WORKSHOP A

FCPA Basic Training: A Step-by-Step Guide to Key Requirements, Enforcement Actions and Settlements

WORKSHOP B

A Deep Dive into DOJ’s Guidance and the Core Components of an Effective Compliance Program ‐ From Risk Assessments, Controls and Policies to Third Party Management

MAIN CONFERENCE PRE-REGISTRATION
Welcome Cocktail Reception Sponsored by:

Registration & Breakfast
* In-Person Only
Sponsored by:

Opening Remarks from the Co-Chairs

Katherine Choo
Vice President and Chief Counsel, Global Investigations
General Electric Company

Michael Ortwein
Assistant General Counsel & Chief Compliance Officer
General Motors

Kathryn Atkinson
Member, Firm Chair
Miller & Chevalier Chartered

Opening remarks from the Co-Chairs.

FCPA YEAR IN REVIEW

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

Charles Cain
Chief, FCPA Unit
U.S. Securities and Exchange Commission

Kwame J. Manley
Partner
Paul Hastings LLP

Join us as the DOJ and SEC Unit Chiefs provide updates on key developments over the last twelve months, and discuss upcoming enforcement priorities as we transition to 2024.

Key highlights include:

• Expectations for ephemeral messaging and clawbacks
• Corporate and individual enforcement updates
• Where industry has gone right and wrong on compliance
• Clarifying requirements for obtaining cooperation credit
• Insights on voluntary disclosures
• How the DOJ and SEC are working with international authorities

Audience Polling

THE BIG DEBATE
Compensation Clawbacks: A Deterrent or A Detriment? Leading Practitioners Make Their Case

Charles Duross
Partner
Morrison Foerster

Aisling O’Shea
Partner
Sullivan & Cromwell LLP

Laura Perkins
Partner
Hughes Hubbard & Reed

Martin J. Weinstein
Partner
Cadwalader, Wickersham & Taft LLP

Don’t miss out as our panelists debate the pros and cons of the Program, with audience members selecting the winning team via anonymous audience polling! Debate topics include:

• Does the implementation of compensation or bonus clawbacks have the desired deterrent effect?
• Will this have the effect of rewarding companies while unduly penalizing individual employees?
• Is the linear connection between money and compliance realistic?
• Will this shift the burden of corporate wrongdoing away from shareholders onto those directly responsible?
• What are the actual requirements for a discretionary reduction?

Networking Break
Hosted by:

Keynote Address

Nicole Argentieri
Assistant Attorney General (Acting), Criminal Division
U.S. Department of Justice

Future of FCPA Compliance Series

Ephemeral Communications, Cooperation Credit and DOJ Expectations: The Newest, High Stakes Risks on the Line – from Employment Litigation, Data Privacy to FCPA Penalty Exposure

Kenneth Blanco
Chief Compliance Officer, Financial Crimes Unit
Citigroup Inc.

Rebecca Rohr
Head of Corporate & Government Investigations
Ericsson

Neil T. Smith
Partner
K&L Gates LLP

During this critically important panel, speakers will unpack some of the biggest issues and worst case scenarios when trying to meet DOJ expectations for cooperation — and the latest best practices for mitigating multiple layers of liability risks:

• The dilemma with employee personal devices being used for bona fide work purposes
• Tensions and issues that can arise when employees refuse to cooperate with corporate policies
• Deciding whether or not to terminate an employee who refuses to cooperate
• Litigation costs and challenges in the context of privacy and message retrieval
• Revisiting your policy amid the interplay of GDPR risks
• Implementing an e-discovery program relating to messaging app
• When you can ask for employees’ personal devices for review
• Retaining counsel for the employee: Determining your obligations as an employer
• What can help to yield cooperation credit—and what has fallen short

Networking Luncheon (In-Person Only)

Women in FCPA and Anti-Corruption Luncheon (by invitation only)
Sponsored by:

Keynote Address

Nick Ephgrave
Director
Serious Fraud Office (UK)

Breakout sessions A (Select one session)

Track 1: Interactive Benchmarking Series: The Grey Areas of Operationalizing New DOJ Guidance and Policies
Track 2: A New Era of Self-Disclosure and Cooperation Credit – and Your Risk Calculus
Track 3: International Think Tank: Spotlight on Africa

Track 1:

Lauren Kootman
Assistant Chief, Corporate Enforcement, Compliance, and Policy Unit, Fraud Section
U.S. Department of Justice

James J. Gibson
Global Compliance Counsel
Coca-Cola

Natasha Trifun
Executive Director, Head of Compliance, R&D, Global Medical, External Funding & Global Functions
Alexion Pharmaceuticals, Inc.

