Day 1 - Tuesday, July 14, 2020

9:30
Opening Remarks from the Co-Chairs and “Ice-Breaker” Audience Polling
9:45

SPECIAL REMARKS & INTERVIEW

The DOJ Criminal Division’s Priorities: The Evaluation of Corporate Compliance Programs, Fraud Enforcement and More
10:30

VIRTUAL SPEAKER-AUDIENCE ROUNDTABLE DISCUSSION WITH LIVE POLLING

CORPORATE AND INDIVIDUAL LIABILITY: Your New Reality of Risk in the Wake of Covid-19? How Multinationals and Outside Counsel are Re-Evaluating Extra-Territorial Corporate and Individual Enforcement Risks
11:15
Break
12:00

VIRTUAL COMPLIANCE BRAINSTORMING

Operating In-Person and Remotely Amid Financial Pressure: The Most Critical, New Dilemmas, Lessons and Innovative Practices for The Way Forward

Part 1
12:30

VIRTUAL COMPLIANCE BRAINSTORMING

Operating In-Person and Remotely Amid Financial Pressure: The Most Critical, New Dilemmas, Lessons and Innovative Practices for The Way Forward

Part 2
1:00
Break
2:00

GENERAL COUNSEL INTERVIEW

Life During and After a Public Health Crisis
2:30

THE INDEPENDENT AUDITOR VS. ISSUER

Inside the Auditor-Issuer Relationship: The Most Common Conundrums and How to Solve Them
3:00

VIRTUAL Q&A FOR MESSAGING APPS

Handling Ephemeral Communications Post-DOJ Revised Guidance: What Industry Is Doing to Meet New Expectations
3:45
Break
4:30

CASE STUDIES WITH AUDIENCE POLLING

BEHAVIORAL COMPLIANCE AND THE VERDICT ON INCENTIVES, PREDICTIVE ANALYTICS AND AI: What Works and What Doesn’t – What It Really Takes to Drive Ethical Conduct
5:15
Conference Adjourns

Day 2 - Wednesday, July 15, 2020

9:30
Opening Remarks from the Co-Chairs
9:35

SUBMIT YOUR QUESTIONS ANONYMOUSLY BEFORE OR DURING THE PANEL

VIRTUAL GOVERNMENT TOWN HALL: Enforcement Decision-Makers Discuss Cross-Border Coordination, Cooperation, Global Settlements and Emerging Trends
10:15

LIVE AUDIENCE POLLING

MAINTAINING AN ETHICAL CULTURE IN TIMES OF INCREASED FRAUD AND CORRUPTION RISKS: How Industry is Revisiting Employee Hotlines, Messaging, Training and Program Implementation
11:15
Break
12:00

LEGAL THINK TANK – YOUR DISCLOSURE CALCULUS AND THE INTERPLAY OF PRIVACY LIMITS

The Grey Areas of Self-Disclosure: If, When and How Much to Disclose in the U.S. and Across Jurisdictions
12:45
REMOTE INVESTIGATIONS: Conducting Investigations and Interviewing Witnesses Virtually
1:15
Break
2:15

LIVE AUDIENCE Q&A

TOWN HALL: SPECIAL INTERVIEW WITH UNITED STATES ATTORNEYS
3:00

LIVE AUDIENCE POLLING

M&A IN TIMES OF CRISIS: DO YOU PRESS ON OR PUT THE DEAL ON HOLD?: Your Most Burning Questions Answered on Risk Assessments, Integration, Transaction Testing, Training and DOJ Guidance
3:45

INTERACTIVE DISCUSSION

Reflecting on the Key Takeaways from the Conference
4:30
Conference Concludes

Day 1 - Tuesday, July 14, 2020

9:30
Opening Remarks from the Co-Chairs and “Ice-Breaker” Audience Polling

Hollie K. Foust
Senior Vice President, Legal & Compliance
Cardinal Health

Janet Broeckel
Managing Director, Litigation and Regulatory Matters
Goldman Sachs (New York, NY)

Paloma Valor
Chief Trust & Compliance Officer, Vice President & Assistant General Counsel
IBM

James P. Loonam
Partner
Jones Day (Washington, DC)

