Pre-Conference Workshops

Workshop A — A Complete Guide to Strengthening Third Party and Supply Chain Due Diligence: Revisiting Risk Assessments, Compliance, Monitoring and Risk Assessments from Start to Finish

Jun 14, 2022 9:00am – 12:30pm

Speakers

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

Carolyn Fitzhugh McNiven
Shareholder
Greenberg Traurig LLP

Fredrik de Mare
Senior Managing Director
FTI Consulting

Workshop B — DATA ANALYTICS: What is Now Expected for Data-Driven Monitoring and Compliance – and How to Leverage Innovation in Practice

Jun 14, 2022 1:30pm – 5:00pm

Speakers

Alan Gibson
Forensic and Integrity Services
EY
Former Director, Legal & Compliance Innovation, Microsoft

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

Day 1 - Wednesday, June 15, 2022

7:30
Registration and Continental Breakfast
8:45
Co-Chairs’ Opening Remarks
9:00
FCPA Mid-Year Review: Key Updates on the DOJ and SEC Enforcement Postures, Individual and Corporate Accountability and Priorities Moving Forward
9:45

COMPLIANCE & GEOPOLITICS THINK TANK

Part I: How Industry is Adapting Policies, Procedures and Controls to the New Geopolitical, FCPA Enforcement and Pandemic Realities
10:45
Extended Networking Break
11:15

CHINA (AUDIENCE POLLING)

Part II: Mitigating New, Complex Compliance Risks Posed by China’s New Social Credit System and the Interplay of DOJ Policy: Cross-Industry Best Practices for the Path Forward
12:15
The Biggest Missteps to Avoid When Implementing a Comprehensive Whistleblower Program: The Lesser-Known Takeaways for Legal and Compliance
1:15
Lunch
2:30
INTERVIEW
3:00
Flagging Actual or Suspected Risk and Misconduct in Virtual and Hybrid Work Environments: The Latest Techniques and Know-How for Updating Your Program
3:45
Networking Break
4:00
Managing the Interplay of ESG and FCPA: The Newest Best Practices and Lessons Learned
4:45

Hypothetical Scenarios

Special Considerations For Due Diligence Around Distributors, Sub-Distributors and Resellers Amid Supply Chain Pressures
5:30
Networking Cocktail Reception
6:30
Close of Day One

Day 2 - Thursday, June 16, 2022

7:30
Registration and Continental Breakfast
8:55
Co-Chairs’ Opening Remarks
9:00

DOJ Alumni Panel

Former Officials Provide Unique Insight into the DOJ’s Enforcement Posture-and the Real-Life Impact on FCPA Compliance and Penalty Risks
10:00
Networking Break
10:15
The Continuing Compliance Challenges of Ephemeral Messaging: The Three Biggest Dilemmas-and How to Resolve Them
11:15

CASE STUDY

An Interesting Twist on the Extortion Defense: “Corrupt Intent”, Duress Payments and the Case of OPR No. 22-01
12:00
Lunch
1:15
Strengthening an Ethical Corporate Culture in Uncertain Times: Real-Life Examples of Innovative Practices for Resonating Inside and Out of the Office
2:15

HYPOTHETICAL EXERCISES

GIFTS & ENTERTAINMENT IN REAL LIFE
3:00
Close of Conference

Day 1 - Wednesday, June 15, 2022

7:30
Registration and Continental Breakfast
8:45
Co-Chairs’ Opening Remarks

Jay Holtmeier
Partner
Wilmer Cutler Pickering Hale and Dorr LLP

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

9:00
FCPA Mid-Year Review: Key Updates on the DOJ and SEC Enforcement Postures, Individual and Corporate Accountability and Priorities Moving Forward

Gerry Moody
Assistant Chief, FCPA Unit, Fraud Section, Criminal Division
United States Department of Justice

Ansu N. Banerjee
Assistant Regional Director, FCPA Unit
United States Securities and Exchange Commission

9:45

COMPLIANCE & GEOPOLITICS THINK TANK

Part I: How Industry is Adapting Policies, Procedures and Controls to the New Geopolitical, FCPA Enforcement and Pandemic Realities

Benjamin Turkel
Vice President, Chief Ethics and Compliance Officer
Raytheon Missiles & Defense

Gregory C. Vamos
Vice President, Legal, Global Chief Compliance & Ethics Officer
Oracle Corp.

