Day 1 - Tuesday, May 8, 2018

8:30
Co-Chairs’ Opening Remarks
8:45
The New FCPA Corporate Enforcement Policy: The DOJ Provides Updates
9:45

ROUNDTABLE DISCUSSION

The New Corporate Enforcement Policy in Practice: What Changes, What Stays the Same in Your Disclosure Calculus and Investigation Management
10:30
Networking Break
10:45
General Counsel Interview
11:15

REAL-LIFE CASE STUDY

Data Analytics and AI in Practice: What It Really Takes to Leverage Innovation to Strengthen an Anti-Corruption Compliance Program
12:15
Networking Luncheon
1:30

THIRD PARTY COMPLIANCE BENCHMARKING

Vetting and Monitoring Best Practices: Concrete Examples of Compliance Upgrades and Effective Third Party Risk Management
2:45
General Counsel Interview
3:15
Networking Break
3:30
Global Sports Corruption and Money Laundering Investigations: Enforcement Update & Cross-Industry Takeaways
4:30
Defending Your FCPA Compliance Program to the Agencies: Practitioners Discuss Their Experiences with Preparing for a Meeting and What to Expect
5:30
Conference Adjourns
5:31
Cocktail Reception hosted by:

Day 2 - Wednesday, May 9, 2018

8:30
Co-Chairs’ Opening Remarks
8:35
FCPA, Economic Sanctions, AML, Export Controls and False Claims: Evolving Your Risk Management Strategy in Response to Overlapping Exposure and Cross-Agency Collaboration
9:15
“Operationalizing” Your Global Compliance Program: Dovetailing Your Program with the Company’s Overall Business Strategy
10:15
Networking Break
10:30
Interview
11:00
Internal Controls: A Key Defense In An Era of Convergence
11:45
Keynote Address
12:15
Networking Luncheon
1:30
Keynote Address
2:00

LATIN AMERICA ROUNDTABLE

Strategic Insights for Re-Evaluating Collateral Risks across the Region Post-Lava Jato – Operation Car Wash
3:00
Special Considerations for Financial Institutions, Hedge Fund and Private Equity Firms: New, Evolving Corruption Risk Factors to Flag Now
4:00

ADVISORY BOARD PANEL

Ask The Experts: Q & A with ACI’s Global Anti-Corruption Advisory Board
5:00
Main Conference Ends

Executive Roundtable on Global Compliance Programs

May 10, 2018 9:00am - 5:30pm

Speakers

CO-CHAIRS INCLUDE:

Jeffrey Taylor
Deputy General Counsel & Chief Compliance Officer
General Motors

Ellen Lafferty
Senior Vice President US Head of Anti-Bribery & Corruption
HSBC Bank USA, N.A.

Daniel Trujillo
Senior Vice President, Chief Ethics & Compliance Officer
Walmart International

Elaina Loizou
Chief Compliance Officer
Pall Corporation, a subsidiary of Danaher Corporation

Jonathan J. Rusch
SVP – Head of Anti-Bribery & Corruption Governance Conduct Management Office – Ethics Oversight
Wells Fargo

Day 1 - Tuesday, May 8, 2018

8:30
Co-Chairs’ Opening Remarks

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

Leslie Caldwell
Partner
Latham & Watkins LLP

8:45
The New FCPA Corporate Enforcement Policy: The DOJ Provides Updates

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

Jacquelyn M. Kasulis
Chief, Business and Securities Fraud Section
U.S. Attorney’s Office for the Eastern District of New York

Janis M. Echenberg
Deputy Chief, Criminal Division
U.S. Attorney's Office, Southern District of New York

Moderator:

Jay Holtmeier
Partner
WilmerHale

  • What is required for a company to:
    • sufficiently “voluntarily self-disclose misconduct
    • “fully cooperate”
  • When a company’s actions would be deemed sufficient to trigger favorable treatment under the policy vs “aggravating circumstances”
  • The methodology that the DOJ will use to calculate profits subject to disgorgement
  • What is “voluntary self-disclosure” within a “reasonably prompt time”?
  • Defining “full cooperation”
  • How “criminal recidivism” is defined
  • How the elements of the policy are being interpreted and applied:
    • disclosure of all relevant facts
    • proactive rather than reactive cooperation
    • timely preservation, collection, and disclosure of relevant documents and information
    • de-confliction of witnesses interviews and other investigative steps
    • making company officers and employees who possess relevant information available for interviews by DOJ personnel.
  • What is expected for “timely and appropriate remediation?”
  • Messaging Apps: What is expected to prevent “employees from using software that generates, but does not appropriately retain business records or communications”