9:45

SPECIAL REMARKS & INTERVIEW

The DOJ Criminal Division’s Priorities: The Evaluation of Corporate Compliance Programs, Fraud Enforcement and More

Brian C. Rabbitt
Principal Deputy Assistant Attorney General
U.S. Department of Justice

Moderator:

Ben Barnett
Partner
Dechert LLP

10:30

VIRTUAL SPEAKER-AUDIENCE ROUNDTABLE DISCUSSION WITH LIVE POLLING

CORPORATE AND INDIVIDUAL LIABILITY: Your New Reality of Risk in the Wake of Covid-19? How Multinationals and Outside Counsel are Re-Evaluating Extra-Territorial Corporate and Individual Enforcement Risks

Scott Schools
Chief Compliance and Ethics Officer
Uber Technologies Inc.

Peter G. Jensen
Vice President – Risk Management & Compliance
Arthrex, Inc.

Moderator:

Erin G.H. Sloane
Partner
Wilmer Cutler Pickering Hale and Dorr LLP

Benefit from this unique opportunity to maximize benchmarking, Q&A and conversation in a virtual format. Rather than just sitting at your desk and following a discussion, this panel presents real opportunities to actively partake in the conversation, ask questions and share war stories.

  • Important, new trends and pressing issues to flag now as legal, compliance, financial and other corporate gatekeepers face increasing and unprecedented liability risks as individuals
  • In-house and outside counsel, compliance officers and financial executives under the microscope: Defense counsel perspectives on emerging new liability trends
  • The move toward prosecutions of corporate gatekeepers in particular, including general counsel, chief compliance officers and accountants
  • Scope of the legal and compliance officers’ obligations to investigate potential red flags and monitor suspicious activity
  • Recent enforcement actions against individual executives and key takeaways
  • Approaches to the legal, compliance and financial roles amid developments in the U.S. and globally, and in response to internal corporate and industry pressures

11:15
Break
12:00

VIRTUAL COMPLIANCE BRAINSTORMING

Operating In-Person and Remotely Amid Financial Pressure: The Most Critical, New Dilemmas, Lessons and Innovative Practices for The Way Forward

Part 1

Robert A. Ladd
Vice President, Global Head Ethics, Risk & Compliance, Oncology
Novartis

Sara Elizabeth Kramvis
Vice President, Anti-Bribery & Corruption Compliance
Société Générale

Program Efficiency: How Industry is Leveraging Anti-Corruption Program Resources for AML, Fraud, Antitrust, Trade and Sanctions Compliance

  • How compliance teams can/should assess related risks
  • Create, don’t duplicate: Identifying tools and tasks that your various compliance teams all need (screening, due diligence, etc.)
  • “Spotting the issue:” Training compliance teams to ask the right questions
  • Convergence of compliance expectations of regulators (DOJ, OFAC, etc.)
  • How to identify common risks across various compliance programs

12:30

VIRTUAL COMPLIANCE BRAINSTORMING

Operating In-Person and Remotely Amid Financial Pressure: The Most Critical, New Dilemmas, Lessons and Innovative Practices for The Way Forward

Part 2

Jennifer H. Saperstein
Partner
Covington & Burling LLP

Jeremy Taylor
Vice President, Associate Counsel – Litigation and Chief Compliance Officer
Dover Corporation

ABC Program Testing and Metrics: What It Takes to Meet DOJ Expectations and Measure Effectiveness Amid Financial Pressure

  • Metrics to score your global program: How companies are selecting and utilizing key risk indicators to measure success and weak spots
  • Measuring the ROI and real-life effectiveness of new initiatives: Navigating the trial and error process as the compliance standard increases
  • How to score the success of your compliance program from an implementation standpoint
  • Key performance and risk indicators
  • Which qualitative and quantitative metrics are being used and how
  • How government compliance expectations and big ticket FCPA enforcement actions have affected the use of metrics
  • Metrics that have proven useful in the context of measuring compliance upgrades and culture changes
  • The effectiveness and shortfalls of certain metrics, such as communications, leadership, HR, innovation, job performance, accountability, mission, values, turnover, compliance spend and representation of compliance staff in the C-Suite

1:00
Break
2:00

GENERAL COUNSEL INTERVIEW

Life During and After a Public Health Crisis

Cari Robinson
Executive Vice President, General Counsel
Revlon

Douglas Lankler
Executive Vice President, General Counsel
Pfizer

Moderator:

Greg Andres

Greg D. Andres
Partner
Davis Polk & Wardwell LLP

Lending additional context to the rest of the conference and, in particular, in the context of the wake of the Covid-19 pandemic, participants will benefit from strategic insights at the highest level on the most pressing risks of the present and moving forward.