Rachel Maimin
Partner
Lowenstein Sandler LLP

Dr. Donatus Kaufmann
Strategic Executive GRC Advisor
Kaufmann & Company (Germany)

Track 2:

Brent Wible
Acting Senior Counselor, Criminal Division
U.S. Department of Justice

William P. Barry
Member, Chair, Litigation Department
Miller & Chevalier Chartered

Track 3:

Anders Hvashovd
Vice President & Chief Compliance Officer
Seadrill

Track 1: Interactive Benchmarking Series — The Grey Areas of Operationalizing New DOJ Guidance and Policies: How Companies are Navigating Uncertainty and Upgrading Their Programs

• Concrete examples of program upgrades and compliance pain points
• Testing the effectiveness of your compliance program to show that it is: improving, adapting, and updating the program to ensure that it is sustainable and adapting to changing risks
• Reviewing the qualifications and expertise of your compliance personnel
• Rethinking resource allocation and delivery methods for training
• Fostering and sustaining a strong corporate culture
• Dashboards and other mechanisms for reporting

Track 2: A New Era of Self-Disclosure and Cooperation Credit – and Your Risk Calculus: What Constitutes Immediate Self-Disclosure, and What are the Enhanced Benefits for Full Cooperation?

• Perspectives on what is “immediate”—and what is not
• Analyzing recent DOJ enforcement actions and announcements that define immediate and extraordinary cooperation
• When to involve outside counsel
• The finer points of effective communication with prosecutors
• Any benefits that may be available when a company does not self-disclose, but fully cooperates, and timely and appropriately remediates?

Track 3: International Think Tank: Spotlight on Africa

• How the shifting FCPA enforcement landscape in Africa compares to other high risk markets
• How to adapt your compliance program to the unique, heightened corruption risks associated with doing business in Africa
• Updating internal controls, corporate policies and procedures
• Developing a due diligence approach based on the appropriate risk levels associated with each third party, and across your supply chain
• The impact of recent legislative and enforcement changes
• Navigating cross-border investigations by U.S., African and more international authorities

Networking Break

BREAKOUT SESSIONS B (Select one session)

Track 1: Interactive Benchmarking Series — Revisiting Third-Party and Supply Chain Due Diligence and Monitoring: The Newest Rules of the Road
Track 2: The New Realities of Cross-Border Internal Investigations: The Interplay of Foreign Privacy and Labor Laws, Privilege, Governance Issues and Budget Constraints
Track 3: INTERNATIONAL THINK TANK: SPOTLIGHT ON CHINA
Anti-Corruption, Data Privacy and Geopolitical Risks: Updating Your Blueprint for Navigating Uncertain Legal, Compliance and “On the Ground” Dilemmas
Track 4: Chief Compliance Officer Roundtable

Track 1:

David Kass
Chief Compliance Officer
Verizon

Suzanne Libby
Senior Director, Compliance & Ethics
Capital One

Brian Ong
Senior Managing Director
FTI Consulting

Track 2:

Lisa Miller
Deputy Assistant Attorney General, Criminal Division
U.S. Department of Justice

Kunal Gupta
Partner
Trilegal (India)

Track 4:

Stephanie Davis
Chief Ethics & Compliance Officer
Volkswagen Group of America

Ryan Rohlfsen
Partner
Ropes & Gray LLP

Track 1: Interactive Benchmarking Series — Revisiting Third-Party and Supply Chain Due Diligence and Monitoring: The Newest Rules of the Road

