Pre-Conference Workshops – September 22, 2020 |
9:30—12:30 |
Patricia Marques
Legal Director, Enforcement & Region Compliance Counsel Latin America
TechnipFMC
Bernardo Viana
Senior Attorney
Saud Advogados, in cooperation with Hughes, Hubbard & Reed LLP
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1:30—4:30 |
Antonio Rita
Ethics & Compliance Associate Director, Latin America
BD
Tamara Ginciene Malara
Director of Governance, Risk and Compliance
Renova Energia S/A
Karlis M. Novickis
Partner
KMN Advogados
Independent Member of the Board Integrity Committee Petrobras
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Conference Day 1 – Wednesday, September 23, 2020 |
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9:15 |
Conference Co-Chairs’ Opening Remarks
Camila von Ancken
Regional Compliance Counsel (LATAM)
Google
Luís Adams
Partner
Tauil & Chequer Advogados Associado a Mayer Brown
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9:30 |
BIG CASES, BIG IMPACT ON BRAZILIAN INDUSTRY AMID COVID-19
Important Takeaways from the Most Significant Cases, Settlements and Penalties in Recent Memory
Bruno Ferraz de Camargo
Head of Ethics and Compliance – Latin America, Global Lead Antitrust Program
Getinge LatAm
Emir Calluf Filho
Head of Legal Brazil | Legal Director
BHP
Patricia Marques
Legal Director, Enforcement & Region Compliance Counsel Latin America
TechnipFMC
Moderator:
Salim Saud Neto
Partner
Saud Advogados, in cooperation with Hughes, Hubbard & Reed LLP
This panel comprised of in-house compliance experts and attorneys will take stock of Brazil’s enforcement record to date and, importantly, discuss the most significant cases of the recent past. The discussion will further expound on the most useful takeaways and important lessons that multinationals should heed in order to fulfill their compliance obligations going forward. Topics will include:
- How companies willing to cooperate can ensure an adequate “balance” of cooperation with both Brazilian and foreign authorities while maintaining attorney-client privilege
- Dissecting layers of enforcement responsibilities on behalf of Brazilian agencies at the federal, state and municipal levels
- How to interpret the perceived overlap of enforcement responsibilities and assess Brazilian agencies’ respective jurisdiction and duty to negotiate leniency agreements
- Perspectives on the present and future cooperation of Brazilian and foreign enforcement agencies
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10:15 |
CASE STUDIES: M&A, JVs & “TAINTED” ASSETS
The Latest Best Practices for Minimizing Successor Liability Involving “Tainted” Assets: Key Considerations from the Seller and Buyer Perspectives
Fabiana Leschziner
Executive Vice President, General Counsel and Chief Compliance Officer
Embraer
João Mendes de Oliveira Castro
Partner
Prisma Capital
William P. Olsen
Managing Director of Forensic Advisory Services
Arnall Golden Gregory LLP
Tatiana R. Martins
Partner
Davis Polk & Wardwell LLP (EUA)
- Opportunities and challenges of asset sales by companies that are or have been under investigation, or have signed a leniency agreement
- Determining what you buy: How investors can now protect themselves against past wrongdoing of the target
- Risk Ranking for M&A and JVs: Triaging the pre- and post-acquisition risks associated with due diligence, financing, corporate culture and more
- The statute of limitations on successor liability: When to place the deal on hold and for how long
- How to evaluate anti-corruption risks when buying an entire company versus an individual component or part of a company’s business operations
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11:00 |
Break |
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11:30 |
SPECIAL REMARKS & INTERVIEW WITH BRAZIL’S ATTORNEY GENERAL
José Levi Mello do Amaral Júnior
Advogado-Geral da União do Brasil
Moderator:
Luís Adams
Partner
Tauil & Chequer Advogados Associado a Mayer Brown
(Submit your questions to [email protected] anonymously in advance and during the session.)
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12:15 |
INTERVIEW WITH U.S. ENFORCEMENT AGENCIES
Evaluation of FCPA Compliance Programs, Instant Messaging, and Coordination with Brazil’s Local and Regional Prosecutors
Christopher J. Cestaro
Chefe Interino, Unidade FCPA, Seção de Fraude, Divisão Penal
United States Department of Justice
Edward D. Dorsey
Supervisory Special Agent, Public Corruption and Civil Rights Section, International Corruption Unit
Federal Bureau of Investigation
Moderators:
Giovanni Paolo Falcetta
Partner
TozziniFreire Advogados
Brian F. Saulnier
Partner
K&L Gates LLP (USA)
This highly anticipated interview will bring together leading enforcement agencies from the United States to discuss the priorities for their fight against corruption and bribery in Latin America’s biggest economy.