2:30

THE INDEPENDENT AUDITOR VS. ISSUER

Inside the Auditor-Issuer Relationship: The Most Common Conundrums and How to Solve Them
Karyl Van Tassel

Karyl Van Tassel
Senior Managing Director
BDO

F. Joseph Warin
Partner
Gibson, Dunn & Crutcher LLP

3:00

VIRTUAL Q&A FOR MESSAGING APPS

Handling Ephemeral Communications Post-DOJ Revised Guidance: What Industry Is Doing to Meet New Expectations

Hilary Huber
Regional Head, Anti-Bribery & Corruption, Europe & Americas
Standard Chartered Bank

Geng Li
Global Director, Compliance
Anheuser-Busch InBev

  • What has (and has not) changed since the release of DOJ’s revised policy
  • What is now good practice for record review and retention, discovery, reporting, evidence gathering and cybersecurity
  • Messaging Apps and the revised DOJ Policy: Examples of how industry is addressing the practical hurdles to implementing the policy
  • Managing employee usage of WhatsApp and WeChat
  • Concrete examples of how industry is interpreting and applying the revised policy
  • Mitigating newfound cyber risks posed by the new messaging policy
  • Archiving in the cloud: How long data needs to be stored and other considerations
  • Building your own app: Concrete examples of successful initiatives
  • How the increasing use of social media and messaging apps has affected the course of internal investigations
  • What happens if you are unable to produce records requested by the DOJ

3:45
Break
4:30

CASE STUDIES WITH AUDIENCE POLLING

BEHAVIORAL COMPLIANCE AND THE VERDICT ON INCENTIVES, PREDICTIVE ANALYTICS AND AI: What Works and What Doesn’t – What It Really Takes to Drive Ethical Conduct

Taya R. Cohen
Associate Professor of Organizational Behavior and Theory
Carnegie Mellon Tepper School of Business

Carl Hahn
Vice President & Chief Compliance Officer
Northrop Grumman Corporation

Michael Savicki
Vice President, Compliance - The America
American Express Global Business Travel

This highly practical session will take you through a series of case studies on how to work through difficult, complex issues in the context of the DOJ’s indication that an effective compliance program should include incentives. During the panel, speakers and participants will discuss how to overcome the real-life obstacles to sustaining a strong compliance culture for the short-and long terms:

  • What has proven effective vs. not: Updates on the research findings
  • Defining compliance responsibilities within your organization
  • Developing a sustainable strategy to prevent a repeat scenario
  • How to know if your message is being heard and followed
  • Addressing specific cultural nuances when localizing your training
  • Overcoming training “fatigue”
  • How to strengthen your culture of compliance in the field

5:15
Conference Adjourns

Day 2 - Wednesday, July 15, 2020

9:30
Opening Remarks from the Co-Chairs
9:35

SUBMIT YOUR QUESTIONS ANONYMOUSLY BEFORE OR DURING THE PANEL

VIRTUAL GOVERNMENT TOWN HALL: Enforcement Decision-Makers Discuss Cross-Border Coordination, Cooperation, Global Settlements and Emerging Trends

Daniel Kahn
Senior Deputy Chief, Fraud Section
U.S. Department of Justice

Steven Peikin
Co-Director, Division of Enforcement
U.S. Securities and Exchange Commission

Moderator:

William A. Burck
Partner
Quinn Emanuel Urquhart & Sullivan, LLP

As we navigate these unprecedented times together, ACI is pleased to offer our esteemed delegates an opportunity to virtually connect with key officials of the DOJ and SEC – to discuss their respective approach to ensuring continued FCPA compliance and enforcement. Submit your questions prior to or live throughout the session. All questions will be pre-screened and shared with the faculty on a strictly anonymous basis.

