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