Pre-Conference Workshops

FCPA BOOT CAMP: A Deep Dive into Key Requirements and Cases Affecting Global Business and Compliance

May 14, 2019 9:00am – 12:30pm

Speakers

Workshop Leaders Include:

Michelle J. Shapiro
Partner
Arent Fox LLP

Richard Davies
Global Chief Ethics & Compliance Officer
Avon Products, Inc.

Jacki Cheslow
Director, Business Ethics and Compliance
Avis Budget Group

SUPPLY CHAIN DUE DILIGENCE: Inside The Most Successful, Cost-Effective Approaches to Vetting the Upper and Lower Tiers of Your Supply Chain

May 14, 2019 1:30pm – 5:00pm

Speakers

Faculty Members Include:

Rayne Towns
Compliance Leader, TEPS, TXLE & Webscale and NAM
Nokia

Sarah Foley
Compliance Specialist
Orrick

Day 1 - Wednesday, May 15, 2019

8:45
Opening Remarks from the Co-Chairs
9:00

Individual and Corporate FCPA Prosecutions:

Status Report on FCPA Enforcement Trends, Priorities and “Piling On”
9:45

The Unwritten Rules for “Right-Sizing” an Anti-Corruption Compliance Program:

Real Life Lessons for Handling Complex and Unexpected Roadblocks
10:45
Networking Break
11:15

International Prosecutions Roundtable:

Status Report on Cross-Border Information Sharing and Multi- Jurisdictional Coordination for Corruption Cases
12:15

Defense Counsel Perspectives on Cross-Border Government and Internal Investigations:

The Top 5 Most Critical Decisions to Get Right
1:00
Networking Luncheon
2:15

Compliance & Risk Management Strategy Session:

Evolving Your Program to Manage the Convergence of Anti-Corruption, Fraud, AML and Economic Sanctions Risks
3:15
Networking Break
3:45

Putting Your Data to Work:

The Lengths and Limits of Leveraging Data Analytics and Machine Learning for Third Party Monitoring
4:45

“Creating a Risk of Bribery”:

What is Now Recommended for “Adequate” Internal Controls, Books and Records, and G & E Programs
5:30
Conference Adjourns
Networking Cocktail Reception Sponsored By: WilmerHale

Day 2 - Thursday, May 16, 2019

8:45
Co-Chairs’ Opening Remarks
8:50
SPECIAL INTERVIEW: The DoJ’s Fraud Section Priorities: FCPA and Beyond
9:15

Third Party Due Diligence Dilemmas:

How Decision-Makers Are Making Tough Legal & Compliance Calls, and Addressing Urgent “Red Flags”
10:15
Networking Break
10:30
The CFTC’s Role in FCPA Enforcement
11:00
General Counsel Panel
11:45

Social Media and Messaging Apps:

What is Now Good Practice for Record Review and Retention, Discovery, Reporting, Evidence Gathering and Cybersecurity
12:30
Networking Luncheon
1:45
MULTINATIONAL THINK TANK
4:30
Conference Concludes

Day 1 - Wednesday, May 15, 2019

8:45
Opening Remarks from the Co-Chairs
Sandra Moser

Sandra Moser
Partner
Quinn Emanuel
(former Acting Chief, Fraud Section, U.S. Department of Justice)

Si-Yeon Kim
Chief Compliance & Risk Officer
American Express Global Business Travel

9:00

Individual and Corporate FCPA Prosecutions:

Status Report on FCPA Enforcement Trends, Priorities and “Piling On”
Charles E. Cain

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

Daniel Kahn
Chief, FCPA Unit
Fraud Section, Criminal Division

U.S. Department of Justice

Moderator:

Sarah Coyne
Partner
Weil, Gotshal & Manges LLP

USDOJ and SEC decision-makers will discuss the most impactful developments in recent memory, and the changing enforcement landscape.

