WORKSHOP A

FCPA Boot Camp: A Complete Review of Key Requirements and the Core Components of an Effective Compliance Program

Channing Landreth
Associate Vice President, Managing Counsel
LabCorp

Albert Stieglitz, Jr.
Partner
Alston & Bird LLP

Ephraim (Fry) Wernick
Partner
Vinson & Elkins LLP

Marie Dalton
Director, Strategic Response
Coinbase

Expert faculty members will take a deep dive into the nuts and bolts of FCPA compliance toward laying the groundwork for the rest of the conference. Participants will benefit from a solid foundation, smaller-group learning, enhanced Q & A and helpful reference materials for their daily work after the event.

Topics will include:

• Who is covered by the FCPA
  • Foreign Private Issuers (FPI) — who qualifies?
  • Foreign subsidiaries, joint venture partners?
  • What is the extraterritorial reach of the FCPA?
  • What are the implications for employees, executives and board members?
• Key enforcement agencies, their roles and jurisdictions
• A close look at new, heightened risks affecting organizations and their employees:
  • Criminal liability
  • Civil liability
  • Regulatory actions and shareholder suits
  • Reputational damage
  • Whistleblower complaints
  • Debarment
• What it 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”
• Who is a “foreign official” under the FCPA and how to deal with employees of state owned enterprises
• What does “anything of value” mean?
  • Gifts and entertainment
  • Travel
  • Charitable and political contributions
• What are the exceptions under the FCPA?
• Facilitating payments: limits on “grease”
  • Reasonable and bona fide expenditures
  • Third party due diligence and monitoring requirements
  • Distributors and sub-distributors
  • Agents
  • Consultants
  • Joint venture partners
  • Customs agents and brokers
• Books and records requirements: What it means to maintain records that “accurately and fairly” reflect transactions

Pre-Conference Registration

WORKSHOP B

Interactive Working Group – Third Party & Supply Chain Due Diligence, Monitoring and Risk Management: A Closed-Door Discussion of Proven Best Practices and Costly Missteps to Avoid

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

Doug Cohan
Deputy Compliance Officer, Senior Assistant General Counsel
Hess Corporation

Valerie Lam
Anti-Corruption Compliance Counsel and Risk & Compliance Programs Lead
Dell Technologies

Erin Brown Jones
Partner
Latham & Watkins LLP

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 manage 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 your peers, and benefit from important takeaways for your work. Ample time will be left for Q & A, so please bring your questions!

We will discuss:

• How far you need to go in vetting 1^st, 2^nd, 3^rd, 4^th 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
• 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
• When and how much to train third parties

Pre-Conference Cocktail Reception

Registration & Breakfast

Opening Remarks from the Co-Chairs

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

Daniel Kahn
Partner
Davis, Polk & Wardwell LLP
(Former Deputy Assistant Attorney General of the Criminal Division, U.S. Department of Justice)

Justin Siegel
Vice President & Head of Conduct & Integrity
Goldman Sachs

Opening remarks from the Co-Chairs.

FCPA YEAR IN REVIEW | Part I: DOJ Year in Review

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

David Last
Chief, FCPA Unit
U.S. Department of Justice

Moderator:

Kathryn Atkinson
Member, Firm Chair
Miller & Chevalier Chartered

The highly anticipated kickoff to the flagship event — “Year in Review” — will be enhanced this year to include the FCPA Unit Chiefs, Deputy and Assistant Chiefs from the DOJ and SEC, as they provide key updates and field audience questions on the most pressing enforcement issues.

Part II: SEC Year in Review

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

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

Moderator:

Patrick F. Stokes
Partner
Gibson, Dunn & Crutcher LLP

The highly anticipated kickoff to the flagship event — “Year in Review” — will be enhanced this year to include the FCPA Unit Chiefs, Deputy and Assistant Chiefs from the DOJ and SEC, as they provide key updates and field audience questions on the most pressing enforcement issues.

