Mexico Summit on Anti-Corruption & Compliance Programs

Third Party Management in Mexico: Special Considerations for Screening, Onboarding and Monitoring 1st, 2nd, 3rd and 4th Parties

Ignacio Gabriel Stepancic
Compliance Director
Grupo Bimbo

José Gabriel Sotelo Ríos
Regional Head of Compliance
Orbia

Angélica Morales Quezada
Corporate Manager of Audit, Risks and Compliance
Hoteles Misión

At this practical, industry-driven working group, expert speakers will discuss 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 that of your peers, and benefit from important takeaways for your work. Topics will include:

• 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
• The scope of due diligence to perform for an ongoing, existing third-party relationship
• 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
• 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

Technology & Compliance Exchange: The Essential Guide to Vendor Selection, Management Buy-In, and the Costs/Benefits of Data Analytics, AI and Machine Learning

Mariana Lara Parra
Director of Compliance
Grupo Modelo

Tania Decanini
Partner
Cohen Decanini Abogados

The workshop facilitators will lead a “closed-door,” candid conversation how (and how not) to incorporate technology and data into your compliance program and decision-making. Delegates will walk away with practical tools for assessing the costs and benetis of analytics, AI and ML. Further topics will include:

• How do companies define “data analytics” in terms of what specific information they are collecting and analyzing?
• Is reviewing data from a hotline/helpline provider considered data analytics? If yes, what else needs to be reviewed regularly? If not, what is it?
• Which system(s) are companies now using to analyze their data?
• To what extent can technology create efficiencies? Concrete examples of the lengths and limits
• Keeping in mind the U.S. Department of Justice’s emphasis on using data to help make decisions
• What specific data should companies be focusing on for compliance and third-party management purposes?
• To what degree can AI and ML be built into compliance monitoring?
• How realistic is it to use various technologies given the cost? How to effectively conduct a cost-benefit analysis

Conference Co-Chairs’ Opening Remarks

Laura Fernanda Ramos Parra
Head of Compliance
BlackRock

Luis Dantón Martínez Corres
Partner
LEC – Litigio Estratégico y Compliance, S.C.

Mtro. Roberto Salcedo Aquino
Subsecretario de Fiscalización y Combate a la Corrupción
Secretaría de la Función Pública

How Mexico’s Proactive Financial Intelligence Unit is Leading Anti-Corruption Enforcement

Santiago Nieto Castillo
Titular de la Unidad de Inteligencia Financiera (UIF)
Secretaría de Hacienda y Crédito Público (SHCP)

Moderated by:
Luis Dantón Martínez Corres
Partner
LEC – Litigio Estratégico y Compliance, S.C.

Compliance and Risk Assessment in a Time of Transition: How Industry is Tackling New, Emerging Anti-Corruption Challenges

Enrique Román Chávez
Director Legal Y Cumplimiento
Aeromexico

Sarah Flanagan
Associate General Counsel, Director of Antitrust and Americas Compliance
Intel Corporation (USA)

Alfredo Heraldez
Managing Counsel – Legal Resources
Mary Kay Inc.

William D. Semins
Partner
K&L Gates LLP (USA)

• How Mexico’s top CCOs are viewing compliance now under the AMLO government: What has changed and what has stayed the same?
• How to make sure that all of your compliance bases are covered
• What are the key components of corporate compliance programs that are indispensable in Mexico’s present, uncertain business environment?
• How Mexican industry can cooperate with government to mitigate bribery risks
• How to tackle the business and management challenges for companies amid a “perception of corruption” at the country level
• What is now expected for good corporate citizens

Break

What to Flag Now Before It’s Too Late: How Multinationals’ Compliance Programs Are Addressing the Ley Nacional de Extinción de Dominio

Juan S. Mijares Ortega
Former Director of Legal Affairs
Mexican Supreme Court

Carlos Chavez A.
Partner
Galicia Abogados, S.C.

Moises A. Castro Pizana
Founding Partner
Bufete Castro Pizaña, S.C.