9:45

ROUNDTABLE DISCUSSION

The New Corporate Enforcement Policy in Practice: What Changes, What Stays the Same in Your Disclosure Calculus and Investigation Management

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

Robert L. Capers
Partner
Arent Fox LLP

William Devaney
Partner
Baker & McKenzie LLP

During this practical discussion, former prosecutors and expert practitioners will address how the new corporate enforcement policy is impacting key decision-making and risk management. Audience members
will have the opportunity to ask questions and gain insight into addressing a wide variety of critical issues, including the decision to disclose and cooperate in the context of an investigation.

10:30
Networking Break
10:45
General Counsel Interview

Eileen G. Akerson
Executive Vice President and General Counsel
KBR

Moderator:

Timothy L. Dickinson
Partner
Paul Hastings LLP

During this “fireside chat”, Eileen Akerson will discuss big picture, emerging legal risks that are top of mind. The interview will cover anticorruption, as well as related challenges. Lending additional context to
the rest of the conference, participants will benefit from strategic insights on the most pressing risks moving forward.

11:15

REAL-LIFE CASE STUDY

Data Analytics and AI in Practice: What It Really Takes to Leverage Innovation to Strengthen an Anti-Corruption Compliance Program

Sapan Singh
Director Compliance Indirect Channel and Data Analytics Programs
Stryker

Michael Skrief
Partner
PwC

During this highly antcipated session, audience members will benefit from a real-life case study on how a company successfully utilized data analytics and AI to upgrade their program.

  • What data analytics can and cannot do to identify potential risks
  • How to know which data mining and collection will fit your company’s needs
  • The latest automated controls that are accurately flagging suspicious payments
  • What a “dashboard” looks like in practice
  • How to leverage the data to better assess and monitor risks and transaction anomalies
  • Justifying the cost and value-add to senior management and the Audit Committee

12:15
Networking Luncheon
1:30

THIRD PARTY COMPLIANCE BENCHMARKING

Vetting and Monitoring Best Practices: Concrete Examples of Compliance Upgrades and Effective Third Party Risk Management

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

Tony Charles
Chief Client Officer
STEELE Compliance Solutions, Inc.

Truman K. Butler
VP, Ethics & Compliance
Shire Pharmaceuticals

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

  • How far you need to go in vetting third parties and supply chain members: 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
  • When to consider terminating a third party relationship over bribery suspicions: Anti-corruption, contractual and other key considerations

2:45
General Counsel Interview

David Levine
Chief Legal Officer
Och-Ziff Capital Management

Moderator:

Richard Walker
Partner
King & Spalding

During this interview, David Levine, Chief Legal Officer will discuss the evolving legal landscape, and insights on 2018 and beyond. The interview will cover anti-corruption, as well as related challenges. Participants will benefit from big picture insights on risk moving forward.

3:15
Networking Break
3:30
Global Sports Corruption and Money Laundering Investigations: Enforcement Update & Cross-Industry Takeaways

Samuel P. Nitze
Assistant United States Attorney
U.S. Attorney’s Office for the Eastern District of New York

Paul Tuchmann
Assistant United States Attorney
U.S. Attorney’s Office for the Eastern District of New York

Evan M. Norris
Counsel
Cravath, Swaine & Moore LLP

Jim Walden
Partner
Walden Macht & Haran LLP

At this highly anticipated session, participants will benefit from a discussion of recent developments and the practical impact on a myriad of industries. Whether you are part of the sports industry or another sector, take away insights that can help to strengthen your due diligence, policies and procedures.

4:30
Defending Your FCPA Compliance Program to the Agencies: Practitioners Discuss Their Experiences with Preparing for a Meeting and What to Expect

Erin G.H. Sloane
Partner
WilmerHale

Daniel Braun
Partner
Freshfields Bruckhaus Deringer

James Loonam
Of Counsel
Jones Day

This highly anticipated session will navigate how to prepare for meetings with the DOJ and walk government decision-makers through your program. Expert speakers will impart their experiences in what the DOJ is looking for with respect to key program elements and improvements, and best practices for cultivating a positive working relationship.