  • Status report on the implementation of the DOJ’s Corporate Enforcement and “Piling On” Policies, including:
    • What is now required to sufficiently “voluntarily self-disclose misconduct and “fully cooperate”
    • What can trigger favorable treatment under the policy vs “aggravating circumstances”
    • What is “voluntary self-disclosure” within a “reasonably prompt time”?
    • Defining “full cooperation”
    • How “criminal recidivism” is defined
    • What is expected for “timely and appropriate remediation?”
  • Messaging Apps and Ephemeral Communications: What is now expected
  • What is now considered a violation of the internal controls provision of the FCPA
  • DOJ insights on the evaluation of corporate compliance programs
  • How the DOJ and SEC have been collaborating on enforcement matters
  • How recent court decisions affect the future of FCPA enforcement, including privilege and disgorgement
  • Focus on individual vs. corporate enforcement

9:45

The Unwritten Rules for “Right-Sizing” an Anti-Corruption Compliance Program:

Real Life Lessons for Handling Complex and Unexpected Roadblocks

Hillary Rosenberg
Managing Director and Global Head, Anti-Bribery & Corruption
Standard Chartered Bank

Hollie Foust
Senior Vice President, Ethics & Compliance
Cardinal Health

Steph Vogel
Deputy Chief Compliance Officer
National Basketball Association

This session will offer an “inside look” at the reallife challenges and best practices for tailoring a global anti-corruption compliance program to the specific context of your organization. Experts will discuss their approaches to difficult decisionmaking, including resource allocation, program structure and implementation. The panel willinclude a special focus on concrete examples and “war stories.”

10:45
Networking Break
11:15

International Prosecutions Roundtable:

Status Report on Cross-Border Information Sharing and Multi- Jurisdictional Coordination for Corruption Cases

Speakers Include:

Eugenio Ricas

Eugenio Ricas

Brazilian Federal Police Attaché

Camilla de Silva

Camilla de Silva
Joint Head of Bribery and Corruption
UK Serious Fraud Office

Moderator:

James P. Loonam
Partner
Jones Day

At this unique session, participants will gain insights and updates from enforcement officials and decision-makers from outside the United States.

12:15

Defense Counsel Perspectives on Cross-Border Government and Internal Investigations:

The Top 5 Most Critical Decisions to Get Right

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

Jay Holtmeier

Jay Holtmeier
Partner
WilmerHale

Jenny Kramer
Partner
Alston & Bird LLP

At this highly anticipated session, expert practitioners will discuss what multi-jurisdictional enforcement truly looks like on the ground-and how best to manage increasing, overlapping and uncertain risk factors:

  • The risk of “follow-on” cases: When a resolved or settled case in one jurisdiction could trigger new bribery investigations in other countries
  • Best practices for communicating with foreign authorities
  • Managing the uncertain risks posed by the enforcement of a new or amended anti-bribery law
  • How a settlement in one jurisdiction could affect a company’s business operations in other key markets
  • Local laws affecting your internal investigation and ability to cooperate with authorities: Data privacy, State Secret Law, privilege, evidence-gathering procedures and more
  • When a DPA with the DOJ and/or a press release could “tip off” foreign authorities
  • When multi-jurisdictional bribery enforcement could spark investigations of other potential crimes, including fraud, money laundering and privacy violations-and vice versa
  • Impact of multi-jurisdictional enforcement risks on your decision to disclose or cooperate
1:00
Networking Luncheon
2:15

Compliance & Risk Management Strategy Session:

Evolving Your Program to Manage the Convergence of Anti-Corruption, Fraud, AML and Economic Sanctions Risks

Ryan Donohue
Executive Director-Legal & Compliance
Morgan Stanley

Eduardo A. Santiago-Acevedo
VP and Senior Regulatory Counsel
Prudential Financial

Paul Nathanson

Paul J. Nathanson
Partner
Davis Polk & Wardwell LLP

No Picture Available

Deborah Connor
Chief, Money Laundering and Asset Recovery Section, Criminal Division
U.S. Department of Justice