Tania Decanini
Partner
Cohen Decanini Abogados

• The high stakes legal issues posed by the new law, including questions regarding its constitutionality
• How to quantify and qualify the heightened risks for individuals and companies suspected of corruption or perceived as corrupt
• How multinationals can incorporate the new law into their compliance programs

A Conversation on the Advances in Preventing Money Laundering in the Financial System

Sandro García Rojas Castillo
Vicepresidente de Supervisión de Procesos Preventivos
National Banking and Securities Commission (CNBV)

This highly practical session will examine the way in which a multinational bank set out and succeeded in mitigating the greatest risks at the intersection of anti-corruption and anti-money laundering. Join this session for hands-on guidance that you can bring back to the office.

Break

Important Lessons from Multinationals Operating in Mexico: How to Detect Compliance Risks Via Advanced Technology, Analytics and Innovative Employee Education

Roberto Berry
Assistant General Counsel International Affairs and Compliance
FCA USA LLC

Tania A. Reyes Montes
Mexico Chief Anti Bribery Officer
Citibanamex

Luis Cuevas
Global Ethics & Compliance Director
RB (U.K.)

Christopher Nelson
Assistant General Counsel, Head of Compliance Analytics
Microsoft (USA)

During this panel, leading compliance officers will discuss some of the most challenging issues and circumstances they have faced in their respective roles as well as explain how they have devised innovative and thoughtful approaches and solutions to some of the trickiest compliance conundrums in Mexico. Topics will include compliance analytics, due diligence aided by embedded algorithms (risk-rating), overcoming data protection issues and successfully protecting attorney-client privilege.

Priorities of Mexico’s Federal Economic Competition Commission

Alejandra Palacios Prieto
Presidente
Comisión Federal de Competencia Económica (Cofece)

Ensuing audience Q&A moderated by:
Hugo Lopez Coll
Shareholder
Greenberg Traurig LLP

The Newest, Unwritten Rules for Internal Investigations: Applying New Attorney-Client Privilege Legislation and Data Access Restrictions

Lucia Ojeda
Partner
SAI Derecho & Economía

Diego Sierra
Partner
Von Wobeser y Sierra, SC

Leyla Bello Escobar
Litigation Counsel
FCA México

Alejandra Montenegro Almonte
Member
Miller & Chevalier Chartered (USA)

• Handling multi-jurisdictional cases amid different legislative requirements
• Navigating potential, overlapping liability under Mexican and U.S. anti-corruption and AML laws
• When in-house counsel should consult with outside counsel

Investigative Reporting Post-Pemex: Inside the Latest and Greatest in Bribery Schemes and Compliance Lessons in an Era of Hyper-Transparency

Investigative reporting has been instrumental in spearheading change across the anti-corruption environment in Mexico. Information uncovered by investigative reporters has shed light on some the most prominent cases to date. At this special session, hear stories from reporters on the ground and take away real-world insights that can inform your legal and compliance decision-making moving forward.

Salvador Camarena
Director de La Unidad de Periodismo
Mexicanos Contra la Corrupción y la Impunidad (MCCI)

Juan Pardinas
Editor-in-Chief
Reforma

Sandra Romandía
Contributor
Milenio & Washington Post Opinion (Spanish)

Homero Campa
Autor
Proceso

Exclusive In-House Compliance Roundtable

Moderated by:
Iris E. Bennett
Member
Smith Pachter McWhorter PLC (USA)

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.

Conference Co-Chairs’ Remarks

The Accomplishments of The Current Administration in Fighting Corruption

María Amparo Casar
Cofundadora y Presidenta Ejecutiva
Mexicanos Contra la Corrupción y la Impunidad (MCCI)

Edna Jaime
Directora General
México Evalúa

New Corruption Risks at the Award Stage: Real-Life, Cross-Industry Lessons from the Energy and Pharmaceutical Sectors

Marco Antonio Rivas Gonzalez
General Counsel & Chief Compliance Officer
Bayer De Mexico SA de CV

Gabriel Salinas
General Counsel
Avant Energy, a Riverstone Holdings company

Alejandro Torres Rivero
Partner
Chevez, Ruiz, Zamarripa y Cía SC

• The status quo of public tenders for energy and pharmaceutical projects under AMLO
• What a new centralized authority from the Ministry of Finance to oversee public tenders means for companies’ corruption risks
• How the newly-launched Padrón de Integridad Empresarial will aid in mitigating corruption in public bidding processes
• Best practices for navigating the biggest corruption risks with licenses and permits

