2023 Agenda

Pre-Conference Workshops

Workshop A — Behind the Scenes of Building an Effective Data Analytics Program- From Capturing “Clean” Data to Achieving True Data-Driven Compliance and Monitoring

Jun 13, 2023 9:00am – 12:30 PM

Speakers

Stephen Lee
Former Federal Prosecutor/Founder
Stephen Chahn Lee LLC

Mihnea Rotariu
Director of Risk and Compliance Analytics
Lextegrity

Workshop B — Using Your Data Analytics Capabilities to Measure the Effectiveness of Your Compliance Program: A Complete Guide to Using Metrics and KPIs to Evaluate Risk Detection and Compliance Red Flags

Jun 13, 2023 1:30pm – 05:00 PM

Speakers

Alan Gibson
Associate Director, Forensic & Integrity Services
Ernst & Young LLP

Aaron Dutra
Sr. Director, Legal Compliance
Uber

Day 1 - Wednesday, June 14, 2023

8:30
Co-Chairs’ Opening Remarks/Year in Review
8:45
DOJ/SEC Interview
9:45
The Future of Anti-Corruption Compliance and Investigations: Leveraging AI and Automation as a Pivotal Tool Moving Forward
10:45
Networking Coffee Break
11:00

CASE STUDY-CHINA

Special Focus on China: New, Unique Considerations Affecting Your Compliance Strategy
11:30
ESG Compliance as a Mitigating Factor: Incorporating ESG Into Your Global Risk Assessments and Managing the Interplay with FCPA
12:30
Networking Luncheon
1:45
Maintaining an Effective Compliance Culture in the New Normal of Remote and Hybrid Work
2:30
What’s Missing in Your Third-Party Due Diligence, Screening and Monitoring?: Hidden Lessons for Mitigating Cross-Border Supply Chain and Business Partner Risks
3:30
Networking Break
3:45

CASE STUDY

The DOJ’s Revised Corporate Enforcement Policy and Your Compliance Path Forward: The Most Recent Enforcement Actions What They Reveal Between the Lines
4:45
FPCA and Anti-Corruption Partnership Across the Public and Private Sector
5:45
Cocktail Reception
Sponsored by:Sponsor

Day 2 - Thursday, June 15, 2023

7:30
Continental Breakfast and Registration
8:55
Co-Chairs’ Opening Remarks
9:00
Ephemeral Messaging Think Tank: Companies and Financial Institutions Share the Latest Best Practices and Lessons Learned
10:00

CASE STUDY

The Next Level of Compliance in Latin America
10:30
Morning Coffee Break
10:45
Sustaining an Effective Compliance Program Amid Economic, and Budgetary Pressures
11:45

FUTURE OF FCPA COMPLIANCE SERIES

Cryptocurrency and the Lesser-Known Corruption Risks: Increased Regulatory Scrutiny of Crypto and Digital Currency
12:45
Networking Lunch Break
2:00
Defining and Dealing with “State-Owned” Entities in the FCPA Context
2:45
FCPA Considerations in the Middle East: Updating Your Compliance Checklist and Implementing the Latest Best Practices
3:15
Special Considerations for Start-Ups and New Companies
3:45
Co-Chairs’ Closing Remarks, End of Conference

Day 1 - Wednesday, June 14, 2023

8:30
Co-Chairs’ Opening Remarks/Year in Review

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

Carl Hahn
VP, Chief Compliance Officer
Northrop Grumman
8:45
DOJ/SEC Interview

Chris Cestaro
Partner
Wilmer Hale

Alex Kramer
Assistant Chief, FCPA Unit, Fraud Section, Criminal Division
Department of Justice
9:45
The Future of Anti-Corruption Compliance and Investigations: Leveraging AI and Automation as a Pivotal Tool Moving Forward

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

Stacey Sprenkel
Partner
Morrison Foerster LLP

  • How increased integration and reliance on AI is transforming compliance programs
  • Ensuring continuous monitoring of transactions and activities using AI
  • How effective compliance programs are convincing internal stakeholders to expend capital and invest on AI infrastructure/integration
  • How companies are leveraging AI oversight to satisfy DOJ and SEC expectations
10:45
Networking Coffee Break
11:00