FCPA and National Security Series

Daniel L. Stein
Partner
Weil, Gotshal & Manges LLP

Matthew Axelrod
Assistant Secretary for Export Enforcement
U.S. Department of Commerce

Kara Brockmeyer
Partner
Debevoise & Plimpton LLP

Mark F. Mendelsohn
Partner
Paul, Weiss, Rifkind, Wharton & Garrison LLP

Christine E. Savage
Partner
King & Spalding LLP

PART I: Sanctions as the New FCPA: The Increasing Overlap of Anti-Corruption and Economic Sanctions – and the Anticipated Impact on Your Compliance Strategy

Last year, the Biden Administration announced that fighting corruption was a core U.S. national security interest and announced its intent to fight illicit finance. In addition, as a result of Russia’s invasion of Ukraine earlier this year, the United States began to issue increasingly punishing economic sanctions and export controls, and Biden administration officials have begun publicly signaling their intention to aggressively enforce them.

The overlap of sanctions and FCPA was confirmed earlier this year when Deputy Attorney General Lisa Monaco emphasized the importance of sanctions and export controls as a DOJ priority, explaining that one way to think about this is as sanctions being the new FCPA. As such, legal and compliance professionals should heed this comparison and take steps to leverage internal resources to strengthen compliance across the board.

In this session, our panelists will explore the interplay and overlap of anti-corruption, national security and economic sanctions. Topics of discussion will include:

• How increased sanctions enforcement will impact FCPA enforcement
• The growing overlap between corporate crime and national security, including: the use of money laundering to evade sanctions; terrorist group financing; and cybercrime
• The proposal that will improve the United States ability to work with international partners to recover assets linked to foreign corruption
• Increasing collaboration across various enforcement authorities who investigate and prosecute such crimes and the impact on the enforcement landscape

SMALLER-GROUP MEETUPS

Networking Break

Defense & Aerospace:

Brooke Horiuchi
Senior Corporate Counsel, Global Compliance Program
Northrop Grumman Corporation

Jennifer Mattis
Director and Lead Counsel, Global Ethics & Compliance, Anti-Corruption Policy and Analysis
Raytheon Missiles & Defense

Andean Region:

Reynaldo Goto
Chief Compliance Officer
BRF

Special Industry Groups (SIGs)
Participants from your industry will convene separately for smaller-group networking and compliance benchmarking. Expand your network, make new industry contacts, and exchange best practices for managing heightened risks affecting your business.
Defense & Aerospace

International Risk & Compliance Exchange
Join this highly anticipated, smaller-group meetup to compare notes on the realities of FCPA and anti-corruption compliance in the Andean Region. A great way to expand your brain trust and connect further with the community!
Andean Region

Special Interview

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

Moderator:

Martin J. Weinstein
Partner
Willkie Farr & Gallagher LLP

Special interview.

The New Realities of Corporate and Individual Liability Risks: Defense Counsel Perspectives on the DOJ’s Enforcement Posture and the Path Ahead

Eric B. Bruce
Partner
Freshfields Bruckhaus Deringer LLP

David N. Kelley
Partner
Dechert LLP

Laura N. Perkins
Partner
Hughes Hubbard & Reed LLP

Ryan Rohlfsen
Partner
Ropes & Gray LLP

Steven E. Fagell
Partner
Covington & Burling LLP

Almost two full years into the Biden Administration is a great time to assess whether the Administration and DOJ are making good on their pledge to surge resources in order to combat corporate crime. The assurances made by the DOJ suggest that they will be routing resources back to investigating financial crimes and also signal that would-be corporate defendants should expect a renewed wave of inquiries. In this session, leading defense counsel will highlight the new realities and some of the areas that the DOJ surge in resources will be allocated, such as:

• The creation of an FBI squad dedicated to the DOJ’s Criminal Division, Fraud Section, and the anticipated impact on investigations
• The nuances of the DOJ’s corporate enforcement policy, and individual liability risks DOJ’s expectations for implementing data analytics—and the impact on compliance program evaluations
• Increased enforcement of sanctions and export controls through the continued use of new tools and innovations
• How the enforcement of cryptocurrency crime will affect FCPA, AML and fraud enforcement
• Stringent enforcement of NPA, DPA, and plea agreement violations, and warning that violations of such agreements may engender more painful results than originally posed by the underlying charges

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

Special Keynote with SFO

Lisa Osofsky
Director
Serious Fraud Office (UK)

Special keynote with SFO.