  • Best practices for upgrading compliance, due diligence and monitoring protocols in response to rapid geopolitical developments: Revisiting risk assessments and your organizations’ risk profile
  • Strengthening your program amid an uncertain landscape of risk
  • Managing the interplay of economic sanctions and anti-corruption
  • Internal investigation challenges faced posed by the pandemic
  • The practical impacts of the US Strategy on Countering Corruption
  • Anti-corruption concerns regarding international joint ventures
  • Compliance issues in post-merger integrations

10:45
Extended Networking Break
11:15

CHINA (AUDIENCE POLLING)

Part II: Mitigating New, Complex Compliance Risks Posed by China’s New Social Credit System and the Interplay of DOJ Policy: Cross-Industry Best Practices for the Path Forward

Leo Tsao
Partner
Paul Hastings LLP

Tracy Saale

Charles Schwab
Former Chief Division Ethics and Compliance Officer and Chief Division Legal Counsel, Federal Bureau of Investigation; Conduct Risk Management, Managing Director and Corporate Responsibility Officer

Companies face increasing risks in their operations in China and beyond due to both the continued development of China’s “social credit system” and recent changes announced by the U.S. Department of Justice requiring prosecutors to consider all of the corporation’s prior corruption misconducts, including “any prior domestic or foreign criminal, civil, or regulatory misconduct,” even if the prior misconduct is completely unrelated to the issue that the DOJ is currently considering.

Topics will include:

  • Practical impact of the DOJ’s enforcement postureand China’s new SCS on business operations in China?
  • The expansion of what is considered “relevant prior misconduct”
  • Updating compliance programs amid China’s crackdown on corruption

12:15
The Biggest Missteps to Avoid When Implementing a Comprehensive Whistleblower Program: The Lesser-Known Takeaways for Legal and Compliance

Michael S. Dicke
Partner
Fenwick & West LLP

Michael Sullivan
Partner
Finch McCranie, LLP

  • What to do first: Which steps to take immediately once a claim has been made
  • How to question your employees
  • How to investigate and respond to whistleblower claims vs. “anonymous” reports
  • Mitigating the risk of whistleblower retaliation claims
  • The finer points of interviews and document reviews
  • What should (and should not) trigger an investigation
  • Concrete examples of whistleblower program upgrades and lessons learned
  • Determining when to engage an external investigator and outside counsel

1:15
Lunch
2:30
INTERVIEW

Catherine Razzano
Head of Legal Compliance
TikTok

3:00
Flagging Actual or Suspected Risk and Misconduct in Virtual and Hybrid Work Environments: The Latest Techniques and Know-How for Updating Your Program

Jeannine Lemker
Director and Associate General Counsel, Compliance Programs
Meta

Michael Farhang
Partner
Gibson Dunn & Crutcher LLP

Companies continue to take steps toward meeting DOJ compliance expectations, deploy new technologies, and apply new approaches to detecting an issue before it’s too late. What steps now need to be taken to help a company detect and assess actual or suspected misconduct?

During this session, gain practical takeaways for covering your compliance bases and flagging issues. Topics will include:

  • Onboarding employees remotely: Key pitfalls to avoid To what extent employees should be required to log their time and work location daily
  • Adapting policies and procedures to the realities and challenges of a hybrid and fully remote workforce
  • Ensuring that compliance and internal audit departments are well versed in the technological risks posed by a remote workforce
  • The length and the limits for conducting effective and productive candidate and employee interviews via videoconference

3:45
Networking Break
4:00
Managing the Interplay of ESG and FCPA: The Newest Best Practices and Lessons Learned

Rebecca Fike
Partner
Vinson & Elkins LLP

Colleen Snow Rybchuk
Compliance Counsel, Investigations
Zimmer Biomet

Misty Robinson
Director, Global Ethics & Compliance
Applied Materials

An increase in SEC, investor and shareholder focus on ESG has further emphasized the link between anti-corruption compliance and ESG programs. This session will provide real-world takeaways on how to manage new, emerging challenges confronting industry, including:

  • Adjusting your current third party questionnaires to capture ESG concerns, such as how diversity is handled and how third parties are handling environmental goals
  • Ensuring a cohesive workflow that can capture and assess FCPA, anti-corruption and ESG risks
  • Assessing self-reported information provided by third parties, and supporting it with independent checks
  • Assessing the overall level of ESG risk posed by a third party
  • Dovetailing ESG and compliance teams and resources
  • Determining your organization’s ESG risk tolerance
  • Key considerations for developing a best-in-class ESG program

4:45

Hypothetical Scenarios

Special Considerations For Due Diligence Around Distributors, Sub-Distributors and Resellers Amid Supply Chain Pressures

Marc Alain Bohn
Senior Counsel, Anti-Corruption Compliance
VF Corp.

