Foreign Corrupt Practices Act New York

Opening Remarks from the Conference Co-Chairs

Rebecca Rohr
Vice President, Anti-Corruption and Global Trade, Ethics & Compliance Office
Hewlett Packard Enterprise

Tim Zirkel
Managing Director
Global Head of Anti-Bribery and Corruption Compliance Global Financial Crimes Division
MUFG Bank, Ltd.

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

MID-YEAR IN REVIEW

The Latest on FCPA Enforcement Priorities, Evaluation of Compliance Programs, Cooperation Credit, and More

Daniel Kahn
Acting Chief, Fraud Section, Criminal Division
U.S. Department of Justice

Charles E. Cain
Chief, FCPA Unit, Division of Enforcement
U.S. Securities and Exchange Commission

Jay Holtmeier
Partner
Wilmer Cutler Pickering Hale and Dorr LLP

During this highly anticipated session, USDOJ and SEC officials will discuss key developments and priorities and provide updates on the enforcement landscape under the Biden Administration.

Audience members will also be able to ask questions on an anonymous basis.

PART 1 - FCPA TECH: INTERACTIVE BENCHMARKING WITH AUDIENCE POLLING

The DOJ Guidance, Data Analytics, AI, and Machine Learning in Practice: How to Select, Invest, and Utilize Innovation Within Budgetary Constraints

Panel Discussion: Concrete Examples and Lessons Learned

Alan Gibson
Director, Legal & Compliance Innovation
Microsoft

Sara Elizabeth Kramvis
Vice President
Prudential Financial

• Interpreting the agencies’ expectations with respect to compliance officer access use of data analytics?
• Concrete examples of how AI and data analytics can be fully leveraged to support an ethics & compliance program:
• Reputational monitoring of third parties
• Payments monitoring
• Distributor pricing monitoring
• Travel & Expense monitoring
• Tracking employee engagement
• Proxies for measuring ethical health
• How to overcome the practical and technical challenges to implementing an ethics & compliance analytics strategy?
• How is industry managing associated data privacy, integrity and security risks?

PART 2 - FCPA TECH: BREAKOUT ROUNDTABLES - SMALLER-GROUP BENCHMARKING

Breakout Roundtables: Smaller-Group Benchmarking

Carl T. Hahn
Vice President, Chief Compliance Officer
Northrop Grumman

Bruce Karpati
Partner, Global Chief Compliance Officer & Counsel
KKR & Co. Inc.

Turn on your audio and video for meaningful smaller-group benchmarking on leveraging innovation and tailoring it to the realities of your industry and organization.

1:1 Networking

Break

KEYNOTE ADDRESS

Nicholas McQuaid
Acting Assistant Attorney General
U.S. Department of Justice

The New Realities of Third-Party Due Diligence with Limited Resources: The Top Five Most Effective Strategies for Vetting Your Business Partners and Their Partners

Patricia Byrne
VP & Associate G.C., International Compliance
BAE Systems Inc.

Kari K.G. Chandler
Vice President – Anti-Corruption and Regional Ethics & Compliance Programs
Cognizant

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

S. Joy Dowdle
Partner, Litigation Department
Paul Hastings LLP

Test your third-party management know-how with a series of rapid fire, anonymous polling questions on the most sensitive, complex dilemmas. Discover how your approach to managing high stakes risks under budgetary pressures compares to your peers.

Respond to panel questions confidentially in a user-friendly digital polling system. An effective way to compare your compliance and investigations practices to your peers across the globe!

Topics will include:

• Strategies for updating third-party due diligence in alignment with the organization’s priorities
• Factoring in geographical risks to due diligence methodologies
• Devising strategies for engaging in due diligence by implementing adaptable due diligence checklists
• Reaching the right balance between diligence and ongoing monitoring
• Implementing tiered due diligence approaches based on appropriate level of risk and classification of third party
• Designing comprehensive due diligence processes and procedures without sufficient resources
• Onboarding and classifying third party intermediaries and monitoring their activities

Faculty-Attendee Roundtables

You asked. We listened. Based on your feedback, the 2021 agenda includes more time to ask your questions and compare notes with your community peers. This is a unique opportunity to connect with expert faculty members in a more intimate, informal setting to expand your “brain trust.”