BREAKOUT SESSIONS A

Track 1: Interactive Benchmarking: Pressurized Compliance
Track 2: Internal Investigations and Crisis Management
Track 3: International Think Tank Series: Spotlight on Brazil

Track 1:

Matt Galvin
Counsel, Compliance & Data Analytics
U.S. Department of Justice

Ibie Falcusan
Assistant General Counsel, Head of Global Trade and Ethics Compliance
Weatherford International

Karyl Van Tassel
Senior Managing Director
J.S. Held, LLC

Mona Patel
Partner
Covington & Burling LLP

Track 2:

Kevin Gingras
Vice President and Associate General Counsel – Litigation & Compliance
Lockheed Martin

Vanessa Salinas Beckstrom
Investigations & Forensics Partner
PwC

Eoin O’Shea
Partner
CMS Legal LLP

Track 2 Moderator:

Edward (Ted) B. Diskant
Partner
McDermott Will & Emery

Track 3:

Salvador Dahan
Executive Director, Chief Governance & Compliance Officer
Petróleo Brasileiro S.A. (Petrobras)

Carlos Ayres
Partner
Maeda, Ayres e Sarubbi Advogados

Salim Jorge Saud Neto
Partner
Saud Advogados

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

Frederick Ratliff
Managing Counsel, Anti-Corruption
Shell

Track 1: Interactive Benchmarking: Pressurized Compliance

Todays compliance function is called upon to address compliance weak spots and mitigate heightened risk factors. In addition, the DOJ’s FCPA Unit will continue to evaluate corporate compliance programs to ensure that companies are designing and implementing effective compliance systems and controls, creating a culture of compliance, and promoting ethical values.

Implementing compliance programs that are well designed and effectively work in practice is challenging, so it is critical to closely monitor your program and build strong controls to detect and prevent misconduct.

Be sure to join this interactive panel as we discuss some of the most vexing challenges confronting the compliance community, and review what the DOJ is looking for, such as:

• Examining the company’s process for assessing risk and building a program that is tailored to then match those resources to the specific risk profile
• Reviewing the qualifications and expertise of your compliance personnel and other gatekeeper roles
• Continuously testing the effectiveness of your compliance program to show that it is: improving, adapting, and updating the program to ensure that its sustainable and adapting to changing risks
• How to truly know if your program is working-—and when to sound the alarm

Track 2: Internal Investigations and Crisis Management

With clear signs that anti-corruption enforcement remains a top DOJ priority, now more than ever companies are focused not simply on prevention and detection but preparedness for the possibility of defending against enforcement activity.

Starting from the first signs of a compliance issue to successful resolution, our panel will discuss best practices for managing internal investigations, reputational risk and more.

• Reviewing the impact of recent DOJ enforcement actions and settlements
• Pitfalls to avoid when assessing confidentiality and privilege
• Best practices for investigations involving former employees
• Creating standards, manuals, policies, operating procedures for the team
• Budget: How much you need to spend and mitigating the risk of spiraling costs
• When to involve outside counsel
• When and when not to investigate new or peripheral red flags
• When to stop: How to know when to conclude the investigation

Track 3: International Think Tank Series: Spotlight on Brazil

The continued focus on cross-border coordinated cases between Brazilian and U.S. authorities highlights risks and challenges for multi-national companies with operations in Brazil.

In this session our regional panel of experts will discuss:

• How to adapt your compliance program to corruption risks in Brazil
• Navigating cross-border investigations by U.S., Brazilian, and other authorities
• Reaching coordinated resolutions with U.S., Brazilian, and other authorities
• The impact of recent legislative and enforcement changes in Brazil on multi-national corporations operating in Brazil
• Legislation vs. enforcement in Brazil: dissecting the roles and responsibilities of Brazilian agencies at the federal, state and municipal levels

SMALLER-GROUP MEETUPS

Networking Break

Life Sciences & Pharmaceutical:

Benton Curtis
Partner
McDermott Will & Emery

Viktoriya Torchinsky-Field
Vice President, Legal
Avantor

Africa:

Shannon Stokes
Assistant General Counsel Legal & Compliance
World Fuel Services

Special Industry Groups (SIGs)
Participants from your industry will convene separately for smaller-group networking and compliance benchmarking. Expand your network, make new industry contacts, and exchange best practices for managing heightened risks affecting your business.
Life Sciences & Pharmaceutical

