2023 Agenda

Conference Program
Flip through our 2023 conference brochure and discover what’s new this year.
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Day 1 - Tuesday, November 28, 2023
Workshop A — FCPA Basic Training: A Step-by-Step Guide to Key Requirements, Enforcement Actions and Settlements
Nov 28, 2023 9:30am – 01:00 PM
Speakers

Susanne M. Hanchar
Associate Vice President – Global Ethics and Compliance, Anti-Corruption & Investigations
Eli Lilly and Company

Brian E. Spears
Partner
Spears Manning & Martini LLC

Shannon Stokes
Assistant General Counsel Legal & Compliance
World Fuel Services
9:30 |
WORKSHOP AFCPA Basic Training: A Step-by-Step Guide to Key Requirements, Enforcement Actions and Settlements |
2:00 |
WORKSHOP BA 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 |
6:00 |
![]() Welcome Cocktail Reception Sponsored by: ![]() |
Post-Conference Workshop
Workshop B — The Nuts and Bolts of DOJ’s Guidance and the Core Components of an Effective Compliance Program: From Risk Assessments, Internal Controls and Policies, to Third Party Management
Nov 28, 2023 2:00pm – 05:00 PM
Speakers

Marnee Rand
Trial Attorney, Corporate Enforcement, Compliance, and Policy Unit, Fraud Section
U.S. Department of Justice

Frederick Ratliff
Managing Counsel, Anti-Corruption
Shell
Day 2 - Wednesday, November 29, 2023
Day 3 - Thursday, November 30, 2023
Day 1 - Tuesday, November 28, 2023
9:30 |
WORKSHOP AFCPA Basic Training: A Step-by-Step Guide to Key Requirements, Enforcement Actions and Settlements |
2:00 |
WORKSHOP BA 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 |
6:00 |
![]() Welcome Cocktail Reception Sponsored by: ![]() |
Day 2 - Wednesday, November 29, 2023
7:30 |
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8:30 |
Opening Remarks from the Co-Chairs![]() Katherine Choo ![]() Michael Ortwein ![]() Kathryn Atkinson Opening remarks from the Co-Chairs. |
8:45 |
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9:45 |
Audience Polling
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10:45 |
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11:15 |
Keynote Address![]() Nicole Argentieri |
11:45 |
Future of FCPA Compliance SeriesEphemeral 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 ![]() Rebecca Rohr ![]() Neil T. Smith 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:
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12:45 |
Networking Luncheon (In-Person Only)
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2:00 |
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2:40 |
Breakout sessions A (Select one session)Track 1: Interactive Benchmarking Series: The Grey Areas of Operationalizing New DOJ Guidance and Policies
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3:35 |
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4:05 |
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
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5:05 |
BREAKOUT SESSIONS CTrack 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
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6:00 |
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Day 3 - Thursday, November 30, 2023
8:15 |
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9:10 |
Opening Remarks from the Co-Chairs![]() Katherine Choo ![]() Michael Ortwein ![]() Kathryn Atkinson |
9:15 |
40th 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 ![]() David Last ![]() Kara Brockmeyer ![]() Daniel Kahn Join us for a look back until now with Former FCPA Unit Chiefs — and perspectives on the year ahead as developments continue to unfold. |
10:15 |
Concurrent SessionTrack 1: Monitorships, DPAs and the Broader Compliance Lessons Learned: Companies and Former Monitors Discuss Life During and After a Monitorship and DPA
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11:15 |
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11:45 |
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12:15 |
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
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1:15 |
Networking Luncheon
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2:15 |
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2:45 |
Concurrent SessionTrack 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
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3:45 |
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4:15 |
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5:00 |
Conference Concludes |
Workshop A — FCPA Basic Training: A Step-by-Step Guide to Key Requirements, Enforcement Actions and Settlements

Susanne M. Hanchar
Associate Vice President – Global Ethics and Compliance, Anti-Corruption & Investigations
Eli Lilly and Company

Brian E. Spears
Partner
Spears Manning & Martini LLC

Shannon Stokes
Assistant General Counsel Legal & Compliance
World Fuel Services
What is it about?
Our Workshop Faculty will take a deep dive into critical FCPA compliance components; and lay the foundation for the main conference discussions. Workshop participants will gain a solid foundation through smaller-group learning, interactive Q & A, and will benefit from speaker-prepared reference materials to take back to the office after the conference.
Topics for discussion include:
- Who is included in the FCPA
- Foreign Subsidiaries and Private Issuers, joint venture partners — who qualifies?
- A geographic breakdown and discussion on the full reach of the FCPA
- What is the potential exposure for employees, executives and board members?
- A look at some of the important domestic and global enforcement agencies, including their roles and jurisdictional reach
- The core components of the DOJ Compensation Clawback Pilot program
- An in-depth look at some of the new and intensifying risks affecting organizations and their employees:
- Individual criminal liability
- Civil liability
- Corporate culture implications
- Reputational damage
- Whistleblower complaints
- What it truly 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”
- The classification of exactly who a “foreign official” is under the FCPA; and expectations for working with representatives and employees of state-owned organizations
- Clarification of “anything of value”; including:
- Gifts and entertainment
- Travel
- Charitable and political contributions
- Available exceptions under the FCPA
- Orchestrating payments:
- Reasonable and bona fide expenditures
- Monitoring and third-party due diligence
- Agents / Consultants / Joint venture partners
- Customs agents and brokers
- What it means to maintain records that “accurately and fairly” reflect transactions
Workshop B — The Nuts and Bolts of DOJ’s Guidance and the Core Components of an Effective Compliance Program: From Risk Assessments, Internal Controls and Policies, to Third Party Management

Marnee Rand
Trial Attorney, Corporate Enforcement, Compliance, and Policy Unit, Fraud Section
U.S. Department of Justice

Frederick Ratliff
Managing Counsel, Anti-Corruption
Shell
What is it about?
The DOJ announced significant updates to its corporate compliance programs guidance, corporate criminal enforcement policies, as well as an increase of enforcement resources to address national security concerns.
The updates to the Guidance send a clear message that DOJ continues to heighten expectations, and will closely evaluate the design and effectiveness of compliance programs.
This practical session — designed for organizations with diverse size, operational and organizational complexities, and varying resources — will delve into the finer points of the DOJ Guidance, and the building blocks for an effective compliance and third-party management program, including:
- Developing your risk profile, conducting risk assessments and identifying compliance weak spots
- Customizing your program by developing an understanding of the current state of affairs; finding out what risks already exist; and documenting the key company processes, systems, and transactions that need to be monitored
- Mapping out the potential risk contact points that exist throughout the company
- Best practices for periodically updating risk assessment priorities
- How to continuously test the effectiveness of a compliance program, to show that it is improving, adapting and sustainable
- Satisfying obligations to report on the status of the compliance program
- Monitoring and auditing compliance program components, as well as reporting on current or anticipated enhancements
- How to truly know if your program is working—and when to sound the alarm
- What it now takes, and the extent of due diligence required for your program to be “reasonably designed”
- When and how much due diligence to perform for an ongoing, existing third-party relationship
- When and how much to train third parties
- Identifying the solutions and applications that are needed to risk-rank transactions and geographic regions; to readily identify areas that require enhanced third party due diligence
- Best practices for advising the organization on internal controls; including through legal, compliance and financial perspectives
- Identifying common examples of inadequate internal controls and related program deficiencies to avoid