 

Benefit from an opportunity to hear from seasoned practitioners with extensive experience and ask them your questions. Amid new, evolving compliance and enforcement developments, take away important lessons learned and helpful insights for your organization.

5:30
Conference Adjourns
5:31
Cocktail Reception hosted by:

Day 2 - Wednesday, May 9, 2018

8:30
Co-Chairs’ Opening Remarks
8:35
FCPA, Economic Sanctions, AML, Export Controls and False Claims: Evolving Your Risk Management Strategy in Response to Overlapping Exposure and Cross-Agency Collaboration

William Gordon
Associate General Counsel & Chief Compliance Officer
Hercules Offshore, Inc.

Katie Kedian
Senior Counsel
Raytheon Company

  • How companies are weighing and managing interrelated risk factors
  • When FCPA enforcement actions have led to other types of government investigations and vice versa
  • Where enforcement officials have been the most active outside of the FCPA
  • Upgrading your global compliance strategy to confront evolving legal and compliance challenges
  • Industry perspectives on the most pressing risks
  • How recent, big ticket FCPA settlements have affected overall industry compliance efforts

9:15
“Operationalizing” Your Global Compliance Program: Dovetailing Your Program with the Company’s Overall Business Strategy

Jisha Dymond
Chief of Staff & Compliance Counsel
Och-Ziff Capital Management

Laura M. Skrief
Partner
PwC

Rayne Towns
Lead Compliance Counsel, NAM
Nokia

Shana Cappell
Senior Legal Director, Chief Anti-Corruption/Investigations Counsel
PepsiCo

Moderator:

Thomas Firestone
Partner
Baker & McKenzie LLP

Learn about successes and best practices for embedding global regulatory requirements into your processes and procedures. Benefit from first-hand insights and concrete examples of pitfalls to avoid at the implementation stage, along with real-world insights on managing compliance, business and financial objectives.

10:15
Networking Break
10:30
Interview

David Yawman
Executive Vice President of Government Affairs, General Counsel and Corporate Secretary
PepsiCo, Inc.

Moderator:

F. Joseph Warin
Partner
Gibson Dunn & Crutcher LLP

During this highly anticipated interview, David Yawman will offer insights on pressing, emerging legal risks that are top of mind for a multi-national corporation. The discussion will cover anti-corruption, as well as a broad array of related issues amid an evolving enforcement landscape.

11:00
Internal Controls: A Key Defense In An Era of Convergence

Faizal Karim
Executive Director – Legal and Compliance Global Head of Financial Crimes Testing
Morgan Stanley

Phyllis Nordstrom
Chief Risk and Compliance Officer
MTS Systems Corporation

Bruce Searby
Partner & Co-Founder
Searby LLP

Denise Messemer
Director
PwC LLP

New for this year, this practical panel will address the intricacies of detecting red flags. Audience members will take away the latest best practices for upgrading financial controls to keep up with the latest expectations.

 

  • “Internal Controls” defined (or are they)?
  • Expectations for internal controls, and how they can be met
  • Using internal controls as a defense: Examples and lessons learned
  • How to determine (and who determines) which controls are needed
  • The finer points of testing and monitoring compliance and financial controls

11:45
Keynote Address

Rod J. Rosenstein
Deputy Attorney General
U.S. Department of Justice

12:15
Networking Luncheon
1:30
Keynote Address

Pascale Dubois
Vice President for Integrity
World Bank Group

2:00

LATIN AMERICA ROUNDTABLE

Strategic Insights for Re-Evaluating Collateral Risks across the Region Post-Lava Jato – Operation Car Wash

Antenor Madruga
Partner
Feldens Madruga Advogados (Brazil)

Hector Gadea Benavides
Partner
Benites & Ugaz (Peru)

Roberto P. Bauzá
Partner
Rattagan Macchiavello Arocena (Argentina)

  • The true impact of Lava Jato inside and outside of Brazil
  • How “Operation Car Wash” is affecting the evolution of risk assessments and industry compliance programs across Latin America
  • How companies are adapting to the new on-the-ground realities of implementing an effective anti-corruption compliance program
  • What to do if your company is directly or indirectly implicated by “Operation Car Wash” (or entangled in another government bribery investigation)
  • How to leverage recent lessons and settlements to better evaluate and mitigate risk moving forward