CASE STUDY-CHINA

Special Focus on China: New, Unique Considerations Affecting Your Compliance Strategy

Evan Y. Chuck
Partner/Head of Asia
Crowell & Morning LLP

How to adapt your compliance program to the heightened corruption and compliance risks in China:

  • The impact of recent legislative and enforcement changes relating to China
  • Overcoming the unique challenges of “state-owned” entities and overall government involvement in the private sector
  • Special considerations for navigating cross-border investigations involving China
11:30
ESG Compliance as a Mitigating Factor: Incorporating ESG Into Your Global Risk Assessments and Managing the Interplay with FCPA

Mckenzee McCammack
Regional Compliance Manager, Americas
American Express Global Business Travel

Kristin A. Snyder
Partner
Debevoise & Plimpton

Catherine Kevane
Partner
Fenwick & West LLP

  • Understanding how robust ESG programs, including due diligence of third-parties can serve as a mitigating factor
  • Discuss how quality ESG commitments create risk-averse business decisions
12:30
Networking Luncheon
1:45
Maintaining an Effective Compliance Culture in the New Normal of Remote and Hybrid Work

Carolyn Fitzhugh McNiven
Shareholder
Greenberg Traurig LLP

Chris Wheeler
VP, Office of Global Ethics & Integrity
Salesforce

  • How companies and financial institutions are now training and maintaining compliance teams in virtual settings
  • Perspectives on the impact of remote work on employees’ compliance awareness and commitment
  • Determine inherent risks when compliance teams are based across borders
2:30
What’s Missing in Your Third-Party Due Diligence, Screening and Monitoring?: Hidden Lessons for Mitigating Cross-Border Supply Chain and Business Partner Risks

Aaron Dutra
Sr. Director, Legal Compliance
Uber

Jeremiah Luongo
Senior Counsel
Microsoft

Claire Rajan
Partner
Allen & Overy

Laura Vittet-Adamson
Senior Compliance Counsel
Oracle

  • How to incorporate effective front-end vetting and screening protocols in third party relationships, and pre-acquisition assessments
  • Developing a robust due diligence model that stratifies your risk
  • Identifying what you need in a questionnaire for third parties
  • Addressing resistance to follow-up questions after an initial questionnaire
  • Best-practices for moving forward if a third-party is a “state-owned” entity or instrumentality
3:30
Networking Break
3:45

CASE STUDY

The DOJ’s Revised Corporate Enforcement Policy and Your Compliance Path Forward: The Most Recent Enforcement Actions What They Reveal Between the Lines

Pamela Davis
Partner, Chair FCPA & Anti-Corruption Team
Winston & Strawn LLP

Scott Joiner
Partner
Latham & Watkins LLP

Brendan Kelleher
Partner, Chief Compliance Officer & Head of Enterprise Risk
SoftBank Group International

  • In 2022, there were 10 FCPA-related settlements, totaling $924 million, one of the higher totals in recent years. Additionally, DOJ has been active in issuing guidance on FCPA-related matters.
    • A holistic view of the enforcement landscape, and settlement trends
    • When and how a strong compliance culture served as a remediating or enhancing factor
    • Meeting DOJ expectations for third-party monitoring procedures
4:45
FPCA and Anti-Corruption Partnership Across the Public and Private Sector

Rob Leventhal
Division Chief/Global Policy and Programs
U.S. State Department

Yousri Omar
Associate General Counsel Business & Ethics
Amazon

Maria Eugenia Quindimil
CEO & Founder
Socrates Healthcare Limited

  • Discuss the Global Initiative to Galvanize the Private Sector as Partners in Combating Corruption (GPS)
  • Understand what companies like Amazon and others are doing to foster greater transparency and accountability in the anti-corruption space
  • Identify the most successful private sector practices and approaches to combating corruption
  • Understand the State Department’s commitment to funding this venture, and the key deliverables sought from industry
  • Discuss the importance of galvanizing small and medium-sized businesses to participate more robustly in anti-corruption efforts, and how big companies can foster such commitment
5:45
Cocktail Reception
Sponsored by:Sponsor

Day 2 - Thursday, June 15, 2023

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

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

Carl Hahn
VP, Chief Compliance Officer
Northrop Grumman
9:00
Ephemeral Messaging Think Tank: Companies and Financial Institutions Share the Latest Best Practices and Lessons Learned

Erin Brown Jones
Partner
Latham & Watkins LLP

Benjamin M. Crosson
Partner
Wilson Sonsini Goodrich & Rosati, P.C.