The interview will address, among other items:
- The extent of collaboration between Brazilian and U.S. agencies
- Where and how Brazil’s anti-bribery authorities fit into the larger, global anti-corruption enforcement landscape
- FBI Investigation in Brazil: One of the FBI’s three priority countries and what this means for multinationals with local business interests
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1:15 |
Break |
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2:15 |
EXCLUSIVE CEO INTERVIEW
Getting Tough Legal and Compliance Calls Right: How Brazil’s Evolving Enforcement and Business Landscapes Are Changing Day-to-Day Decision-Making at the Highest Level
André Clark Juliano
General Manager
Siemens Energy Brazil
Moderator:
Mauricio A. España
Partner
Dechert LLP (USA)
This special session will offer a look into the minds of leading C-level and senior executives, and where anti-corruption compliance sits amid the list of business priorities. Topics will include:
- How CEOs and other senior executives interpret their responsibilities for ensuring the right policies and systems are in place to ensure compliance
- How CEOs can be effective in setting the “tone-at-the-top” message of anti-corruption compliance
- Structuring the relationship between the CEO and the CCO/compliance department
- The CEO’s role in investigations: The extent of involvement, including the relationship with outside counsel and reporting flow
- Deciding whether to publicly disclose a compliance breach
- CEOs exposure to personal liability: Concrete examples
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3:00 |
COLLECTIVE ACTIONS IN BRAZIL
Cross-Industry Perspectives on the Practical Value of Peer Integrity Pacts and Initiatives
Reynaldo Goto
Chief Compliance Officer
BRF
Ana Luiza Aranha
Anti-Corruption Technical Advisor
Global Compact Network Brazil
Marcos Rossa
Compliance Officer South America
Cushman & Wakefield
Paulo Guilherme Vita
Compliance Specialist
Large Multinational Financial Institution
According to UNGC, “Collective Action can help create safe environments for good business practices, discouraging operating outside the rule of law and leveling the playing field for stakeholders of all sizes.” Brazil provides several successful examples of Collective Actions in different market segments and with multiple formats. A common effort among competitors, partners and the public sector, could encourage ethical and compliant practices in the market – and reduce corruption.
In addition, industry is waiting to see whether Brazilian (and non-Brazilian) enforcement agencies will take collective integrity actions into account when conducting an investigation or evaluating a compliance program.
This panel will impart real-world insights for legal and compliance professionals tasked with assessing the concrete benefits of peer integrity pacts and initiatives.
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3:45 |
Break |
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4:15 |
THE NEW PHASE OF MONITORSHIPS IN BRAZIL
How They Continue to Evolve Without U.S. and Other Foreign Involvement: What They Reveal About New Realities on The Ground
Adriana Dantas
Sócia, Adriana Dantas Advogados
Monitora Independente, EcoRodovias
Membro do Comitê de Integridade, Conselho de Administração, Petrobras
Thiago Braga Smarzaro
Coordenador-Geral de Integridade Privada
Controladoria-Geral da União (CGU)
Recently and for the first time ever, Brazil’s MPF has begun imposing monitors on Brazilian companies without involvement of the U.S. DOJ, SEC or any other foreign agency. This development de-facto heralds in a new era in Brazilian anti-corruption compliance. Modelled on U.S. monitorships, there are important questions that remain for companies who might find themselves in a similar situation and for those looking to strengthen their risk management. These include:
- Key differences between monitorships in Brazil vs. the U.S.
- Conditions, process, criteria and selection of monitors
- What a “successful” monitorship looks like in Brazil now
- Differences when reporting to Brazilian vs. U.S. authorities
- The Evolution of Brazil-only monitorships: What comes next?
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5:00 |
Conference Adjourns |
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Conference Day 2 – Thursday, September 24, 2020 |
8:30—9:30 |
EXCLUSIVE IN-HOUSE COMPLIANCE ROUNDTABLE
This unique “boardroom-style” networking and benchmarking session will gather in-house legal and compliance professionals. Designed as an exclusive, smaller-group discussion on highly complex challenges, participants will benefit from meaningful opportunities to exchange “war stories” and best practices. All interested parties will be pre-qualified before being registered for the session.