International Risk & Compliance Exchange
Join this highly anticipated, smaller-group meetup to compare notes on the realities of FCPA and anti-corruption compliance in Africa. A great way to expand your brain trust and connect further with the community!
Africa

BREAKOUT SESSIONS B

Track 1: The Intended (and Unintended) Consequences of Compliance Program Certification: Unpacking the Future of the Compliance Function, and What is “Reasonably Designed”
Track 2: Revisiting Your Self-Disclosure Calculus: New Considerations Amid the Enhancement of Prerequisites to Obtain Cooperation Credit and the Broadened Scope of Prior Misconduct
Track 3: Creating a Best-in-Class ESG Compliance Program: Engaging with Stakeholders and Leveraging Cross Functional Teams to Identify Key Risk Factors and Ensure Compliance

Track 1:

Lisa Miller
Deputy Assistant Attorney General, Fraud and Appellate Sections, Criminal Division
U.S. Department of Justice

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

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

Ruti Smithline
Partner
Morrison & Foerster LLP

Daniel Kahn
Partner
Davis, Polk & Wardwell LLP
(Former Deputy Assistant Attorney General of the Criminal Division, U.S. Department of Justice)

Track 2:

Rita D. Mitchell
Partner
Willkie Farr & Gallagher LLP (UK)

Zane David Memeger
Partner
Morgan, Lewis & Bockius LLP

Kimberly A. Parker
Partner
WilmerHale LLP

James G. Tillen
Member
Miller & Chevalier Chartered

Brian E. Kowalski
Partner
Latham & Watkins LLP

Track 3:

Michael Ortwein
Assistant General Counsel & Chief Compliance Officer
General Motors

William (Widge) Devaney
Partner
Baker McKenzie

Beth Jones
Senior Managing Director, Risk and Investigations
FTI Consulting

William D. Semins
Partner
K&L Gates LLP

Iris Bennett
Partner
Steptoe & Johnson LLP

Track 1: The Intended (and Unintended) Consequences of Compliance Program Certification: Unpacking the Future of the Compliance Function, and What is “Reasonably Designed”

As the DOJ indicated it would earlier in the year, they have officially mandated – as part of resolving a corporate enforcement action – that a Chief Compliance Officer and CEO must certify under penalty of perjury and pursuant to a robust obstruction statute, that their organization’s compliance program is reasonably designed to prevent future violations.

With this expansion of the enforcement process, the C-suite and upper management must now expect these certifications in future resolutions with the DOJ in plea agreements or pre-trial diversion agreements. As such, it is critical for organizations to take the necessary steps to ensure that their compliance and ethics programs are effectively designed to detect and prevent violations of law.

Join us in this session as we discuss the real-world impact of these developments and what it now takes for your program to be “reasonably designed”, such as:

• Your commitment to compliance that highlights the policies, procedures and systems needed for proper oversight
• The extent of due diligence required to ensure that compliance programs are “reasonably designed”
• Conducting periodic risk-based reviews
• Training and guidance initiatives
• Internal reporting and investigation capabilities
• Enforcement and discipline processes – including for third-party relationships
• Assurances in place for seamless and compliant mergers and acquisitions
• Steps in place for effective monitoring, testing and remediation
• Accurately identifying your organization’s risk profile to ensure that your program is well-designed; adequately resourced; and empowered to function effectively
• Assessing risk and building a program that is tailored to match resources that are specific to your risk profile

Track 2: Revisiting Your Self-Disclosure Calculus: New Considerations Amid the Enhancement of Prerequisites to Obtain Cooperation Credit and the Broadened Scope of Prior Misconduct

The DOJ does provide specific benefits to companies that self-disclose in the context of FCPA violations. However, when companies are evaluating whether to self-report violations of the FCPA, it is important to consider a myriad of factors.