Robert Bowen
Compliance Counsel
ServiceNow

  • Examine DOJ’s renewed attention and updated guidance surrounding ephemeral messaging
  • Understand how industry is updating policies, procedures and monitoring in light of anticipated DOJ approaches
  • Considering policy changes to include technological monitoring of encryption messaging on company devices
  • Reviewing data privacy policies and procedures: Ensuring that all business communications can be reviewed, with heightened scrutiny on cross-border communications
  • How industry is addressing high stakes cybersecurity and data privacy dilemmas
  • Implementing robust oversight safeguards to lessen regulatory scrutiny, including penalties for non-compliance
10:00

CASE STUDY

The Next Level of Compliance in Latin America

Gregory Bates
Partner
Miller & Chevalier

  • The newest considerations for adapting your compliance program to corruption risks in Latin America
  • Navigating cross-border investigations by the U.S. In coordination with various Latin American authorities
  • Reaching coordinated resolutions with U.S. and Latin American authorities
  • Specific coordination between the U.S., Brazil, and Mexico
10:30
Morning Coffee Break
10:45
Sustaining an Effective Compliance Program Amid Economic, and Budgetary Pressures

Nkechi Ihuegbu
Global Anti-Bribery Lead and Senior Counsel
Google

Darryl Lew
Partner
White & Case

Valerie Lam
Anti-Corruption Compliance Counsel
TikTok

Aaron Tidman
Director, Compliance & Investigations
Pinterest

  • How the shifting economic landscape is shaping compliance programs
  • How companies are dealing with economic pressures while maintaining robust compliance programs
  • Re-assessing the effectiveness of your compliance program and risk appetite amid inflation and supply chain pressures
11:45

FUTURE OF FCPA COMPLIANCE SERIES

Cryptocurrency and the Lesser-Known Corruption Risks: Increased Regulatory Scrutiny of Crypto and Digital Currency

Melissa Laferriere
Anti-Bribery & Corruption Compliance Lead
Coinbase

Justin Weitz
Partner
Morgan, Lewis & Bockius LLP

Leo Tsao
Partner
Paul Hastings LLP

  • With the advent of cryptocurrency and digital assets comes the opportunity for corruption and evasion by bad actors. There is a growing sense, as DOJ and the SEC begin to crack down on cryptocurrency more broadly, that intensified FCPA scrutiny is just around the corner. During this session, experts will discuss the know and lesser-known compliance risks-and how to bet mitigate them amid regulatory grey areas.
  • Topics will include:
    • The scope of DOJ and SEC scrutiny of digital assets-and what it reveals for the future of FCPA compliance
    • Understanding emerging risks and hidden corruption
    • Evaluating how virtual assets are uniquely suited for bribery schemes
    • Managing the challenges of crypto compliance as virtual assets
12:45
Networking Lunch Break
2:00
Defining and Dealing with “State-Owned” Entities in the FCPA Context

Stephanie M. Tennant
Associate General Counsel, Compliance
Meta

An Tran
Partner
Jenner & Block LLP

  • What is (and isn’t) a “state-owned” entity, as defined in the FCPA-and the enduring grey areas
  • Applying both ownership interests and level of control tests when determining whether something is “state-owned”
  • Managing the inherent, heightened risks when dealing with state-owned entities
  • Defining “instrumentality” in relation to essential government control, and understanding how/when instrumentalities are more/less important
2:45
FCPA Considerations in the Middle East: Updating Your Compliance Checklist and Implementing the Latest Best Practices

Carl Hahn
VP, Chief Compliance Officer
Northrop Grumman

Mckenzee McCammack
Regional Compliance Manager, Americas
American Express Global Business Travel