Moderated by:
John P. Rowley III
Partner
Arnall Golden Gregory LLP
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9:30 |
Conference Co-Chairs’ Remarks |
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9:35 |
LGDP ROUNDTABLE: REVISITING INTERNAL INVESTIGATIONS AND THIRD PARTY DUE DILIGENCE
How Companies Are Preparing to Comply with Brazil’s New Data Privacy Law
Adriana Laporta Cardinali Straube
Legal Director
PepsiCo
Vanessa Araújo Lopes Butalla
Legal Director
Serasa Experian
Marcelo de Almeida Horacio
Director General Attorney and Compliance Officer
Pearson Education
LGPD will now come into effect in January 2021. As the clock is ticking, industry in Brazil is assessing how to interpret and apply new requirements, navigate grey areas, and have questions about the agency overseeing compliance and enforcement. Key topics discussed will include:
- What if your company is facing a government investigation without having the data requested by prosecutors?
- Parallels with the EU’s GDPR, and how to manage potential overlap and conflicts
- How does the LGPD affect reporting and hotline management? What are new requirements that companies need to fulfil (e.g. hire privacy counsel)?
- Handling information from employees and customers: Challenges with cross-border transmission of data
- Perspectives on the future of LGPD Enforcement: Prospects for the creation of a Brazilian privacy watchdog and more
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10:30 |
DEMO & CASE STUDY: TECHNOLOGY AND INNOVATION FOR EFFECTIVE COMPLIANCE
How to Leverage AI, Machine Learning and Data Analytics for Your Compliance Program
Sergio Pinto
Senior Director, TPEC Lead Americas
Johnson & Johnson
Anne Caroline Prudêncio
Partner
Page Compliance
Tamara Ginciene Malara
Compliance Corporate Manager
GPA
Ana Paula Carracedo
Chief Risk & Compliance Officer
Votorantim S.A
- Measuring and comparing the ROI of available solutions
- 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
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11:15 |
Break |
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11:45 |
HOW BRAZILIAN AGENCIES EVALUATE COMPLIANCE PROGRAMS AT THE FEDERAL, STATE AND MUNICIPAL LEVELS
Insights from Enforcement Agencies and Key Takeaways for Multinationals
Wagner de Campos Rosário
Ministro
Controladoria-Geral da União (CGU)
Gustavo Ungaro
Professor e Advogado, Doutor em Direito pela USP, Vice-Presidente da Comissão Científica do Conselho Nacional de Controle Interno, Ex-Controlador Geral do Município de São Paulo, Corregedor Geral e Ouvidor Geral do Estado de São Paulo, Secretário Executivo do Fórum de Combate à Corrupção e da Rede Paulista de Controladorias
Antonio Carlos Vasconcellos Nóbrega
Conselheiro da Comissão de Ética Pública da Presidência da República e Assessor Especial no Estado do Rio de Janeiro; Ex-Conselheiro no Conselho de Controle de Atividades Financeiras – (COAF); Ex-Corregedor-Geral da União, Controladoria-Geral da União (CGU)
Moderated by:
Michel Sancovski
Partner
Tauil & Chequer Advogados Associado a Mayer Brown
This highly anticipated panel brings together officials from the most relevant Brazilian authorities overseeing compliance and enforcing anti-bribery legislation at the federal, state and municipal levels. There has been ample discussion regarding the struggle Brazilian companies and multinationals face in disentangling the web of enforcement agencies at the federal level only (e.g., CGU, MPF, AGU, TCU). However, to date there has been a clear lack of debate and – more importantly – understanding of how a company’s compliance program is evaluated at various administrative levels (federal vs. state vs. municipal). This panel brings together officials from each for a worthwhile conversation.
Don’t miss first-hand insights on key trends, requirements and important takeaways for your work after the conference.
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12:45 |
ROUNDTABLE WITH INDUSTRY-LEADING COMPANIES IN BRAZIL
Private Sector Views on Compliance Programs and Accountability Trends in Brazil
Aline de Almada Messias
Diretora Jurídico e Compliance
Hospital Sírio Libanês
Gilberto Frussa
Chief Compliance Officer
Itaú Unibanco S.A.