Hillary Levun
Senior Global Director, Fraud and Forensics
Honeywell

During this practical, interactive session, speakers will walk you through a series of hypothetical scenarios on specific, hot button challenges -and how to resolve them in practice. Amid intensified supply chain pressures, gain invaluable guidance on how to address unique, high stakes dilemmas posed by distributors, sub-distributors and re-sellers.

  • Accounting policies: How discounts, coupons, rebates, and sales devices circulate among your company, distributors, and end customers
  • More evidence: Demand more evidence to support a transaction’s unique circumstances
  • Internal controls: Stringent documentation requirements to give internal audit ample evidence to evaluate the transaction

5:30
Networking Cocktail Reception
6:30
Close of Day One

Day 2 - Thursday, June 16, 2022

7:30
Registration and Continental Breakfast
8:55
Co-Chairs’ Opening Remarks

Jay Holtmeier
Partner
Wilmer Cutler Pickering Hale and Dorr LLP

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

9:00

DOJ Alumni Panel

Former Officials Provide Unique Insight into the DOJ’s Enforcement Posture-and the Real-Life Impact on FCPA Compliance and Penalty Risks

Chris Cestaro
Partner
Wilmer Cutler Pickering Hale and Dorr LLP
Former Chief, FCPA Unit, U.S. Department of Justice

Scott Schools
Former Associate Deputy Attorney General, U.S. Department of Justice; Chief Compliance and Ethics Officer
Uber

Anita Bandy
Partner (Former Associate Director, Division of Enforcement, U.S. Securities and Exchange Commission)
Skadden, Arps, Slate, Meagher & Flom LLP

Scott Joiner
Partner
Latham & Watkins LLP

Bringing together DOJ and SEC alumni, this discussion will offer in-depth perspectives on the practical industry impacts of Biden’s Strategy on Countering Corruption.

  • The Biden Administration’s National Security Study Memorandum (NSSM): Predictions on the Global Enforcement Aftermath and Evolving Risk Landscape
  • Will increased coordination and information-sharing between US law enforcement and intelligence agencies, as well as international partners, increase the effectiveness of FCPA enforcement?
  • What should the role of the private sector be to advance this initiative?
  • Practical impact of the DOJ’s enforcement posture on its compliance expectations

10:00
Networking Break
10:15
The Continuing Compliance Challenges of Ephemeral Messaging: The Three Biggest Dilemmas-and How to Resolve Them

Jeremy Gaustad
Senior Director, Compliance & Ethics
Oracle

Timothy Howard
Partner
Freshfields Bruckhaus Deringer LLP
Former Co-Chief, Complex Frauds and Cybercrime Unit, U.S. Attorney’s Office U.S. Department of Justice

Chris James
Counsel
Vinson & Elkins LLP

  • How industry is updating policies, procedures and monitoring
  • Reconsidering your Bring Your Own Device (BYOD) policies:
  • Data privacy issues that can affect compliance with DOJ data retention policies
  • Mitigating remote working risks
  • Restricting use of messaging apps to company-owned
  • Review data privacy policies and procedures: Ensuring that all business communications can be reviewed, especially in jurisdictions with heightened data privacy regulations
  • How industry is addressing high stakes cybersecurity and data privacy dilemmas
  • Implementing internal investigations practices for data localization, collection, and review

11:15

CASE STUDY

An Interesting Twist on the Extortion Defense: “Corrupt Intent”, Duress Payments and the Case of OPR No. 22-01

Peter S. Spivack
Partner
Hogan Lovells LLP

Tarek J. Helou
Partner
Wilson Sonsini Goodrich & Rosati

On January 21, the U.S. Department of Justice issued a new Opinion Procedure Release addressing a unique situation – a company employee faced physical duress in a foreign jurisdiction, and the only way to help was to pay a bribe. The DOJ issued a rare Opinion Procedure Release (OPR) stating that such “duress payments” do not qualify as corrupt intent. How does a compliance officer make the distinction between economic coercion and duress in real time? What are the key takeways from this case for multinational corporations?