In addition to addressing your most burning questions, faculty members will lead meaningful discussion on hot button issues.

Break

Strengthening a Culture of Compliance: Inside the Lesser-Known Challenges and Best Practices

Justin S. Siegel
Vice President, Global Head of Conduct and Integrity
Goldman Sachs

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

INTERACTIVE DISCUSSION

The Intensifying Enforcement of the FCPA’s Internal Controls Provision: Critical Takeaways on the Expanding Interpretation, Strict Liability, and Expectations for Industry

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

Steven R. Peikin
Partner
Sullivan & Cromwell LLP
Former Co-Director of Enforcement, SEC

Greg D. Andres
Partner
Davis Polk & Wardwell LLP

Join this spirited discussion on the nuances and impact of recent cases involving the FCPA’s internal controls provision. Leading practitioners who have worked on some of the most significant matters will share invaluable lessons learned and best practices moving forward.

GLOBAL RISK THINK TANK – ANONYMOUS AUDIENCE POLLING

Interactive Benchmarking – Who’s Doing What? How Industry is Updating Compliance, Training, and Monitoring Action Plans Post-Goldman Sachs, Airbus and More

Chinwe Esimai
Managing Director, Chief Anti-Bribery & Corruption Officer
Citi

Maria Fernandez
VP, Head of Ethics & Compliance
Direct Energy

Robert Johnston, Jr.
Partner
Lowenstein Sandler LLP

During this new, highly anticipated session, participants will benefit from real-world guidance on the nuances and lesser-known takeaways from the Goldman Sachs settlement and other significant cases over the last 12 months.

Respond to panel questions confidentially in a user-friendly digital polling system. An effective way to compare your compliance practices to your peers across the globe!

Topics of discussion will include:

• Strengthening your anti-corruption policies and procedures in light of recent enforcement actions and settlements
• Evaluating your compliance plan in view of the Criminal Division’s Guidance
• The newest lessons for ethics and compliance during COVID-19
• Do’s and don’ts for remote vs. in-person training: What works-and what doesn’t
• Monitoring employees and third parties: 5 pitfalls to flag before it’s too late

Closing Remarks, Conference Adjourns

Exclusive Interview with Christopher J. Cestaro, WilmerHale, Immediate Past FCPA Unit Chief, U.S. Department of Justice

Chris Cestaro
Partner
WilmerHale

Opening Remarks from the Conference Co-Chairs

Rebecca Rohr
Vice President, Anti-Corruption and Global Trade, Ethics & Compliance Office
Hewlett Packard Enterprise

Tim Zirkel
Managing Director
Global Head of Anti-Bribery and Corruption Compliance Global Financial Crimes Division
MUFG Bank, Ltd.

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

FORMER U.S. ATTORNEYS’ ROUNDTABLE

Perspectives on the Evolving White Collar and Financial Crime Enforcement Landscape

Craig Carpenito
Partner
King & Spalding
Former U.S. Attorney for the District of New Jersey (2018-2021)

Nicola T. Hanna
Partner
Gibson, Dunn & Crutcher LLP
Former U.S. Attorney for the Central District of California (2018-2021)

Jessie K. Liu
Partner
Skadden, Arps, Slate, Meagher & Flom LLP
Former U.S. Attorney for the District of Columbia (2017-2020)

G. Zachary Terwilliger
Partner
Vinson & Elkins LLP
Former U.S. Attorney for the Eastern District of Virginia (2018-2021)

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

BREAKOUT ROUNDTABLES

TRACK I: Ephemeral Communications: Taking Stock of Compliance Successes, Missteps and Grey Areas

Ana Iacovetta
Vice President, Deputy General Counsel and Chief Ethics & Compliance Officer
VMware

Sergio V. Leal
Head of Compliance, MANA & LATAM
Head of M&A Compliance
Ericsson

Michael Savicki
VP, Chief Privacy Officer & Compliance, Risk & ESG
American Express Global Business Travel