The risk calculus is complicated and fact-intensive. During this session, leading outside counsel will discuss key factors to incorporate into your analysis and decision-making:

• Initial considerations regarding the benefits and risks of self-disclosure
• Whether the company is a recidivist
• The practical impact of U.S. disclosure on foreign corruption investigations – will this expose your organization to foreign prosecution?
• The likelihood of similar, but undiscovered, misconduct in other locations or countries in which the company operates
• Assessing the possibility of full cooperation with the DOJ, including the production of documents and witnesses, both within the United States and overseas
• Possible exposure to parallel investigation by another regulator, such as the SEC, and civil litigation
• The company’s compliance program and internal controls and their willingness to enhance that program
• The dynamics of whether self-disclosure will be considered “voluntary”
• Getting the sequencing and the substance right
• Identifying in which order to disclose, how much to say, and to whom

Track 3: Creating a Best-in-Class ESG Compliance Program: Engaging with Stakeholders and Leveraging Cross Functional Teams to Identify Key Risk Factors and Ensure Compliance

An increase in investor and shareholder focus on ESG has further emphasized the link between a robust anti-corruption program and a company’s ESG compliance program.

Recent and expected shifts in the regulatory reporting landscape pushed ESG to the forefront along with anti-corruption. In this session we will review best practices for successfully bringing ESG into the broader due diligence and compliance process, and walk you through the steps needed to implement and sustain a successful ESG program.

Key Takeaways:

• How to define ESG – along with the corresponding strategy, lessons learned, priorities and resources that are needed
• Operationalizing ESG and identifying the key data, metrics and risk factors to prioritize in your program
• Identifying potential human rights risks associated with business operations, including how to effectively conduct human rights impact assessments
• Implementing a technology solution that enables your organization to have a cohesive workflow that can capture and assess anti-corruption and ESG risks
• Assessing self-reported information provided by third parties, and supporting it with independent checks to better understand and verify your ESG footprint and approach
• Finding the right setup for merging ESG and compliance teams, based on: the factors driving your ESG interest; the specific risk profile and tolerance of your organization; and, the types and locations of the work your company does

BREAKOUT SESSIONS C

Track 1: Corporate Culture in Uncertain Times – Influencing Employee Conduct Amid Intensifying Risks and Business Pressures: Concrete Examples of Enhancing Ethical Decision-Making and Compliance Awareness
Track 2: The Big Return of Monitorships: When They Will Be Imposed and How to Satisfy DOJ and Monitor Expectations
Track 3: Easing the Newest Concerns of the Board: What Needs to Be Addressed Moving Forward

Track 1:

Stephanie Davis
Chief Ethics & Compliance Officer
Volkswagen Group of America

Hui Chen
Senior Adviser, R&G Insights Lab
Ropes & Gray LLP

David Kass
Chief Compliance Officer
Verizon

Claire Rajan
Partner
Allen & Overy LLP

Marilyn Batonga
Partner
Baker & McKenzie LLP

Track 2:

Robert A. Johnston
Partner
Lowenstein Sandler LLP

Corinne A. Lammers
Partner
Paul Hastings LLP

Anne Murray
Partner
Orrick Herrington & Sutcliffe LLP

Tim Treanor
Partner
Sidley Austin LLP

Andrew Gentin
Assistant Chief, Fraud Section, Criminal Division
U.S. Department of Justice

Track 3:

John D. Buretta
Partner
Cravath, Swaine & Moore LLP

Lynn Haaland
Chief Compliance and Ethics Officer, Chief Privacy Officer
Zoom Video Communications

Stacey Hanna
General Counsel, E&C
Lonza

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

Jeremy Zucker
Partner
Dechert LLP

Track 1: Corporate Culture in Uncertain Times – Influencing Employee Conduct Amid Intensifying Risks and Business Pressures: Concrete Examples of Enhancing Ethical Decision-Making and Compliance Awareness

With an intensifying enforcement landscape and newfound compliance pressures, there has never been a more crucial time to foster and strengthen an ethical corporate culture.

In this session we will review how to foster and sustain a “see something, say something” culture to ensure that employee concerns and complaints of potential ethical lapses are appropriately handled; by:

• Ensuring the commitment and accountability of senior management, the C-suite and the Board
• Training and educating team members to spot and mitigate compliance risks
• Influencing the behavior of the workforce to develop a strong and ethical culture of compliance through hypotheticals and other alternative methods of training
• Encouraging a view beyond

Track 2: The Big Return of Monitorships: When They Will Be Imposed and How to Satisfy DOJ and Monitor Expectations

Most compliance professionals anticipate that the DOJ’s new policies relating to corporate criminal enforcement will result in greater scrutiny of compliance programs and the imposition of more monitorships.