FCPA Enforcement Priorities in Mexico: Evaluation of Compliance Programs, Instant Messaging, and Coordination with Local and Regional Prosecutors

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

Moderated by:
Julissa Reynoso
Partner
Winston & Strawn LLP (USA)

• Where and how do Mexico’s anti-bribery authorities fit into the larger, global anti-corruption enforcement trend?
• Mexico: One of the FBI’s three priority countries and what this means for multinationals operating in Mexico
• What lessons can Mexico learn from other Latin American countries that have recently fought corruption (e.g., Brazil, Colombia, Argentina)?
• Successor liability in the context of M&A in Mexico
• Corporate culture: Tone-at-the-top and the middle

The Relationship Between Prosecutors and the Private Sector: How the Tax Criminal Law Reform Will Impact Industry’s Compliance Efforts

Odracir Ricardo Espinoza Valdez
Anti-Corruption Prosecutor, State of Sonora
President, National Convention of Anti-Corruption Prosecutors

Ricardo Andreas Cacho
Director General de Control Procedimental
Secretaría de Hacienda y Crédito Público

Moderator:
Tania Decanini
Partner
Cohen Decanini Abogados

Break

Defending Your Compliance Program to the Agencies: How to Prepare and Meet Heightened Compliance Expectations

Gloria Salcedo Padula
Global Director of Compliance
Millicom (Tigo)

Eduardo Vargas
Ethics & Compliance Director
Constellation Brands

Gerardo Salazar
Compliance Officer
AES Mexico

Moderated by:
Daniel Maldonado-Alcántara
Partner
Sánchez Devanny

This panel will discuss how to prepare for meetings and walk government decision-makers through your compliance program. The speakers will impart their experiences in what the DOJ, SEC and — to the extent relevant — non-US enforcement agencies are looking for with respect to key program elements and improvements, and best practices for cultivating a positive working relationship.

How to Solidify and Sustain a Corporate Speak-Up Culture Across Your Organization

Cecilia Dominguez
Dirección Legal
Abbvie Farmaceuticos

Ariel Gomez Fuentes
Regulatory Compliance Manager
Industrias Peñoles

Rosalía Martínez Carbajal
Sócia
Basham, Ringe y Correa, S.C.

Ignacio Gabriel Stepancic
Compliance Director
Grupo Bimbo

• How the Función Pública’s recently decreed online platform for whistleblower complaints is likely to affect companies’ existing reporting policies and code of conduct
• How to investigate and respond to reports of misconduct, such as discrimination and sexual harassment
• How to achieve top management and board-level buy-in for enhanced reporting opportunities
• The role of the Mexican government’s labor authority in overseeing the new regulations

Break

Criminal Liability of Compliance Officers, Financial Gatekeepers and Legal Counsel: Revisiting Your Individual Risk Profile Amid Increasing Exposure

Mariana Lara Parra
Director of Compliance
Grupo Modelo

Bernardo Alvarez Del Castillo Vargas
Chief Compliance Officer
Grupo Expansión

Ilan Katz Mayo
Partner
Katz & Gudiño, S.C.

Executives and anti-corruption compliance managers at companies in Mexico can now be held personally liable for breaches of anti-bribery legislation that occur at various levels of their business. How compliance officers can minimize the risks associated with being their company’s compliance gatekeeper will be the focus of this special panel.

What Mexico’s Private Sector is Doing to Strengthen Anti-Corruption Compliance and Corporate Governance

Max Kaiser
Presidente de la Comisión Anticorrupción
COPARMEX

Moderated by:
Maria Barbara Marcen Abascal
Corodinadora del Comité de Compliance
ANADE

Now more than ever before — multinationals are increasing their investment in compliance resources and program upgrades. Amid the uncertainty Mexico is facing on the political stage, join this important discussion on how the private sector upgrade best practices for responsible corporate governance and cross-border compliance.

Conference Concludes