3:00
Special Considerations for Financial Institutions, Hedge Fund and Private Equity Firms: New, Evolving Corruption Risk Factors to Flag Now

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

Bruce Karpati
Member
KKR

Peter H. White
Partner
Schulte Roth & Zabel LLP

Sandee Parrado
Partner
PwC

  • Dealing with sovereign wealth funds and other foreign investors: Unique and heightened FCPA considerations affecting your business
  • Financial and underwriting transactions: New considerations for vetting corruption risks
  • Managing the relationship of ABC with fraud, AML and financial compliance
  • Emerging risks that might affect your risk profile moving forward
  • Lessons learned from recent FCPA settlements

4:00

ADVISORY BOARD PANEL

Ask The Experts: Q & A with ACI’s Global Anti-Corruption Advisory Board

Kara Novaco Brockmeyer
Partner
Debevoise & Plimpton LLP

Timothy L. Dickinson
Partner
Paul Hastings LLP

William B. Jacobson
Partner
Orrick, Herrington & Sutcliffe LLP

Bruce Karpati
Member
KKR

Therese Lee
Senior Counsel Ethics & Compliance
Google Inc.

Lucinda A. Low
Partner
Steptoe & Johnson LLP

F. Joseph Warin
Partner
Gibson Dunn & Crutcher LLP

Manny Alas
Partner and Global FCPA Leader
PwC

Adrian Mebane
Vice President, Global Ethics and Compliance
The Hershey Company

Glenn T. Ware
Principal and Anti-Corruption & Program Integrity Leader
PwC LLP

Homer E. Moyer, Jr.
Member
Miller & Chevalier Chartered

At this exclusive session, benefit from a unique opportunity to ask your questions to members of ACI’s Global Anti-Corruption Advisory Board, which consists of experts involved in addressing some of the most
complex FCPA matters in history.

 

Questions may be submitted anonymously or asked during the session.

5:00
Main Conference Ends

Executive Roundtable on Global Compliance Programs

May 10, 2018 9:00am - 5:30pm

$1,395

Speakers

CO-CHAIRS INCLUDE:

Jeffrey Taylor
Deputy General Counsel & Chief Compliance Officer
General Motors

Ellen Lafferty
Senior Vice President US Head of Anti-Bribery & Corruption
HSBC Bank USA, N.A.

Daniel Trujillo
Senior Vice President, Chief Ethics & Compliance Officer
Walmart International

Elaina Loizou
Chief Compliance Officer
Pall Corporation, a subsidiary of Danaher Corporation

Jonathan J. Rusch
SVP – Head of Anti-Bribery & Corruption Governance Conduct Management Office – Ethics Oversight
Wells Fargo

What is it about?

The acclaimed post-conference Executive Roundtable on Global Anti-Corruption Compliance Programs is a unique “boardroomstyle” forum that will provide exclusive, smaller group networking and benchmarking on a broad range of compliance challenges and
risk management.

Toward ensuring a meaningful networking and benchmarking experience, attendance will be limited.

8:30
Opening Remarks by the Co-Chairs

 

 

8:45
THE EVOLVING COMPLIANCE FUNCTION AND
INDIVIDUAL LIABILITY RISKS: Cross-Industry
Perspectives on the Roles, Responsibilities and
Requirements for Success on the Job

 

Faculty members will discuss new legal, compliance, business and economic trends impacting companies doing business globally, and what they mean for the compliance function moving forward. This session will also address how recent trends have affected corporate strategy, and where the compliance role fits into a company’s overall plan for growth.


9:15
RESOURCE ALLOCATION & YOUR BUDGET: How
to Implement a “Defendable”, Right-Sized FCPA
Compliance Program

 

This session will offer real-world perspectives on how to make a wise compliance investment.

Varying approaches to resource allocation and implementation will be discussed, along with concrete examples of recent innovations. Industry leaders will also relay insights on the realities of confronting tough budget and implementation challenges.