• Factoring in geographical risks into due diligence methodologies
• Onboarding and classifying third party intermediaries and monitoring their activities
• Identifying new risks through the use of alternative diligence methods
• To what extent are companies responsible for the conduct of foreign subsidiaries and ongoing oversight of these entities?
• How much diligence is required on subcontractors and vendors
• New lessons for vetting and monitoring your supply chain amid increasing enforcement

Track 2: The New Realities of Cross-Border Internal Investigations: The Interplay of Foreign Privacy and Labor Laws, Privilege, Governance Issues and Budget Constraints

• Updating standards, manuals, policies, and operating procedures for the international team
• When to involve outside counsel and foreign advisors
• When and when not to investigate new or peripheral red flags
• Deciding if the internal investigation findings should be reported to the company’s board of directors, audit committee, and to U.S. and/or international agencies
• Managing the impact of foreign labor and privacy laws on the scope of internal investigations
• Budgetary impacts of cross-border investigations
• Avoiding inadvertent waivers of privilege — and considering the scope and limits of privilege protections in other jurisdictions

Track 3: INTERNATIONAL THINK TANK: SPOTLIGHT ON CHINA
Anti-Corruption, Data Privacy and Geopolitical Risks: Updating Your Blueprint for Navigating Uncertain Legal, Compliance and “On the Ground” Dilemmas

• How companies and financial institutions are evolving their programs in response to geopolitical tensions with China
• Special considerations for onboarding and monitoring third parties in China
• Revisiting interactions with local government officials and local agencies
• What does it mean to “cooperate” in the Chinese Government context
• Contrasting FCPA vs. local enforcement risks for local and multinational companies
• How the key local agencies communicate with companies, and approach regulatory approvals and investigations

Track 4: Chief Compliance Officer Roundtable

This smaller-group discussion will take a deep dive into the potential worst-case scenarios that keep CCOs up at night. Explore what is on their legal radar and why it should be on yours — and the lesser-known rules for making the right calls under pressure.

• The top 5 risks to flag now, including FCPA, international trade and cybersecurity
• Making tough calls under pressure: Stories on hits and misses—and lessons learned
• Corporate Governance: Winning the board over and resonating
• Securing buy-in for additional resources
• How the CCO role has evolved in recent years—and perspectives on the direction for the role for the next year
• What it takes to drive ethical conduct from the top down
• Embedding global regulatory requirements into your processes and procedures
• Evaluating future, uncertain risks posed by geopolitical tensions, and the challenges of interacting with local government officials

BREAKOUT SESSIONS C

Track 1: Interactive Benchmarking Series — Working Through Complex Risk and Compliance Issues Posed by the Compensation Incentives and Clawbacks Pilot Program: Concrete Examples of Program and Policy Changes
Track 2: FUTURE OF FCPA COMPLIANCE SERIES Leveraging Artificial Intelligence for Legal Matters, Due Diligence and Monitoring
Track 3: DOJ’s Increasing Focus on Individual Accountability for Legal and Compliance Professionals: Defense Counsel Perspectives on Emerging New Liability Trends
Track 4: SPECIAL INDUSTRY GROUP Spotlight on Oil & Gas / Energy

Track 1:

Una Dean
VP, Assistant General Counsel, Head of Global Investigations
IBM

Shana Cappell
Senior Director, Chief Anticorruption/Investigations Counsel
PepsiCo, Inc.

Greg Andres
Partner
Davis Polk & Wardwell LLP

Kimberly A. Parker
Partner
WilmerHale LLP

Sarah Walters
Partner
McDermott Will & Emery

Track 2:

Drew Northern
Vice President, Chief Ethics & Compliance Officer, Cook Group and Chief Integrity, Social Impact and Sustainability
Cook Medical

Todd Swint
Principal, Investigations & Forensics
PwC

James M. Koukios
Partner
Morrison & Foerster LLP

Track 3:

Keith Edelman
Acting Principal Assistant Chief, FCPA Unit, Fraud Section
U.S. Department of Justice

Track 4:

Donald Anderson
Partner
TDI

Mehgan Wichuk
SVP, General Counsel & Chief Compliance Office
Trillium Flow Technologies