  • Enhancing your program to identify and manage the convergence of various compliance risks
  • New technologies, tools and analytics to leverage for monitoring third party risk
  • Navigating the evolving economic sanctions environment and other regulatory enforcement initiatives
  • How recent, big ticket bribery settlements in the U.S. and abroad have affected overall industry compliance efforts
  • Individual and corporate liability risks for multiple bribery and other violations
  • How companies are ranking and managing interrelated risk factors
  • When FCPA enforcement actions have led to other types of government investigations and vice versa
  • Where enforcement officials in the U.S. and abroad have been the most active outside of the FCPA

3:15
Networking Break
3:45

Putting Your Data to Work:

The Lengths and Limits of Leveraging Data Analytics and Machine Learning for Third Party Monitoring

Carl Hahn
Chief Compliance Officer
Northrop Grumman

Travis Hunter
Vice President | Financial Crimes Compliance, Anti-Bribery and Corruption
HSBC North America Holdings Inc.

Panel Moderator

Tony Charles

Tony Charles
Chief Client Officer
STEELE Compliance Solutions, Inc.

  • What data analytics can and cannot do to identify potential third party risks
  • How to know which data mining and collection will fit your company’s needs
  • What a “dashboard” looks like in practice
  • How to leverage the data to better assess and monitor risks
  • Mining and interpreting data during compliance monitoring, audits and investigations
  • Justifying the cost and value-add to senior management and the Audit Committee
  • Concrete examples of extracting and using data for effective decision-making and risk management

4:45

“Creating a Risk of Bribery”:

What is Now Recommended for “Adequate” Internal Controls, Books and Records, and G & E Programs
Eric Schweiker

Eric Schweiker
Vice President & Associate General Counsel, Investigations
Hewlett Packard Enterprise

Nidhi Rao
Managing Director
BDO USA, LLP

Harris Fischman

Harris Fischman
Partner
Paul, Weiss, Rifkind, Wharton & Garrison LLP

Ira Raphaelson

Ira Raphaelson
Senior Counsel
White & Case LLP
Former General Counsel, Las Vegas Sands Corp

  • Accounting violations in the absence of bribery charges: What does it mean to “create a risk” of bribery?
  • What recent enforcement cases reveal about SEC expectations for internal controls
  • Identifying systematic patterns of bribery in your books and records
  • How to determine whether or not your internal controls adequately address risk, types of products, geographical considerations and other key risk factors
  • “Right-Sizing” your G & E program: Tailoring controls (including approvals processes) to the level of risk

5:30
Conference Adjourns
Networking Cocktail Reception Sponsored By: WilmerHale

Day 2 - Thursday, May 16, 2019

8:45
Co-Chairs’ Opening Remarks
Sandra Moser

Sandra Moser
Partner
Quinn Emanuel
(former Acting Chief, Fraud Section, U.S. Department of Justice)

Si-Yeon Kim
Chief Compliance & Risk Officer
American Express Global Business Travel

8:50
SPECIAL INTERVIEW: The DoJ’s Fraud Section Priorities: FCPA and Beyond
No Picture Available

Robert Zink
Acting Chief, Fraud Section, Criminal Division
U.S. Department of Justice

Moderator:

David M. Zinn
Partner
Williams & Connolly LLP

9:15

Third Party Due Diligence Dilemmas:

How Decision-Makers Are Making Tough Legal & Compliance Calls, and Addressing Urgent “Red Flags”

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

Rachel Semanchik
VP & Associate General Counsel
Harris Corporation

Justin Olson
Chief Compliance Officer
McDermott International

Panel Moderator

Erin G.H. Sloane

Erin G.H. Sloane
Partner
WilmerHale

Hear from proven leaders on how they are addressing pressing, time sensitive issues coming across their desks. Topics will include:

  • When your “gut” leads you to doubt what’s on paper
  • Making unpopular decisions: How sure do you need to be before moving forward?
  • “Forced Marriages” with local third parties
  • Special considerations for vetting investors, partners, agents, distributors, sub-distributors and lower tier supply chain members
  • When to consider terminating a third party relationship over bribery suspicions: Anti-Corruption, contractual and other key considerations
  • How confident to be in your compliance decision-making, supply chain management, and internal controls: How to work through high stakes, sensitive and complex issues
  • Justifying your decision to upper management