The recent policy shift is likely indicative of what is to come, as the DOJ seeks to ensure that companies have strong compliance programs in place. In this session we will discuss key components and challenges for a monitorship’s successes and missteps, such as:

• Conditions, process, criteria and selection of monitors
• Steps companies under investigation should take to avoid a monitor
• Best practices for managing an independent compliance monitorship

Track 3: Easing the Newest Concerns of the Board: What Needs to Be Addressed Moving Forward

With the evolving DOJ enforcement posture, program certification and heightened liability risks, what should the Board consider moving forward? Be sure to join us in the interactive session as our group will look to provide answers to some of the most pertinent questions related to the new requirements and corporate governance challenges, such as:

• The impact of the CCO Certification Requirement on Board priorities and concerns
• New types of questions being asked by the Board and how to best address them
• Evolving liability risks for the Board and Board members and perspectives on how to mitigate them
• Winning the Board over: Securing buy-in for key initiatives and resources amid competing priorities

Welcome Back Networking Cocktail Reception

Networking Breakfast

Opening Remarks from the Co-Chairs

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

Daniel Kahn
Partner
Davis, Polk & Wardwell LLP
(Former Deputy Assistant Attorney General of the Criminal Division, U.S. Department of Justice)

Justin Siegel
Vice President & Head of Conduct & Integrity
Goldman Sachs

Opening remarks from the Co-Chairs.

Special Keynote

Nicole Argentieri
Principal Deputy Assistant Attorney General
Department of Justice, Criminal Division

Special Keynote

Compliance Under Pressure: The High Stakes, Evolving Compliance Role, and the Future of Individual Accountability, Global Program Expectations and Certification

Lauren Kootman
Assistant Chief, Fraud Section, Criminal Division
U.S. Department of Justice

Christopher Cestaro
Partner
Wilmer Cutler Pickering Hale and Dorr LLP

James Gargas
Partner
PwC

William Jacobson
Partner
Allen & Overy LLP

Darryl Lew
Partner
White & Case LLP

The Administration and enforcement agencies are putting more resources behind the evaluation of corporate compliance programs than ever before. In addition, when the agencies are considering how to resolve a case with a company, they are increasingly asking for interviews with compliance personnel and data on the effectiveness of a compliance program; they are not just looking at whether a company has a strong program on paper.

The enforcement agencies want to see that the compliance personnel are qualified, trusted by the company, and committed to the goals of the compliance program.

Join us in this session as we delve into:

• Perspectives on the changing expectations for the compliance function
• Re-assessing individual liability risks for C-Level and other executives
• What may trigger a DOJ finding that a certified program is not “reasonably designed”-and the consequences
• The benefits of investing in a meaningful and effective compliance program to limit recidivism
• 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
• Under what circumstances will certifications be required?
• Will there be leadership team directives on when to apply certification requirements?
• Possibility of “penalty of perjury” clause that would subject CEOs and CCOs to personal liability if the DOJ disagrees with their conclusion that the program is “reasonable designed”
• Strengthening detection and prevention of violations of law and company policy
• Verifying that compliance officers have adequate access to – and engagement with – business functions, management, and the board of directors
• Continuously testing the effectiveness of your compliance program to determine if it is functioning effectively

SMALLER-GROUP MEETUPS

Networking Break

Technology & Telecommunications:

Nkechi Iheme
Global Anti-Bribery Lead and Senior Counsel
Google

Oil & Gas / Energy:

Steven G. Gyeszly
Chief Compliance Counsel
Marathon Oil Company

Donald Anderson
Chief Commercial Officer
TDI

Special Industry Groups (SIGs)
Participants from your industry will convene separately for smaller-group networking and compliance benchmarking. Expand your network, make new industry contacts, and exchange best practices for managing heightened risks affecting your business.
Technology & Telecommunications

Special Industry Groups (SIGs)
Participants from your industry will convene separately for smaller-group networking and compliance benchmarking. Expand your network, make new industry contacts, and exchange best practices for managing heightened risks affecting your business.
Oil & Gas / Energy

BREAKOUT SESSIONS D

Track 1: The Messaging Dilemma: Updating Policies, Procedures and Monitoring to Manage the Use of Personal Devices and Third-Party Messaging Applications
Track 2: The SEC’s Enforcement of the FCPA’s Internal Controls Provision: New Lessons from the Latest Cases and What Is (and Isn’t) “Adequate”
Track 3: International Think Tank Series: Spotlight on China