Topics will include:

  • Budgetary pressures: Determining which resources are essential for your program, and best practices for maximizing efficiencies
  • Concrete examples of how to successfully implement core components
    of an effective global anti-corruption compliance program
  • Ensuring that your program is sustainable and adaptable to business needs and growth
  • Lessons learned: Common, unintentional missteps in resource allocation and program implementation
  • Securing senior management but-in for your program: How to resonate
  • Best practices for implementing key compliance program elements,
    including:

    • Employee hiring and training
    • Accountability
    • Reporting structure
    • Self-assessments
    • Policies and procedures
    • Monitoring
    • Gifts and entertainment
    • Third party due diligence
    • Transactional due diligence

 

10:30
Networking Break

 

10:45
Unique Considerations for HIGH RISK JURISDICTIONS:
Tailoring Each Component of Your Global Anti-Corruption
Compliance Program to the Realities of Different Markets

 

Faculty members will discuss how to update each component of a global anti-corruption program, and manage the interplay between the FCPA and foreign anti-bribery requirements.

  • How to know if your global compliance program is tailored to the realities on the ground
  • Centralizing vs. decentralizing: How to allocate corporate and local compliance resources
  • Localizing your Code of Conduct, policies and procedures, third party questionnaires, contracts, and employment agreements
  • Addressing local risks, including the local tax systems/requirements, licenses and permits, public procurement and local anti-bribery requirements
  • Addressing specific cultural nuances when localizing your training, and gifts and entertainment policies

 

 

11:45
HYPOTHETICAL SCENARIOS: Gifts, Entertainment &
Hospitality: What to Do When Local Customs Conflict with
FCPA Requirements

 

Faculty members will take you through a series of complex hypothetical scenarios, and propose practical solutions for minimizing the risk of noncompliance.

  • How far to go in adhering to local customs
  • Determining what is a “reasonable” gift, entertainment or hospitality item: Key factors that should guide your determination
  • Implementing a risk-based approach
  • Developing an effective approvals process
  • Recordkeeping do’s and don’ts

 

12:45
Networking Luncheon

 

 

1:45
THIRD PARTY AUDIT AND MONITORING PITFALLS:
The Latest Approaches to Addressing “On the Ground”
Obstacles

 

Through anecdotal insights, speakers will take you through the realities of third party audits, best practices for monitoring and when a “red flag” constitutes an actionable risk requiring escalation. The types of audits and issues to be discussed will include:

  • Government ownership
  • Books and records
  • Compliance structure of the third party
  • Third party contracts with downstream third parties
  • Access to records
  • How to perform audits on longstanding vs. new business partners
  • When audits should be done on a routine basis vs. only if there is a
    potential issue
  • How to evaluate third party compliance with the FCPA, and
    contractual terms and conditions:

    • examining compliance programs and codes of conduct – books,
      records and accounts of the third party
    • third party subsidiaries, joint ventures or affiliates
    • testing for gifts, travel and entertainment
    • reviewing expense reports for employees in high-risk positions or countries
    • examining commission payments and petty cash activity
    • analyzing the general ledger for high-risk transactions and cash
      advances

 

3:00
CORPORATE CULTURE AND COMPLIANCE AWARENESS:
What is Now Required for Effective Training and
Communications

 

This segment will address how to overcome the real-life obstacles to sustaining a strong compliance culture for the short-and long terms.

  • Determining the best training approach for your team
  • How to measure the effectiveness of your training
  • Fostering, sustaining and incentivizing compliance company-wide
  • Developing a sustainable strategy to prevent repeat scenarios
  • How to know if your message is being heard and followed
  • Overcoming training “fatigue”
  • How to strengthen your culture of compliance in the field

 

3:45
Networking Break

 

4:00
DATA PRIVACY AND ANTI-CORRUPTION COMPLIANCE:
Managing the Impact of Foreign Privacy Laws on Program
Implementation and Third Party Screening

 

  • How to address the impact of data privacy restrictions on:
    • Compliance audits and reviews
    • Third party due diligence, including your third party questionnaire and screening
    • Storage of third party data
    • Attempts to resolve “red flags” requiring more intrusive follow-up
      questions
  • Compliance in the EU and Russia

 

4:45
GLOBAL COMPLIANCE REVIEWS: How to Do a Complete
“Scrub” of Your Anti-Corruption Compliance Program to
Identify Weak Spots before It’s Too Late

 

  • How to structure the review and allocate responsibilities
  • Scoping the review: How to determine which transactions to test
    and who to interview
  • When to retain outside counsel
  • How often to conduct a compliance review
  • Testing: How companies have successfully utilized testing and implemented methodologies
  • Tailoring the review to different jurisdictions
  • Best practices for identifying compliance weak spots
  • Leveraging the results to strengthen your compliance program

 

 

5:45
Roundtable Concludes