Moderated by:
Rafael Gomes
Partner
Huck Otranto Camargo
This panel is comprised of compliance experts from companies that are considered to be leaders in their respective industries – having been recognized for promoting ethics and compliance across their business. Complementing the previous panel which offers the compliance and enforcement perspective from the official side with government agencies, this panel will allow a deep-dive into the corporate point of view on critical issues such as:
- The need to adjust compliance programs and hold companies accountable for acts of corruption in Brazil
- How the performance and conduct of Brazilian and foreign enforcement agencies has differed in practice from what is stipulated in theory
- The differences in the typical capital structure of Brazilian companies – in the models of corporate governance and in Brazilian legislation – that must be taken into account when holding companies accountable
- Brazilian “peculiarities” to be considered in the evaluation of compliance programs, especially with regard to suppliers and business partners in third party due diligence processes and in the attribution of credit due to collaboration and, in the case of accountability, an effective compliance program
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1:30 |
Break |
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2:30 |
BEHAVIORAL COMPLIANCE
How to Integrate Behavioral Economics Into Your Compliance Program and Trainings
Patricia Godoy Oliveira
Director Compliance & Ethics Brazil
Uber
Liana Irani Afonso Cunha
Compliance Director for Brazil and Latin America
Thermo Fisher Scientific
Juliana Oliveira Nascimento
Manager
KPMG
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3:15 |
RECENT REFORMS TO THE PROCESSO ADMINISTRATIVO DE RESPONSABILIZAÇÃO (PAR)
New Procedural Challenges and Profile and Conformity Reports in 30 Days: Challenges and the Finer Points of Proving the Robustness of Your Compliance Program in a Shortened Timeframe
Pedro Ruske Freitas
Diretor de Promoção da Integridade, Secretaria de Transparência e Prevenção da Corrupção
Controladoria-Geral da União (CGU)
Marcelo Zenkner
Chief Governance and Compliance Executive Officer
Petrobras
Carlos Ayres
Partner
Maeda, Ayres e Sarubbi Advogados
- Status, impact and challenges for companies of changes brought by the CGU Normative Ruling 13/2019?
- Why profile and conformity reports need to be prepared in advance
- What you need to know about preparing conformity and profile reports
- What will authorities look for when they evaluate compliance programs in the context of a PAR?
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4:00 |
Break |
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4:30 |
COMPLIANCE IN THE “BIG PICTURE” – LATIN AMERICA SPOTLIGHT
What Recent Political, Economic and Societal Developments Across the Continent Mean for Brazilian Multinationals and Their Compliance Programs
Patricia Barbelli
Regional Chief Legal Officer (Brazil, Uruguay and Paraguay)
Diageo
Sandra Orihuela
Global Corporate and Compliance Counsel; Founding Partner
Orihuela Abogados (Peru)
Carlos Chávez A.
Partner
Galicia Abogados, S.C. (Mexico)
Pamela Alarcón
Partner
Philippi Prietocarrizosa Ferrero DU & Uria (Colombia)
- How anti-corruption legislations across Latin American nations are affecting Brazilian multinationals’ way of conducting business
- To what extent Brazilian multinationals need to “be prepared” for becoming the target of enforcement of non-Brazilian legislation and anti- corruption agencies: Is it just a matter of time before these laws bite?
- Drawing the right conclusions about the trends of cross-border collaboration between Attorneys General and various national enforcement agencies
- What recent international cases augur for multi-jurisdictional enforcement: Splitting the penalty pie or enlarging its size?
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5:15 |
TOWN HALL
Open Audience Q&A with Brazilian Enforcement Officials
Antônio Carlos Fonseca da Silva
Subprocurador Geral da República, Membro Titular e Coordenador Substituto da 5ª Câmara
Ministério Público Federal (MPF)
Cláudia Taya
Secretária de Transparência e Prevenção à Corrupção
Controladoria-Geral da União (CGU)
Paulo Soares Bugarin
Subprocurador-Geral
Ministério Público (MP) junto ao Tribunal de Contas da União (TCU)
Moderated by:
Adriana Dantas
Sócia, Adriana Dantas Advogados
Monitora Independente, EcoRodovias
Membro do Comitê de Integridade, Conselho de Administração, Petrobras
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6:00 |
Conference Concludes |
