2022 Agenda
- Jump to:
- At a Glance
- Day 1
- Day 2
- Day 3
- Add-Ons
- Print-friendly Format
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 BThe 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 |
5:30 |
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 – 05:30 PM
Speakers
Jannette Hasan
Corporate Director, Assistant General Counsel, Global Compliance Program
Northrop Grumman Corporation Law Department
Marnee Rand
Trial Attorney, Corporate Enforcement, Compliance, and Policy Unit, Fraud Section
U.S. Department of Justice
Frederick Ratliff
Managing Counsel, Anti-Corruption
Shell
Caitlin Sheard
Senior Associate
Orrick Herrington & Sutcliffe LLP
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 SettlementsSusanne M. Hanchar Brian E. Spears Shannon Stokes 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:
|
2:00 |
Workshop BThe 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 ManagementJannette Hasan Marnee Rand Frederick Ratliff Caitlin Sheard 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:
|
5:30 |
Sponsored by: |
Day 2 - Wednesday, November 29, 2023
7:30 |
Sponsored by: |
8:30 |
Opening Remarks from the Co-ChairsKatherine Choo Michael Ortwein Kathryn Atkinson |
8:45 |
FCPA Year in ReviewDavid Fuhr Charles Cain Kwame J. Manley 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:
|
9:45 |
Audience PollingTHE BIG DEBATE
|
10:45 |
Hosted by: |
11:15 |
Keynote AddressNicole 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 ExposureKenneth Blanco David N. Kelley Rebecca Rohr Neil T. Smith Patrick F. Stokes 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:
|
12:45 |
Women in FCPA and Anti-Corruption Luncheon (by invitation only) Sponsored by: |
2:00 |
The SFO and the Renewed UK Enforcement LandscapeSara Chouraqui Vanessa Sisti |
2:40 |
Track 1: Interactive Benchmarking Series: The Grey Areas of Operationalizing New DOJ Guidance and PoliciesLauren Kootman James J. Gibson Natasha Trifun Rachel Maimin Dr. Donatus Kaufmann
|
2:45 |
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?Brent Wible William P. Barry Erin Brown Jones Darryl Lew John J. Pease III
|
2:50 |
Track 3: International Think Tank: Spotlight on AfricaAnders Hvashovd William J. Stellmach Keith Edelman
|
3:35 |
|
4:05 |
Track 1: Interactive Benchmarking Series — Revisiting Third-Party and Supply Chain Due Diligence and Monitoring: The Newest Rules of the RoadMatthew Cohen Salim Jorge Saud Neto David Kass Brian Ong
|
4:10 |
Track 2: The New Realities of Cross-Border Internal Investigations: The Interplay of Foreign Privacy and Labor Laws, Privilege, Governance Issues and Budget ConstraintsLisa Miller Sarah Coyne William (Widge) Devaney Kunal Gupta Andrew Levine
|
4:15 |
International Think Tank: Spotlight on ChinaTrack 3: Anti-Corruption, Data Privacy and Geopolitical Risks: Updating Your Blueprint for Navigating Uncertain Legal, Compliance and “On the Ground” DilemmasBingna Guo Claire Rajan Philippe Oudinot
|
4:20 |
Track 4: Chief Compliance Officer RoundtableStephanie Davis Angela Main Julia Symon Jeremy Zucker 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.
|
5:05 |
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 ChangesUna Dean Shana Cappell Greg Andres Kimberly A. Parker Sarah Walters
|
5:10 |
Future of FCPA Compliance SeriesTrack 2: Leveraging Artificial Intelligence for Legal Matters, Due Diligence and MonitoringDrew Northern Todd Swint James M. Koukios Michael Ward
|
5:15 |
Track 3: DOJ’s Increasing Focus on Individual Accountability for Legal and Compliance Professionals: Defense Counsel Perspectives on Emerging New Liability TrendsGina Castellano Eugene Ingoglia Adam Siegel Courtney Trombly
|
5:20 |
Special Industry GroupTrack 4: Spotlight on Oil & Gas / EnergyDonald Anderson Mehgan Wichuk 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.