10:15
Networking Break
10:30
The CFTC’s Role in FCPA Enforcement

James McDonald
Director, Division of Enforcement
U.S. Commodity Futures Trading Commission (CFTC)

Moderator:

Jennifer L. Achilles
Partner
Reed Smith LLP

11:00
General Counsel Panel
John Blood

John Blood
General Counsel & Company Secretary
Anheuser-Busch InBev

Lisa Prager

Lisa Prager
General Counsel, Executive Vice-President
Agricultural Bank of China

Moderator

Tatiana Martins

Tatiana Martins
Partner
Davis Polk & Wardwell LLP

11:45

Social Media and Messaging Apps:

What is Now Good Practice for Record Review and Retention, Discovery, Reporting, Evidence Gathering and Cybersecurity
Aristedes Mahairas

Aristedes Mahairas
Special Agent in Charge Special Operations/Cyber Division, New York Office
Federal Bureau of Investigation

Maria D'Avanzo

Maria D’Avanzo
Chief Ethics & Compliance Officer
Cushman & Wakefield

Amanda Aikman

Amanda Aikman
Partner
Morrison & Foerster

  • Messaging Apps and the new DOJ Policy: The challenges to preventing “employees from using software that generates, but does not appropriately retain business records or communications
  • Addressing the logistical hurdles to implementing the new DOJ policy
  • Managing employee usage of WhatsApp and WeChat
  • Concrete examples of how industry is interpreting and applying the new 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

12:30
Networking Luncheon
1:45
MULTINATIONAL THINK TANK

Pei Li Wong
Managing Director - Global Forensics, Asia Forensic Desk Leader
BDO USA LLP

Jonathan Drimmer
Vice President, Deputy General Counsel
Barrick Gold

Si-Yeon Kim
Chief Compliance & Risk Officer
American Express Global Business Travel

Bruce Karpati
Member
KKR

Chinwe Esimai

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

Kara Novaco Brockmeyer
Partner
Debevoise & Plimpton LLP

Sandra Moser

Sandra Moser
Partner
Quinn Emanuel
(former Acting Chief, Fraud Section, U.S. Department of Justice)

Designed as a series of interactive discussions and benchmarking, faculty members will provide real-world takeaways for tackling the future of legal and compliance. Take this worthwhile, final opportunity to gain best practices and ask your questions!  

PART I: 1:45 p.m. – 2:30 p.m.

How to Know If You Have Covered All Compliance Bases in High Risk Markets: Key Metrics, Risk and Performance Indicators

  Led by:
Pei Li Wong
Pei Li Wong Managing Director – Global Forensics, Asia Forensic Desk Leader BDO USA LLP
Jonathan Drimmer
Jonathan Drimmer Vice President, Deputy General Counsel Barrick Gold
 
  • Managing the Costs and Risks Posed by “Regulatory Divergence”
  • The latest best practices for implementing a risk-based program tailored to a specific country or region
  • Metrics to apply toward evaluating your program
 

PART II: 2:30 p.m. – 3:15 p.m.

Risk Assessments: Concrete Examples of “Value-Add” Takeaways for Your Analysis, Program and Business

  Led by:
Si-Yeon Kim
Si-Yeon Kim Chief Compliance & Risk Officer American Express Global Business Travel
Bruce Karpati
Bruce Karpati Member KKR
 
Chinwe Esimai
Chinwe Esimai Managing Director – Chief Anti-Bribery & Corruption Officer Citi
 
  • The latest approaches to identifying and measuring new, emerging risk factors
  • Updating risk management practices as the global economic, legal and compliance landscapes evolve
 

PART III: 3:15 p.m. – 4:00 p.m.

What’s Missing in Your Internal Investigations Program?