Track 1:

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

Daniel Grooms
Partner
Cooley LLP

Justin Ross
Staff Vice President, Chief Compliance Officer
FedEx Corporation

Harris Fischman
Partner
Paul Weiss Rifkind Wharton & Garrison LLP

Andrew Levine
Partner
Debevoise & Plimpton LLP

Track 2:

Robert Dodge
Assistant Director, FCPA Unit
U.S. Securities and Exchange Commission

Andrew Coles
Partner
Resolution Economics LLC

Rachel Maimin
Partner
Lowenstein Sandler LLP

Cheryl J. Scarboro
Partner
Simpson Thacher & Bartlett LLP

Steven A. Tyrell
Managing Partner
Weil, Gotshal & Manges LLP

Track 3:

Daisuke Fukamizu
Partner
Nagashima Ohno & Tsunematsu (Japan)

Justin Siegel
Vice President & Head of Conduct & Integrity
Goldman Sachs

Helen Hwang
Partner
Covington & Burling LLP

Pei Li Wong
Partner
BDO USA, LLP

Track 1: The Messaging Dilemma: Updating Policies, Procedures and Monitoring to Manage the Use of Personal Devices and Third-Party Messaging Applications

As companies grapple with realities of the new work-from-home era, the issue of employees utilizing personal devices and third-party messaging applications for business communications has become more acute than ever.

Recent DOJ guidance and SEC investigations highlight the high priority that regulators and law enforcement are placing on off-systems messaging communications. Join this session of experts to discuss how companies are tackling this thorny issue and its impact on compliance and investigations.

Topics for discussion include:

• Utilizing archiving tools that allow the organization to capture and retain content
• The new expectations for retaining business records and correspondence
• Best practices for ensuring that there is a specific business justification for the use of ephemeral messaging
• Adopting written policies governing the use, maintenance, and retention related to ephemeral messaging that specifically address litigation and regulatory responsibilities
• Providing regular, documented training about the appropriate use of ephemeral messaging
• Imposing appropriate and recorded discipline for instances in which employee misconduct occurs in violation of company policies

Track 2: The SEC’s Enforcement of the FCPA’s Internal Controls Provision: New Lessons from the Latest Cases and What Is (and Isn’t) “Adequate”

A company’s responsibility for its internal controls extends to its overall compliance program. As such, it is critical for a company trying to avoid internal accounting controls violations to focus on preventing corrupt payments of any kind, even if those payments would not strictly violate the FCPA provisions.

In this session, our experts will discuss how industry can strengthen controls with examples of what is adequate and also review where organizations have gone wrong.

Topics for discussion include:

• The latest no bribery cases enforcing the internal controls provisions against issuers
• Confirming that employees in finance and accounting functions and in higher-risk roles, appreciate their obligations help the company to manage risk
• Correcting inaccurate books and records and confirming that they have a well-documented account of how they addressed any control deficiencies
• 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
• Achieving cross-department collaboration to assist in identifying systematic patterns of bribery and lapses in controls

Track 3: International Think Tank Series: Spotlight on China

With the interplay of geopolitical tension, an ongoing trade war, national security and anti-corruption risks; doing business in China poses unprecedented risk factors. In addition, there are contrasting enforcement risks for local vs. multinational companies.

Multinationals are re-assessing their risk in China amid proposed data security protection laws; the Anti-Foreign sanctions law; China/U.S. policy updates; and recent enforcement actions in the region.

Be sure to join us in this session as our experts take a look at the new landscape of compliance and enforcement risks and the interplay of geopolitics and other high stakes issues.

Topics to be discussed include:

• How companies and financial institutions are evolving their programs in response to geopolitical tensions with China
• Revisiting interactions with local government officials and local agencies
• Contrasting enforcement risks for local and multinational companies
• How the key local agencies communicate with companies, and approach regulatory approvals and investigations
• The end of DOJ’s China Initiative, and how walking back the initiative will affect China-related FCPA enforcement
• How to support your business development and marketing in the wake of China’s Anti-Unfair Competition Law
• Mitigating new compliance risks posed by China’s new social credit system
• How China’s data governance regulation has impacted anti-bribery compliance strategies

Networking Luncheon
FCPA and Anti-Corruption Advisory Board Meeting (by invitation only)

FCPA and National Security Series

Andrew Adams
Director, Task Force KleptoCapture
U.S. Department of Justice

David C. Rybicki
Partner
K&L Gates LLP

Leo Tsao
Partner
Paul Hastings LLP

PART II:
Task Force KleptoCapture: Enforcing Sanctions, Export Restrictions and Economic Countermeasures Levied Against Russian Officials and Oligarchs.