|
6:00 |
|
Day 3 - Thursday, November 30, 2023
8:15 |
|
9:25 |
Opening Remarks from the Co-ChairsKatherine Choo Michael Ortwein Kathryn Atkinson |
9:30 |
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 NextChristopher Cestaro David Last Kara Brockmeyer Daniel Kahn Mark Mendelsohn Join us for a look back until now with Former FCPA Unit Chiefs — and perspectives on the year ahead as developments continue to unfold. |
10:45 |
Track 1: Monitorships, DPAs and the Broader Compliance Lessons Learned: Companies and Former Monitors Discuss Life During and After a Monitorship and DPAAndrew Gentin Billy Jacobson Patrick Murphy Sam Pailca Michael Anders Skrief 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:
|
11:00 |
Track 2: Special Industry Group – Spotlight on Life SciencesAdam Yoffie Mara Senn Matthew Werner 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:
|
11:45 |
Sponsored by: |
12:15 |
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 MoreCandy Lawson Peter Blumberg David C. Rybicki Benton Curtis Stephen O’Malley
|
12:30 |
Track 2: What It Now Takes to Successfully Defend Your Compliance Program to the Agencies: How to Demonstrate Effectiveness and Avoid PitfallsKathryn Atkinson Andrew Coles Daniel Grooms Corinne A. Lammers Lewis Zirogiannis Kyle Clarke
|
12:45 |
Track 3: Developing a Global ESG Compliance Program: The Changing Landscape of ESG and Its Interplay with Anti-CorruptionHolly Carr Esther Flesch Claudius Sokenu
|
1:00 |
Legal Think TankTrack 4: The Grey Areas of the New M&A Safe Harbor Policy: Practitioners Dissect the Legal and Practical ImplicationsKatherine Choo Michael Buckner Brian Benczkowski With the recent announcement of the Safe Harbor Policy, the DOJ continues to highlight the importance of prompt self-disclosure, which now encompasses the M&A context. The new Policy goes beyond antitrust and FCPA, so corporations and legal practitioners will grapple with how to plan for the six-month VSD and 12-month remediation deadlines. Be sure to join this interactive and informative session as our panel of experts discuss the big-ticket risks, deadlines, and steps needed to qualify for the program. Topics will include:
|
1:15 |
Global Anti-Corruption Advisory Board Luncheon (*Open to Advisory Board Members Only) |
2:30 |
Special InterviewGlenn Leon Sandra Moser |
3:15 |
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 ProcessCreola Kelly Brian E. Kowalski Rita D. Mitchell Brian Mich
|
3:30 |
Internal Think Tank: Brazil & MexicoTrack 2: A New Era of Anti-Corruption Enforcement? Recent Political Changes and their Anticipated Impact on Corporate and Individual LiabilityGerald Moody Jonathan Adams Marisa Peres Maria Gonzalez Calvet Lisa Vicens In this session, our panelists will explore the anticipated effects of new Administrations in Brazil and Mexico.
|
4:15 |
Sponsored by: |
4:45 |
Closing Town Hall with the DOJ, SEC, Department of State, and FBILorinda Laryea Tracy Price Richard Nephew Iris Bennett Patrick Killeen PART I PART II Your questions will be asked on an anonymous basis. |
5:45 |
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
Jannette Hasan
Corporate Director, Assistant General Counsel, Global Compliance Program
Northrop Grumman Corporation Law Department
Marnee Rand
Trial Attorney, Corporate Enforcement, Compliance, and Policy Unit, Fraud Section
U.S. Department of Justice
Frederick Ratliff
Managing Counsel, Anti-Corruption
Shell
Caitlin Sheard
Senior Associate
Orrick Herrington & Sutcliffe LLP
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