• Takeaways from the implementation of the DOJ’s revised policy
• What is now expected for retention of business records and correspondence – how is industry overcoming the inherent hurdles to implementation?
• How industry is addressing high stakes cybersecurity and data privacy dilemmas
• How to archive in the cloud – how long does data need to be stored?
• The impact of the global pandemic on corporate use of messaging platforms – how has the increased usage impacted investigations and compliance?
• Implementing internal investigations practices for data localization, collection and review

BREAKOUT ROUNDTABLES

TRACK II: Legal Think Tank on the Nuances of FCPA Jurisprudence: Key Lessons from Coburn and Schwartz, Firtash, Hoskins, Connolly and More

Sean Hecker
Partner
Kaplan Hecker & Fink LLP

Jenny Kramer
Partner
Alston & Bird LLP

Join seasoned practitioners in discussion of recent applications of the statute, its evolving interpretations, and what is at stake for companies in light of the current state of the law.

MULTI-JURISDICTIONAL ENFORCEMENT AND DISCLOSURES

Unwritten Takeaways on Risk Mitigation and Investigations – and What to Flag Now

Brian C. Rabbitt
Partner
Jones Day
Former Acting Assistant AG of DOJ’s Criminal Division

Adam B. Siegel
Co-Head, Global Investigations Group
Freshfields Bruckhaus Deringer US LLP

This past year, the anti-corruption community saw US authorities’ continued cooperation with foreign authorities, with every indication that this trend will continue. Former senior-level enforcement officials and leading defense counsel will impart invaluable takeaways for self disclosures, investigations and cross-border investigations.

• Navigating the web of local and multinational laws that can govern the conduct of an investigation
• Determining whether or not to self-disclose – and to which agencies
• Coordinating disclosures to multiple agencies
• Protecting attorney-client privilege and avoiding inadvertent waivers
• Utilizing technology to investigate more efficiently and effectively, including spotting issues early – and conducting virtual interviews vs. in-person ones

1:1 Networking

Break

STRENGTHENING AN ETHICAL CULTURE IN GOOD TIMES—AND IN BAD

Part I: Real-Life Examples of Wins and Misses in Messaging, Training, Hotlines and Monitoring (With Audience Polling)

Angela Main
VP, Global Chief Compliance Officer & Associate General Counsel
Zimmer Biomet

Jeff Proulx
Director Counsel
Target

Luis A. Kolster
Vice President, Chief Compliance Officer
Baker Hughes

Legal and compliance decision-makers will share their experiences and lessons learned for fostering an ethical corporate culture amid challenging circumstances, including the global pandemic, geopolitical shifts, M&A, an enforcement action and more:

• Understanding how industry is revisiting employee hotlines, messaging, and training
• Thwarting the risk of bribery, corruption, and noncompliance during periods of business disruption and heightened corruption risks
• Best practices for employee training, complaint response, and more
• Practical ways to foster a “speak up” culture and how to update your messaging
• Influencing behavior to develop a strong culture of compliance

PART 2 - STRENGTHENING AN ETHICAL CULTURE IN GOOD TIMES—AND IN BAD

Breakout Roundtables: Smaller-Group Benchmarking

Bérengère Parmly
Ethics & Compliance Officer
Infrastructure Global Business Unit
Bechtel

Turn on your audio and video for meaningful smaller-group benchmarking on how your peers are strengthening their ethical culture.

Strategies for Effectively Recruiting and Retaining Talent on Legal and Compliance Teams

Norma L. Garcia
VP, Assistant General Counsel, and Chief Diversity Officer
Rent-A-Center

Grissel Seijo
Counsel, Employment Law & Diversity and Inclusion Officer
Restaurant Brands International US Services, LLC

As the legal and compliance community continue to position diversity as a core value and key objective, this new session will focus on the practical challenges to enhancing diversity at all levels of the workforce, as well as the impact of recent developments on remaining gaps and inequities.

• Training on anti-harassment, diversity, inclusion and workplace sensitivity: what has worked and what hasn’t
• How BLM has affected employers’ understanding and commitment to diversity
• Exploring best practices to recruit, develop and retain diverse candidates
• Persisting hurdles to retaining women and minorities – and concrete examples of accommodations across the employment life cycle

Closing Remarks, Conference Concludes