rendering services to governmental and corporate entities
• How to be compliant without becoming an outcast
• How to apply the analytical tools available to assure appropriate oversight of your corporate policy regarding Gifts, Entertainment & Hospitality
• Who determines what is a “reasonable” gift, entertainment or hospitality request? What are the factors you need to consider and how do you do it?
• To what extent companies need to even “worry about this” if all other aspects of their business seem to be in compliance with the law
• Legal vs. ethical practices: How to handle a potential conflict of interest even when the value/amount of the action of offer or acceptance is below what the company allows or does not violate any law or regulation

“Mock” Whistleblower Session: How to Establish an Effective Reporting Protocol Within the Requirements of Mexico’s Complex Employment Legislation

• How to build an appropriate incentives infrastructure for blowing the whistle: Identifying the model that fits your organization and what Mexico can learn from other countries
• How to overcome the risk of retaliation and the incentive of downplaying compliance breaches by treating them confidentially
• The purpose of a strong whistleblower program: Best practices on communicating the benefits of a corporate culture rooted in encouragement rather than fear
• How to evaluate the risk level of corrupt behavior based on:
• Number of people involved, seniority of employees, alleged reasons for corrupt conduct
• Examining in what respects Mexican labor laws are protective of employment termination for corruption
• How to appropriately address employee concerns and promote open and fair communication by breaking down the hierarchy and rewarding transparency
• How to handle various HR scenarios: low performance, retired, and terminated employee
• How to investigate and respond to whistleblower claims vs. “anonymous” reports

Networking Lunch

ISO 37001: The Importance of the New Global Anti-Bribery Standard in the Mexican Context

• How to determine whether to get certified and best practices on going about doing so
• Understanding the value and (international) recognition of ISO 37001
• What Mexican companies are doing in light of the new global anti-corruption standard
• ISO 37001 vs. Mexico’s New Anti-Corruption System: What are the commonalities, differences, and practical tips on reconciling the two

Minimizing Corruption Risks in your Supply Chain Where Interaction with Government and Public Officials is High

This exclusive and practical session will present practical step-by-step approaches and solutions to three complex supply chain scenarios:  

• How to overcome customs challenges at the Mexican border:
• The riskiest scenarios
• How to manage risks that arise in the context of an uncooperative third party who refuses to adhere to your compliance program
• How to manage a large amount of distributors and agents across borders

Coffee & Networking Break

Lessons Learned: How to Effectively Partner with Corporate Headquarters and Localize Your Compliance Program by Tailoring it to On-the-Ground Realities

• How to manage and ensure compliance “remotely,” identify who’s in charge and overcome the challenge of balancing remote (HQ) vs. onsite (local) compliance enforcement resources
• How to overcome the challenges associated with adhering to compliance in remote settings with inadequate or insufficient resources
• How to ensure your HQ’s directives are followed and implemented consistently at the local level
• How best to manage the relationship between your chief compliance officer and regional compliance counsels? Who do they report to and how does this impact the effectiveness of your compliance program?
• How to create appropriate incentives for your local compliance personnel, such as compensation and promotion
• How to adapt your compliance program depending on your typeof business and industry
• How to conduct an effective risk assessment of your compliance program and correctly interpret the findings
• Q&A: You are the new compliance chief — now what?

Ethics in Compliance: Interactive Discussion on How to Resolve Day-to-Day Ethical Dilemmas and Influence Through a Culture of Compliance

• How to get the ethical message to permeate a large organization along your supply chain
• What are best practices to make employees realize the integral importance of an ethics and integrity program to the success of the business
• What to incorporate in your code of conduct and how to define “ethics” within your organization
• Ethical considerations for whistleblowers programs and investigations
• Setting the tone at the top and then down to the bottom: The role of senior management in instilling ethics and employee engagement

Conference Concludes