Track 1: Interactive Benchmarking Series — Working Through Complex Risk and Compliance Issues Posed by the Compensation Incentives and Clawbacks Pilot Program: Concrete Examples of Program and Policy Changes

• Revisions to the Evaluation of Corporate Compliance Programs (ECCP)
• How organizations have been revisiting their compensation programs
• Challenges to implementation in foreign jurisdictions, including local employment laws
• Determining what an overall “good-faith effort” on the part of companies really means
• Developing the structure and scope of a written clawback policy — and carefully considering who the policy is going to cover:
• officers only?
• senior employees above a certain level?
• all supervisory employees?
• all sales employees?

Track 2: FUTURE OF FCPA COMPLIANCE SERIES Leveraging Artificial Intelligence for Legal Matters, Due Diligence and Monitoring

• Special considerations for designing and updating corporate policies around AI usage
• Training your employees on acceptable policies and practices
• Writing risk statements
• Leveraging AI for centralized transaction monitoring systems
• Addressing concerns about biased outcomes with AI models, including discrimination-based claims
• Navigating the interplay between AI tools, the data that is utilized, and the results and recommendations that are generated
• To what extent you can rely on AI outputs
• Ensuring that any AI solution that is deployed complies with all applicable regulations, including data privacy laws

Track 3: DOJ’s Increasing Focus on Individual Accountability for Legal and Compliance Professionals: Defense Counsel Perspectives on Emerging New Liability Trends

• The status of individual prosecutions, including general counsel, chief compliance officers and accountants
• Recent enforcement actions against individual executives and key takeaways
• Deciding when to self-disclose potential violations
• Reviewing the scope of legal and compliance officers’ obligations to investigate potential red flags and monitor suspicious activity
• The scope of a company’s obligation to retain legal counsel for the employee and take an additional steps

Track 4: SPECIAL INDUSTRY GROUP Spotlight on Oil & Gas / Energy

Participants from your industry will convene separately for smaller-group networking and compliance benchmarking. Expand your industry specific network and exchange the newest best practices that are tailored to the specific realities of your business.

• The compliance and third-party risks specific to each of the components for oil and gas/energy projects: exploration, drilling, facilities support, transport, etc.
• The challenges associated with assets being controlled by state-owned companies
• When (and when not) employees at these state run companies qualify as foreign government officials under the FCPA
• Tailoring local legal and operational requirements to the context of emerging markets

Networking Cocktail Reception

Networking Breakfast
* In-Person Only

Opening Remarks from the Co-Chairs

Katherine Choo
Vice President and Chief Counsel, Global Investigations
General Electric Company

Michael Ortwein
Assistant General Counsel & Chief Compliance Officer
General Motors

Kathryn Atkinson
Member, Firm Chair
Miller & Chevalier Chartered

40^th Annual Conference Spotlight: Former FCPA Unit Chiefs Discuss the Evolving Impact of FCPA Enforcement on Corporate Culture, Risk Management and Compliance Programs – and Predict What’s Next

Christopher Cestaro
Partner
Wilmer Cutler Pickering Hale and Dorr LLP

David Last
Partner
Cleary Gottlieb

Kara Brockmeyer
Partner
Debevoise & Plimpton LLP

Daniel Kahn
Partner
Davis, Polk & Wardwell LLP

Join us for a look back until now with Former FCPA Unit Chiefs — and perspectives on the year ahead as developments continue to unfold.

Concurrent Session

Track 1: Monitorships, DPAs and the Broader Compliance Lessons Learned: Companies and Former Monitors Discuss Life During and After a Monitorship and DPA
Track 2: Special Industry Group (SIG) — Spotlight on Life Sciences

Track 1:

Andrew Gentin
Chief, Corporate Enforcement, Compliance, and Policy Unit, Fraud Section
U.S. Department of Justice

Patrick Murphy
Senior Vice President
Global Head Litigation and Investigations Fresenius Medical Care

Sam Pailca
Associate General Counsel
Microsoft

Michael Anders Skrief
Principal
PwC

Robert A. Johnston
Partner
Lowenstein Sandler LLP

Track 2:

Adam Yoffie
Senior Corporate Counsel, Litigation and Government Investigations
Bristol Myers Squibb

Mara Senn
Executive Global Compliance Leader
GE Healthcare

Matthew Werner
SVP, Chief Compliance & Data Privacy Officer
Bio-Rad Laboratories

Track 1: Monitorships, DPAs and the Broader Compliance Lessons Learned: Companies and Former Monitors Discuss Life During and After a Monitorship and DPA

Join in-house compliance executives and leading outside counsel, as they delve into the lesser known, “behind the scenes” realities of navigating through a monitorship and DPA.

Topics of discussion include:

• Lessons for preventing a breach of a DPA
• Insights on the process, criteria and selection of monitors
• Best practices for managing an independent compliance monitorship
• Promoting systemic change within organizations through interdepartmental cooperation
• Preserving business continuity and addressing stakeholder considerations
• Deterring future misconduct: Concrete examples of policy and training upgrades

Track 2: Special Industry Group

Spotlight on Life Sciences

During this smaller-group session, participants from your industry will convene separately for smallergroup networking and compliance benchmarking. Expand your industry-specific network, and exchange best practices for managing heightened risks that are unique to your business and industry.

Topics for discussion include:

• DOJ enforcement updates in the life sciences context
• How the life sciences industry is updating messaging app policies, procedures, and monitoring
• The latest on managing unique, evolving bribery risk factors for sponsors and CROs
• Life Science-specific considerations for measuring the effectiveness of compliance programs

Networking Break

Special Interview

Breakout sessions D (select one session)

Track 1: Interactive Benchmarking Series — Ephemeral Messaging and Retention Systems: Determining if Your Compliance Function is Fully Equipped to Govern the Use of Personal Devices, Messaging Apps and More
Track 2: What It Now Takes to Successfully Defend Your Compliance Program to the Agencies: Leading Practitioners Share Key Takeaways and Concrete Examples of Unintended, Costly Missteps
Track 3: Developing a Global ESG Compliance Program: The Changing Landscape of ESG and Its Interplay with Anti-Corruption
Track 4: Legal Think Tank on The Cognizant Case: When (and When Not) an Investigation is Considered Outsourced

Track 1:

Candy Lawson
SVP, Chief Compliance Officer and Senior Deputy General Counsel
Comcast (UK)

Peter Blumberg
Managing Director, Legal Compliance and Investigations
FedEx Express

David C. Rybicki
Partner
K&L Gates LLP

Benton Curtis
Partner
McDermott Will & Emery

Stephen O’Malley
Senior Managing Director, Digital Investigations & Discovery
J.S. Held, LLC

Track 2:

Kathryn Atkinson
Member, Firm Chair
Miller & Chevalier Chartered

Daniel Grooms
Partner
Cooley LLP

Corinne A. Lammers
Partner
Paul Hastings LLP

Track 3:

Holly Carr
Managing Director, Forensics
BDO USA, P.A.

Claudius Sokenu
Chief Administrative Officer, General Counsel, and Corporate Secretary
Unisys

Track 1: Interactive Benchmarking Series — Ephemeral Messaging and Retention Systems: Determining if Your Compliance Function is Fully Equipped to Govern the Use of Personal Devices, Messaging Apps and More

• The new regulatory expectations for retaining business records and correspondence
• Updating written policies governing usage, maintenance, and retention
• What is now expected for retention of business records and correspondence, and how is industry overcoming hurdles to implementation?
• The continuing impact of the global pandemic on corporate use of messaging platforms, and how increased usage has impacted compliance
• The necessary skillsets that are required for compliance officers

Track 2: What It Now Takes to Successfully Defend Your Compliance Program to the Agencies: Leading Practitioners Share Key Takeaways and Concrete Examples of Unintended, Costly Missteps

• Demonstrating that companies are designing and implementing effective compliance systems and controls
• Highlighting that the programs are “well designed” and work in practice
• Highlighting the processes for assessing risk and that a program is tailored to match those resources to the specific risk profile
• Demonstrating that a program is working — and how
• Real-world examples and stories — and their compliance lessons

