Registration and Continental Breakfast

Conference Co-Chairs’ Opening Remarks

Keynote Government Interview

SPECIAL INTERVIEW WITH AN ANTI-CORRUPTION PROSECUTOR

Maestro Odracir Ricardo Espinoza Valdez
Anti-Corruption Prosecutor for the State of Sonora
President
National Convention of Anti-Corruption Prosecutors

Coffee & Networking Break

AUDIENCE POLLING

Gifts, Travel & Entertainment: Shifting Sands in Terms of Regulation and Policy in Mexico

• Interpreting the GLAR’s explicit prohibition of gifts, travel, entertainment & hospitality versus AMLO’s program to combat corruption (“Ningún funcionario público podrá recibir regalos, cuyo valor exceda los 5 mil pesos”)
• Status update on enforcement of the policy
• How does the law apply to public versus private officials?
• Who determines what is a “reasonable” gift, entertainment or hospitality request? What guidelines can businesses use to adapt their corporate policies to the requirements of the law?
• How to identify who is involved in the authorization and approval of gifts, hospitality and other requests?
• Clarifying the policy’s scope of application: Trips to conduct investigations, marketing-related activities, etc.
• How to handle business interactions with both corporate entities and officials from high risk jurisdictions

CORPORATE CRIMINAL LIABILITY IN MEXICO

How La Responsabilidad Penal de Personas Morales is Increasing Executives’ Risk Exposure: The New Realities Confronting Compliance Officers and Legal Counsel

• How corporate criminal liability (prosecuted by the attorney general’s office) now intersects with administrative liability (overseen by the Función Pública)
• What is the respective authority of the Attorney General’s office versus the Función Pública
• Parallel Investigations: Implications for one investigation if a company resolves the second/parallel investigation via, for example, a DPA (criterio de oportunidad)?
• How criminal attorneys are focusing more on anti-corruption compliance to mitigate exposure to the biggest risks

AUDIENCE POLLING

The 5 Newest Third Party Due Diligence and Audit Challenges – and How to Overcome Them

• Transparency of Ownership: Understanding the significance of identifying beneficial ownership structures •• Risks Posed by Unavailability of Information: How to overcome data privacy hurdles when conducting due diligence on an existing or new third party
• Evaluating risk factors for third party vendors, suppliers, contractors, brokers, intermediaries, agents or partners
• Positioning due diligence within your business objectives
• How to develop a business partner code of conduct and determine the optimal frequency of reviewing your existing partnerships
• Tracking payments: How to avoid being caught up in a potential anti-money laundering scheme
• What’s next? Is due diligence sufficient and the only step required? How to effectively monitor the compliance performance of your intermediaries

Networking Lunch

CEO INTERVIEW

AUDIENCE POLLING – WHAT WOULD YOU DO IF…

Securing Business Licenses and Permits from Municipalities: The Finer Points of Interacting with Local Government Officials

• How to interpret the legal framework in which municipalities may issue permits and licenses
• How to identify fabricated requests and improper solicitation of payments
• Understanding what licenses, permits, or certifications are legally required and how they differ across municipalities
• Working with local government during the approval process and inspection visits, and guidance for interacting with different government agencies
• What supporting documentation should you obtain to minimize the risk of anti-corruption violations and how it differs on the local vs. federal levels?
• How to tailor your controls and procedures to the risks presented by different municipalities within Mexico
• When to report potential difficulties related to bribery and when to involve the federal government?

Coffee & Networking Break

TECHNOLOGY & DATA ANALYTICS

The Latest Best Practices for Leveraging Technology to Map and Monitor Corruption Risks

OPEN Q & A PANEL WITH GOVERNMENT ALUMNI

Key Takeaways for Weathering the Transition amid a New Administration

• What is left of AMLO’s primary presidential campaign priority of tackling corruption?
• How AMLO expects to tackle corruption: Will corruption be tackled “institutionally” and through a structural transformation of the system?
• The importance and influence of the public/citizens and the Citizenship Committee: Does its voice count as much as it ought to?
• What remains to be done: Appointment of the independent special anti-corruption prosecutor
• Status update on the General Law of Administrative Responsibilities (GLAR):
  • The “integrity policy”
  • Credit for self-disclosure in practice
  • Sanctions for companies and individuals
• Juxtaposing the GLAR with the USDOJ’s sentencing guidelines

Conference Adjourns

NEW

IN-HOUSE COMPLIANCE ROUNDTABLE

Iris E. Bennett
Member
Smith Pachter McWhorter PLC

This unique “boardroom-style” networking and benchmarking session will gather chief compliance officers and legal executives. Designed as exclusive, smaller-group discussions on highly complex challenges, participants benefit from meaningful opportunities to exchange “war stories” and best practices. All interested parties will be pre-qualified before registering for the session. Questions for discussion will include topics such as:

• What can Compliance / Legal do to help manage tensions between the company’s need to meet its “bottom line” financial needs and the need for an effective compliance program?
• What lessons have you/your company taken from past compliance issues or crises, and how have you put those lessons into practice?
• What does your company do to encourage employees to come forward with reports of misconduct? How is the company’s commitment to non-retaliation communicated and enforced?
• How does your company review and respond to misconduct? How do you ensure that the company’s responses adequately discourage misconduct and promote accountability throughout the organization, including at leadership levels?
• What does your team do to help ensure that your company’s tone at the top supports a culture of compliance?
• How do you evaluate whether business leaders are committed to and knowledgeable about the anticorruption program?
• What advice do you have for a compliance or legal professional who needs to decide whether to say “no” for compliance reasons to a critical business opportunity (contract, merger or acquisition, important business partner relationship) for their company?
• In Mexico, the government has lagged in enforcing its anticorruption system. What challenges does this pose for ensuring that a company in Mexico puts in the time and money required for an effective compliance program? How would you advise others who wish to take on that challenge?
• What “keeps you up at night” in terms of compliance risk for a company doing business in Mexico?