  • How to adapt your compliance program to corruption risks in The Middle East
  • The impact of the Russian oil ban on the global energy sector and the correlating FCP risks in the Middle East
  • The scope of coordination between U.S. and Middle Eastern enforcement authorities
  • Managing the unique challenges of “state-owned” entities and overall government involvement in the private sector
3:15
Special Considerations for Start-Ups and New Companies

Russell Vickers
Associate General Counsel, Corporate Compliance and Privacy
Everlaw

Winston Chan
Partner
Gibson, Dunn & Crutcher LLP

  • The top 5 most pressing, high stakes compliance challenges confronting start-ups
  • Avoiding common missteps for newly created compliance programs
  • Key best-practices for small/”one man show” compliance teams
  • Implementing compliance safeguards while trying to fuel growth and profitability
  • Key best practices from larger companies that start-ups can adapt and scale
3:45
Co-Chairs’ Closing Remarks, End of Conference

Workshop A — Behind the Scenes of Building an Effective Data Analytics Program- From Capturing “Clean” Data to Achieving True Data-Driven Compliance and Monitoring

Jun 13, 2023 9:00am – 12:30 PM

Stephen Lee
Former Federal Prosecutor/Founder
Stephen Chahn Lee LLC

Mihnea Rotariu
Director of Risk and Compliance Analytics
Lextegrity

What is it about?

Workshops are In-Person only and will not be Livestreamed

  • Compliance programs must be built and customized to fit the unique risk profile of each individual company. An effective compliance program, and robust risk assessment is essential to any business. After you properly assess your risk profile, the next step in building an effective compliance program is to gain reliable internal and external data. This session will discuss how to acquire clean data, and how to synthesize that data.
  • Key Topics:
    • Approaches to building a data analytics program (e.g., internal, external or hybrid) and the resources needed
    • Identifying the data needed, the process for acquiring the data and overcoming challenges around data availability and quality
    • Collecting data across multiple different systems and assessing what data is important; what data is being captured; and what data is not being captured accurately
    • Identifying data sources and deciding how to aggregate the data to ensure good input and output
    • Evaluating the internal and third-party data analytics tools that are available, and deciding which data feeds your organization can leverage
    • Cleaning the Data by utilizing a continuous feedback loop to eliminate false positives
    • Real-world examples of data output reports; discuss how to assess the data; and, determine if the program is capturing the right data
    • Determining what to do when payments and expenditures are above aggregate risk score thresholds:
    • Providing training and ongoing support to ensure that employees and third parties can analyze incoming data to determine if it is consistent and trustworthy
    • Connecting monitoring programs with existing or new pre-approval systems

Workshop B — Using Your Data Analytics Capabilities to Measure the Effectiveness of Your Compliance Program: A Complete Guide to Using Metrics and KPIs to Evaluate Risk Detection and Compliance Red Flags

Jun 13, 2023 1:30pm – 05:00 PM

Alan Gibson
Associate Director, Forensic & Integrity Services
Ernst & Young LLP

Aaron Dutra
Sr. Director, Legal Compliance
Uber

What is it about?

Workshops are In-Person only and will not be Livestreamed

  • Updated DOJ guidance stresses to companies the importance of leveraging data analytics and other objective evidence to demonstrate a compliance program is working effectively and manages its compliance risks. As such, metrics-driven solutions are needed to align compliance accountability; and embed a proactive compliance function on the first line of defense.
  • By utilizing compliance metrics to identify corruption risks early, companies are in a better position to reduce risks and understand whether the correct controls are in place.
  • During this workshop, participants will benefit from a step-by-step guide to leveraging data analytics to measure the effectiveness of a compliance program-and implement the necessary upgrades.
  • Topics will include:
    • Using data feeds for continuous risk re-assessments and monitoring program upgrades
    • Concrete examples of metrics used for assessing and analyzing risk
    • Leveraging data analytics for re-assessing risks and identifying compliance weak spots
    • Updating your potential risk contact points that exist throughout your company
    • Assessing the current controls in place to prevent, detect, and correct violations
    • Determining and prioritizing the compliance enhancement measures you undertake
    • Updating your risk assessment periodically
    • Determining which compliance metrics to measure, and comparing them to industry standards and benchmarks for improved predictability
    • Assembling qualitative data-gathering tools – such as surveys and questionnaires – to encourage adaptability and accountability