12:00
Lunch
1:15
Strengthening an Ethical Corporate Culture in Uncertain Times: Real-Life Examples of Innovative Practices for Resonating Inside and Out of the Office

Yousri Omar
Director, Associate General Counsel
Business & Ethics, Amazon

Jane Klinger
Senior Director, Senior Corporate Counsel, Investigations
Salesforce

Anagha Apte
Senior Director, Global Head of Ethics & Compliance and Vendor Risk Management
eBay

Rohan A. Virginkar
Partner
Foley & Lardner LLP

Legal and compliance decision-makers will share their experiences and lessons learned for promoting an ethical corporate culture amid difficult conditions, including the global pandemic, geopolitical shifts, post-M&A integration, enforcement actions, and more. Points of discussion will include:

  • Influencing behavior to develop a strong culture of compliance: What has worked-and what hasn’t
  • Important takeaways on what has worked, and what has proven ineffective
  • How industry is revisiting employee hotlines, messaging, and training
  • Mitigating the risk of bribery, corruption, and noncompliance during periods of business disruption
  • Fostering a culture of compliance outside of your organization: Ensuring an anti-corruption code of conduct reaches all employees and third party vendors
  • Innovative ways to train (and re-train) your employees in the corporate office and in the field
  • The pros and cons of incentivizing compliance

2:15

HYPOTHETICAL EXERCISES

GIFTS & ENTERTAINMENT IN REAL LIFE

Mark Gursky
Vice President & Chief Compliance Officer
KLA

James Griffin
Vice President, Risk and Compliance
American Express Global Business Travel

Through a review of sample policies and hypothetical scenarios, the expert faculty will talk you through the most critica, pressing issues at the forefront-and the latest best practices for resolving them. The session will focus on real-world scenarios and impart practical takeaway for your work after the conference.

Topics will include:

  • The newest lessons learned and best practices for strengthening your program
  • What are the inevitable unknowns that are now keeping legal and compliance up at night?
  • Best practices for right-sizing your G&E program
  • Considering the interplay of local customs and cultural differences in high risk jurisdictions

3:00
Close of Conference

Workshop A — A Complete Guide to Strengthening Third Party and Supply Chain Due Diligence: Revisiting Risk Assessments, Compliance, Monitoring and Risk Assessments from Start to Finish

Jun 14, 2022 9:00am – 12:30pm

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

Carolyn Fitzhugh McNiven
Shareholder
Greenberg Traurig LLP

Fredrik de Mare
Senior Managing Director
FTI Consulting

What is it about?

As part of 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 risk stakes compares to your peers, and benefit from important takeaways. Ample time will be left for Q & A, so please bring your questions!

  • 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
  • Unique challenges associated with critical types of third parties for your global business
  • 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

Workshop B — DATA ANALYTICS: What is Now Expected for Data-Driven Monitoring and Compliance – and How to Leverage Innovation in Practice

Jun 14, 2022 1:30pm – 5:00pm

Alan Gibson
Forensic and Integrity Services
EY
Former Director, Legal & Compliance Innovation, Microsoft

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

What is it about?

This workshop will walk you through practical case studies that define how to get started and refine your blueprint for effective data-driven compliance and monitoring – with a focus on how to tailor your policies to the contexts of your industry and organization. Topics will include:

  • Case studies of advanced compliance analytics implementation and lessons learned
  • Defining Your Risk Profile and Cross-Functional Team: Achieving effective, data-driven compliance, monitoring and investigations
  • Assembling the Right Cross-Functional Team: The key pitfalls to avoid – and best practices for success
  • Data Acquisition and Dashboards: Accessing and capturing clean, high-value data across disparate systems and data sources
  • Your Data Governance Action Plan: Utilizing risk scoring and fine-tuning internal policies to address red flags and handle the exception processes
  • Leveraging AI and Machine Learning: Optimizing algorithms to improve predictive capabilities and compliance monitoring
  • Approaches to building fluid, adaptable programs (e.g., internal, external or hybrid)
  • Identifying the data needed, the process for acquiring the data and overcoming challenges around data availability and quality
  • Connecting monitoring programs with existing or new pre-approval systems
  • Revising risk parameters to be fluid and adaptable based on evolving business risks
  • Generating visualizations to generate insights for varied internal stakeholder groups
  • Assessing the cost of building and maintaining your compliance analytics effort