On March 2^nd, the DOJ announced the creation of the interagency Task Force KleptoCapture (the Task Force) to enforce the sanctions, export restrictions, and economic countermeasures against Russian officials and oligarchs in response to the conflict in Ukraine. The formation of the Task Force follows an increased awareness of the destabilizing threat of kleptocracies to national security, as outlined in a June 2021 White House National Security Memorandum that established the fight against corruption as a core national security policy.

The Task Force works cooperatively with the transatlantic task force that President Biden, leaders of the European Commission, France, Germany, Italy, the United Kingdom, and Canada announced in February. Where violators cannot be detained, assets will be seized and forfeited; and information will be shared with foreign partners to further assist with the identification and recovery of assets abroad.

In this session, our panel of exports will discuss the resources and tools that the Task Force is leveraging for enforcement, such as:

• Access to advanced investigative tools:
  • Data analytics
  • Cryptocurrency tracing
  • Foreign intelligence sources
  • Information from financial regulators and private sectors partners
• Coordination with the recently established National Cryptocurrency Enforcement Team
• Enhanced subpoena authority under the recently enacted Anti-Money Laundering Act of 2020

General Counsel Exchange

Sandra Moser
Partner
Morgan, Lewis & Bockius LLP

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

Ashley Watson
General Counsel, Medical Devices
Johnson & Johnson

Nick Barnaby
Deputy General Counsel and Assistant Corporate Secretary
General Dynamics Corporation

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

Our panel of General Counsel from leading organizations will offer their perspectives on some of the strategic “big picture” issues to address in 2023, including:

• How to align legal department activities with the strategic goals of the business – while striving to maintain an effective compliance program
• Determining the messaging that is needed to convey the necessity and value of the corporate compliance program
• How General Counsel are evaluating and prioritizing risks for 2023
• Implementing cost-containment strategies that won’t diminish the compliance program
• Examining the scope of legal exposure amid the increased focus and increased resources allocated to enforcement programs
• The outlook of General Counsel for compliance, enforcement, and the budget increases that will likely be needed to remain compliant

SMALLER-GROUP MEETUPS

Networking Break

Mexico:

Michael Koenig
Global Chief Ethics & Compliance Officer
JBS

Salvador Dahan
Executive Director, Chief Governance & Compliance Officer
Petróleo Brasileiro S.A. (Petrobras)

Southeast Asia:

Marianne Ibrahim
Chief Compliance Officer
ChampionX

International Risk & Compliance Exchange
Join this highly anticipated, smaller-group meetup to compare notes on the realities of FCPA and anti-corruption compliance in Southeast Asia. A great way to expand your brain trust and connect further with the community!
Southeast Asia

International Risk & Compliance Exchange
Join this highly anticipated, smaller-group meetup to compare notes on the realities of FCPA and anti-corruption compliance in Mexico. A great way to expand your brain trust and connect further with the community!
Mexico

Life Before, During and After an FCPA Settlement

Steve Cohen
Partner
Sidley Austin

Andrew J. Dunbar
Chief Compliance Officer, SVP
Herbalife Nutrition

Sarah Walters
Partner
McDermott Will & Emery

James M. Koukios
Partner
Morrison & Foerster LLP

Be sure to join us for this session as our panelists share first-hand accounts of the challenges and successful strategies that were implemented before, during and after enforcement actions — and lesser-known, “on the ground” takeaways for confronting worst case scenarios.

Closing Town Hall with the DOJ, SEC, FBI

Greg Andres
Partner
Davis Polk & Wardwell LLP

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

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

Amie Stemen
Supervisory Special Agent
Federal Bureau of Investigation

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

PART II: OPEN AUDIENCE Q&A
Engage with the panelists through an extended opportunity for open Q&A with key enforcement officials — or feel free to submit your questions anonymously to: [email protected].

Conference Concludes