Continental Breakfast

Conference Co-Chairs’ Remarks

SPECIAL INTERVIEW

THE ROLE OF THE BOARD IN COMPLIANCE: What Is the Appropriate Level of Involvement in the Company’s Compliance Efforts? What is the Role of the Board and, Especially, of Independent Members in the Case of Investigations and Crises?

Dr. Octavio F. Pastrana
Board Member and Chair of Strategy and Investment Committee
Petróleos Mexicanos (PEMEX)

Dr. Fernando Ruíz S.
Member of the Board of Directors and of the Audit and/or Corporate Practice Committees
Bolsa Mexicana de Valores, Fresnillo PLC, Grupo Cementos de Chihuahua, Grupo Financiero Santander, Grupo Palacio de Hierro, Grupo Pochteca, Kimberly Clark de México, Rassini

Moderator

Carlos Chávez A.
Partner
Galicia Abogados, S.C.

• How do board members perceive their responsibility and decision making power regarding compliance efforts?
• How does compliance fit within the board members’ fiduciary duties?
• How can board members set the “tone-at-the-top” on anti-corruption and other compliance issues?
• What is the relationship with management and the control officer? What should be the frequency of reporting?
• Investigations: board members’ role, relationship with outside counsel and stakeholders
• Decision making: self-reporting, separation of officers, employees and Board members
• Dialogue with enforcers/regulators
• Risk of personal liability

SPECIAL INTERVIEW with the U.S. Department of Justice – FCPA Enforcement in Mexico and the Region: Updates on Revised Policy, Priorities and Close Collaboration with Regional Prosecutors

Christopher J. Cestaro
Assistant Chief, Criminal Division, Fraud Section, FCPA Unit
U.S. Department of Justice

Moderator

Matteson Ellis
Member
Miller & Chevalier Chartered (USA)

Coffee & Networking Break

THE NEXUS BETWEEN ANTI-CORRUPTION AND TRADE

Updating Your Internal Controls, Ethics and Compliance Program in Response to Chapter 27 of the United States–Mexico–Canada Agreement (USMCA)

• How Chapter 27 addresses the fight against corruption and what can realistically be expected
• Impact of Chapter 27 on the national anti-corruption policies of Mexico, the United States and Canada
• Which industries (e.g., energy, life sciences) are most likely to be affected by Chapter 27 and how
• What new anti-corruption obligations companies now face, and how to adapt to new rules and guidelines
• Will the USMCA lead to closer cooperation, coordination and exchange of information among national and international enforcement agencies?
• How Chapter 27 defines a “public” official

ANTI-CORRUPTION & INTERNATIONAL TRADE

AMLO’s Proposal for Public Bidding and Procurement under the Auspices of Citizens and the United Nations – What to Expect?

• AMLO’s announced review of public contracts awarded during Peña-Nieto’s tenure: How does it help the fight against corruption?
• The implications for combating bribery by instituting public tenders and consolidated purchases to replace direct awarding of public works contracts
• Involving citizens and UN observers in public tenders. How will it further the fight against corruption?
• How to implement a guide for public bidding that teaches your employees to take account of corruption risks
  • How best to respond to specific questions
  • What questions to ask
  • When to stop negotiating
  • When to alert the appropriate authorities

SPECIAL ADDRESS

Networking Lunch

JOINT VENTURES

How to Address New Operational Hurdles Affecting Your Anti-Corruption Compliance Efforts with Various Business Partners, Including State-Owned Entities

The “ramp-up” phase of Mexico’s landmark energy reform is over. As the “operational” phase begins, multinationals are re-examining their safeguards against the biggest corruption risks involved in a joint venture, the most common business partnership arrangement in Mexico’s energy sector. This panel will shed light on the greatest pitfalls and missteps by way of practical, real-life examples and hypotheticals.  

• The “new” PEMEX and CFE (Comisión Federal de Electricidad): Priorities of the new government
• Dealing with joint operating agreements and multiple JV partners with different understandings of compliance and cultures
• Do compliance responsibilities and requirements vary between operating and non-operating partners?
• What to make of AMLO’s announcement to audit the process of awarding concessions

ANTI-MONEY LAUNDERING AND ANTI-CORRUPTION

How Mexican Industry is Fighting Corruption by Instituting Integrity and Transparency in the Financial Sector: Practical Guidance for Stakeholder

This panel with experts from the financial sector will provide practical, real life illustrations of the intersection of money laundering and corruption. Concretely, it will describe:  

• How money is flowing through the financial system
• How funds are being transferred illegally
• The use of on- and offshore shell corporations and other moneylaundering fronts
• Typologies of corruption and embezzlement
• Measures to improve AML mechanisms to mitigate bribery

Networking Break

AUDIENCE POLLING

High-Stakes M&A Risks and How to Overcome Them: The Unwritten Lessons for Minimizing Risks at the Pre- and Post-Acquisition Stages

• How to review programs and address gaps, training, audit process, speak-up culture and whistleblowing, etc.
• How to analyze the impact of the deal on FCPA risks for both parties
• Determining yours and your client’s risk tolerance at the due diligence stage: Deciding how far to go in conducting due diligence during the pre-transaction stage
• Pre- vs. post-transaction due diligence

Conference Concludes