Track 3: Developing a Global ESG Compliance Program: The Changing Landscape of ESG and Its Interplay with Anti-Corruption

• How a company’s reporting on ESG activities can affect the accuracy of its books and records
• Adjusting your third party questionnaires to capture additional ESG concerns, such as how diversity is handled and what environmental goals a third party has
• Leveraging data to assess potential violations, climate risks and compliance issues
• Identifying potential human rights risks associated with business operations and conducting human rights impact assessments
• Assessing self-reported information provided by third parties to assess the overall level of ESG risk

Track 4: Legal Think Tank on The Cognizant Case: When (and When Not) an Investigation is Considered Outsourced?

In this session, our panelists will discuss the finer points of what constitutes an “outsourced” investigation (and what doesn’t), the impact, as well as the motions and potential remedies available.

Designed as a practitioner led, “closed door discussion,” speakers and participants will unpack the nuances of the Cognizant case—and the legal significance of recent developments.

Networking Luncheon
Global Anti-Corruption Advisory Board Luncheon(*Open to Advisory Board Members Only)

Special Interview

Sandra Moser
Partner
Morgan, Lewis & Bockius LLP

Glenn Leon
Chief, Fraud Section
U.S. Department of Justice

Concurrent Session

Track 1: The Anatomy of Whistleblower Complaints and Hotlines – The Good, The Bad & The Ugly: Practitioners Share Lessons Learned When Conducting Interviews, Managing Claims and the Reward Process
Track 2: International Think Tank: Brazil & Mexico – A New Era of Anti-Corruption Enforcement?: Recent Political Changes and their Anticipated Impact on Corporate and Individual Liability

Track 1:

Creola Kelly
Chief, Office of the Whistleblower
U.S. Securities and Exchange Commission

Track 2:

Gerald Moody
Assistant Chief, FCPA Unit, Fraud Section
U.S. Department of Justice

Marisa Peres
Director, Compliance & Data Privacy, Americas
Nissan Motor Corporation

Maria Gonzalez Calvet
Partner
Ropes & Gray LLP

Lisa Vicens
Partner
Cleary Gottlieb

Track 1: The Anatomy of Whistleblower Complaints and Hotlines – — The Good, The Bad & The Ugly: Practitioners Share Lessons Learned When Conducting Interviews, Managing Claims and the Reward Process

• Maximizing the use and effectiveness of hotlines
• Internal reporting vs. proceeding directly to an SEC complaint
• Are whistleblower complaints and internal reporting mechanisms competing systems?
• Have more employees reported directly to the agencies after recent rulings and awards; if so, why?
• To what extent whistleblower complaints are an accurate measure of workplace culture?
• What are the public and corporate impacts of whistleblower awards?

Track 2: INTERNATIONAL THINK TANK: BRAZIL & MEXICO A New Era of Anti-Corruption Enforcement?: Recent Political Changes and their Anticipated Impact on Corporate and Individual Liability

In this session, our panelists will explore the anticipated effects of new Administrations in Brazil and Mexico.

• The potential for increased FCPA and local enforcement for companies that operate in Brazil and Mexico, as well as their legal and compliance executives
• Legislation vs. enforcement in Mexico and Brazil: Dissecting the roles and responsibilities of agencies at the federal, state and municipal levels
• How the key local and international agencies will interface with companies
• Contrasting enforcement risks for local and multinational companies

Networking Break

Closing Town Hall with the DOJ, SEC, Department of State, and FBI

Lorinda Laryea
Principal Deputy Chief, Fraud Section
U.S. Department of Justice

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

Richard Nephew
Coordinator on Global Anti-Corruption
U.S. Department of State

Iris Bennett
Partner
Steptoe & Johnson LLP

PART I:
PANEL DISCUSSION: Participants will gain further insights on cross-agency coordination and investigations.

PART II:
OPEN AUDIENCE Q&A: Engage with the panelists through an extended opportunity for open Q&A with key enforcement and government officials – or feel free to submit your questions to: [email protected]. Your questions will be asked on an anonymous basis.

Conference Concludes