  Led by:
Kara Novaco Brockmeyer
Kara Novaco Brockmeyer Partner Debevoise & Plimpton LLP
Sandra Moser
Sandra Moser Partner Quinn Emanuel (former Acting Chief, Fraud Section, U.S. Department of Justice)
 
  • Addressing the most significant investigative challenges posed by GDPR, including:
    • Risk of losing helpful, relevant data to the internal investigations
    • Reconciling varying rules by Member States
  • Managing the impact of foreign labor laws on the scope of internal investigations
  • Evolving a program, including reporting structures, and assignment of roles and responsibilities
  • When and when not to investigate new or peripheral red flags

4:30
Conference Concludes

FCPA BOOT CAMP: A Deep Dive into Key Requirements and Cases Affecting Global Business and Compliance

May 14, 2019 9:00am – 12:30pm

Workshop Leaders Include:

Michelle J. Shapiro
Partner
Arent Fox LLP

Richard Davies
Global Chief Ethics & Compliance Officer
Avon Products, Inc.

Jacki Cheslow
Director, Business Ethics and Compliance
Avis Budget Group

What is it about?

(Registration Begins at 8:30 am) Expert faculty members will take a deep dive into the nuts and bolts of the FCPA, and key enforcement matters toward laying the groundwork for the rest of the conference. Participants will benefit from a solid foundation, smaller-group learning, enhanced Q & A and helpful reference materials for their daily work after the event. Topics will include:
  • Who is covered by the FCPA
    • Foreign Private Issuers (FPI) — who qualifies?
    • Foreign subsidiaries, joint venture partners?
    • What is the extraterritorial reach of the FCPA?
    • What are the implications for employees, executives and board members?
  • Key enforcement agencies, their roles and jurisdictions
  • A close look at new, heightened risks affecting organizations and their employees:
    • Criminal liability
    • Civil liability
    • Regulatory actions and shareholder suits
    • Reputational damage
    • Whistleblower complaints
    • Debarment
  • What it means to “pay, offer or promise to pay, or authorize the payment of anything of value to a foreign official in order to influence any act or decision of the official in order to obtain or retain business”
  • Who is a “foreign official” under the FCPA and how to deal with employees of state-owned enterprises
  • What does “anything of value” mean?
    • Gifts and entertainment
    • Travel
    • Charitable and political contributions
  • What are the exceptions under the FCPA?
    • Facilitating payments: limits on “grease”
    • Reasonable and bona fide expenditures
  • Third party due diligence and monitoring requirements
    • Distributors and sub-distributors
    • Agents
    • Consultants
    • Joint venture partners
    • Customs agents and brokers
  • Books and records requirements: Maintaining records that “accurately and fairly” reflect transactions
  • How the FCPA has been enforced around the world: Lessons learned from key settlements

SUPPLY CHAIN DUE DILIGENCE: Inside The Most Successful, Cost-Effective Approaches to Vetting the Upper and Lower Tiers of Your Supply Chain

May 14, 2019 1:30pm – 5:00pm

Faculty Members Include:

Rayne Towns
Compliance Leader, TEPS, TXLE & Webscale and NAM
Nokia

Sarah Foley
Compliance Specialist
Orrick

What is it about?

(Registration Begins at 1:00 pm) At this practical, industry-driven working group, expert speakers will discuss how companies are determining how far down the supply chain to explore, and developing a tiered due diligence approach based on the appropriate risk level and type of third party. The session will discuss how to re-evaluate your risk ranking approach and control the costs of a robust program. With evolving risk factors and compliance obligations, don’t miss this worthwhile opportunity to upgrade your best practices. Ample time will be left for Q & A, so please bring your questions!
  • How far you need to go in vetting your supply chain: 1st, 2nd, 3rd, 4th and lower tier supply chain members
  • Developing a model that stratifies your risk based on third parties-and how to perform due diligence accordingly
  • What you need in a questionnaire for third parties
  • Unique challenges associated with critical types of third parties for your global business
  • When and how much due diligence to perform for an ongoing, existing third party relationship
  • Understanding the local business environment, customs and practices
  • How to incorporate effective front-end vetting and screening protocols based on the type of relationship and interests represented by the third party
  • 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