10:15

LIVE AUDIENCE POLLING

MAINTAINING AN ETHICAL CULTURE IN TIMES OF INCREASED FRAUD AND CORRUPTION RISKS: How Industry is Revisiting Employee Hotlines, Messaging, Training and Program Implementation

Jennifer Zerm
Vice President & Chief Compliance Officer
Fortive

Elana Tyrangiel
Vice President, Investigations
Hewlett Packard Enterprise

Chinwe I. Esimai
Managing Director, Chief Anti-Bribery Officer
Citigroup, Inc.

  • Employee hotline statistics amid covid-19 – and what they reveal about your business and compliance status, and crisis response
  • Best practices for employee training, complaint response, and more
  • Influencing behavior to develop a strong culture of compliance: Important takeaways on what has worked and what has proven ineffective
  • Measuring the success and shortcomings of your program, including:
    • What to make of who is using the hotline
    • Effectiveness of using surveys
    • Assessing the tone at the top and in the middle
  • What does it mean be “ethical” in real life: Evaluating what is on paper vs. practice
  • Encouraging internal whistleblowing, and fine tuning policies and messaging
  • Opening multiple channels for internal reporting
  • What to do first: Which steps to take immediately once a claim has been made

11:15
Break
12:00

LEGAL THINK TANK – YOUR DISCLOSURE CALCULUS AND THE INTERPLAY OF PRIVACY LIMITS

The Grey Areas of Self-Disclosure: If, When and How Much to Disclose in the U.S. and Across Jurisdictions

Mary H. Dontzin
Head of Business Integrity
Nokia

Karen A. Schuler
Governance, Risk & Compliance National Practice Leader
BDO

During this practical, interactive session, experts will work through a series of hot button, sensitive hypothetical scenarios, and whether or not they would disclose under the circumstances. Participants will be able to compare their approaches and benchmark through discussion and Q&A. Topics will include:

  • The DOJ Corporate Enforcement Policy and your disclosure calculus: Are companies benefitting?
  • The new calculus of if, when and how much to disclose
  • The most important factors that should drive disclosure in light of recent global enforcement developments
  • Practical impact of U.S. disclosures on foreign corruption investigations: When a U.S. disclosure can now be used against you by a foreign government
  • Balancing disclosure obligations while preserving privilege
  • Drafting the disclosure: Best practices

12:45
REMOTE INVESTIGATIONS: Conducting Investigations and Interviewing Witnesses Virtually

Lisa LeCointe-Cephas
Head of Global Investigations
Merck

1:15
Break
2:15

LIVE AUDIENCE Q&A

TOWN HALL: SPECIAL INTERVIEW WITH UNITED STATES ATTORNEYS

Richard P. Donoghue
United States Attorney
Eastern District of New York

G. Zachary Terwilliger
United States Attorney
Eastern District of Virginia

Craig Carpenito
United States Attorney
District of New Jersey

Moderator:

Jay Holtmeier
Partner
Wilmer Cutler Pickering Hale and Dorr LLP

Gain need-to-know updates and perspectives from U.S. Attorneys whose offices have been very active in the area of FCPA and white-collar crime more generally.

3:00

LIVE AUDIENCE POLLING

M&A IN TIMES OF CRISIS: DO YOU PRESS ON OR PUT THE DEAL ON HOLD?: Your Most Burning Questions Answered on Risk Assessments, Integration, Transaction Testing, Training and DOJ Guidance

Katherine DeKam
Chief Compliance Officer
Acumed

Matthew S. Miner
Partner
Morgan Lewis & Bockius LLP

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

Deal-making has been impacted differently and in peculiar ways across the world by Covid-19. While some big deals (notably in Latin America) have pressed ahead and concluded at a remarkable pace, by and large across the globe M&A activity has decelerated as lawyers and in-house counsel roll up their sleeves in search of creative solutions. Amid the shutdown, the art of deal-making requires innovative rethinking and solutions, which are the focus of this expert panel. The speakers will address, among other things, how the crisis has impacted their work and that of their teams in the following areas:

  • Strategic decision-making about undertaking deals
  • Productivity and timeline adherence in M&A deals (hitherto) underway
  • Due diligence capabilities
  • Investigations which must now be conducted remotely
  • Post-merger integration activities and contract clauses that have taken on new importance (e.g., force majeure)
  • The prospect of better technology (e.g., digital platforms) for conducting deals virtually

3:45

INTERACTIVE DISCUSSION

Reflecting on the Key Takeaways from the Conference
Greg Andres

Greg D. Andres
Partner
Davis Polk & Wardwell LLP

4:30
Conference Concludes

Workshop A — YOUR UPDATED THIRD-PARTY MANAGEMENT, SUPPLY CHAIN & CRISIS PREPAREDNESS ROADMAP: The Most Critical, Unwritten Rules for Onboarding and Monitoring 1st, 2nd, 3rd and 4th Parties: Vendors, Sub-Distributors, Agents, and More Post-Hoskins

Jul 13, 2020 9:00am – 12:30pm

Parth Chanda
Founder & CEO
Lextegrity

What is it about?

At this two-part, 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 – all in furtherance of ensuring business continuity and amidst a potential business crisis or emergency. The session will discuss how to re-evaluate your risk ranking approach and minimize 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 that of your peers, and benefit from important takeaways for your work.

Part I:
What it now takes for effective compliance communication and preparation (training) of business partners, vendors and distributors of various tiers along your supply chain

  • 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
  • The scope of due diligence to perform for an ongoing, existing third-party relationship
  • Addressing resistance to follow-up questions after an initial questionnaire
  • How to ensure that gifts, travel and entertainment do not cross the line
  • How to assess and third parties’ response readiness to crises and potential risk impact to your business operations
  • How much due diligence is enough in an era of data protection: How to know if your approach is truly “risk-based”

Part II:
Real-Life “Nail-Biters:” How legal and compliance professionals are upgrading risk assessments, detection and management in order to ensure mitigate disruption to their business process

  • Steps to take when a third party or business partner cannot fulfil their contractual obligations
  • How to ready your company for the potential impact on business in the wake of Covid-19 (force majeure, privacy, HIPAA, etc.)
  • Lessons learnt from SARS: How and when invoking force majeure comes into play
  • How to counteract ruptures in your supply chain and feathering the potential ripple effects
  • Best practices in substituting existing and sourcing new suppliers
  • Real-life scenarios of a travel ban and countries on lockdown: Ensuring business continues

Workshop B — PRESSURE TESTING YOUR COMPLIANCE PROGRAM: Is It All Working? How to Truly Evaluate If You’ve Made the Right Call on Compliance Spend, Resource Allocation, Structure and More

Jul 13, 2020 1:30pm – 4:30pm

Matthew Werner
Vice President, Chief Compliance & Privacy Officer
Bio-Rad Laboratories

Michael W. Ward
Partner
Vinson & Elkins LLP

What is it about?

Designing and implementing a compliance program is not a “one and done” exercise. Today’s compliance programs face countless challenges and opportunities for reassessment and improvement. During this interactive workshop, experienced chief compliance officers, former prosecutors and practitioners will take you through their approaches and experiences in “pressure testing” the design and effectiveness of their compliance programs. Participants will hear of three different “pressure tests:” 1) how to internally measure the effectiveness of your program, 2) external “pressure testing” from enforcement agencies and courts, and 3) operational resiliency in the face of business disruption. Topics discussed and analyzed will include but are not limited to the following:

  • Establishing accountability through an effective and dynamic program charter
  • The new realities of reporting to the board and audit committee: Recent changes to the Caremark standard and director oversight duties and how to take the drama and doubt out of escalating issues to the Board.
  • Achieving alignment with senior leaders and your Board on the most significant risks and strategies for mitigation
  • Measuring your compliance program effectiveness with integrity surveys and other tools
  • Using compliance data analytics to eliminate traditional blind spots
  • Making your compliance program a competitive advantage
  • Global anti-corruption compliance
  • Pressure testing your third party risk strategy
  • Strategies for pivoting and evolving your compliance program in the face of (i) internally detected weaknesses, (ii) enforcement actions, and (iii) company, business sector, and global crises.