Pre-Conference Workshops

THIRD PARTY DUE DILIGENCE: Inside The Latest Approaches to Third Party Vetting – How Much Due Diligence is Now Enough in High Risk Markets

Jun 25, 2018 1:30pm – 5:00pm

Speakers

Joseph Huigens
Counsel
Koley Jessen

Former Program Director for Global Anti-Corruption Compliance, Walmart

Michael J. Stitcher
Director, Ethics & Compliance
Olin

Day 1 - Tuesday, June 26, 2018

8:30
Opening Remarks from the Co-Chairs
8:45
Declinations, Aggravating Circumstances and Individual Liability Under the New DOJ Enforcement Policy: Disclosures, Cooperation and Remediation Now Required
9:45

CASE STUDIES

When Third Parties Won’t Cooperate: How to Overcome the Real-Life Obstacles to Monitoring and Auditing Third Party Anti-Corruption Compliance
10:45
Networking Break
11:00
SEC Enforcement Update
11:30

COMPLIANCE BENCHMARKING

Resource Allocation and Your Budget: What is Now a “Right- Sized”, Defendable Anti-Corruption Compliance Program?
12:30
Networking Luncheon
1:45

DATA ANALYTICS & AI

Live Demo on How to Use “Big Data” for Effective Risk Assessments, Compliance Improvements and Internal Investigations
2:45

CHINA

What’s Keeping You Up at Night? Perspectives and Q & A on Increasing Global Corruption and Related Risks – and How to Move Forward
3:45
Networking Break
4:00

ROUNDTABLE DISCUSSION

FCPA Disclosures Under the New DOJ Policy: The Newest, Increased Multi-Jurisdictional Enforcement Risks and Their Impact on Your Self- Disclosure Calculus
4:45

CHINA

Heightened Local Anti-Bribery, Whistleblower and Cyber Security Requirements – and Your Risk Profile: How Multinationals are Fine Tuning Their Programs in Response to New Realities
5:30
Conference Adjourns

Day 2 - Wednesday, June 27, 2018

8:30
Co-Chairs’ Opening Remarks
8:35

HYPOTHETICAL SCENARIOS

Would You or Wouldn’t You? When to Consider Terminating a Third Party Relationship Over Bribery Suspicions: Anti-Corruption, Contractual and Other Key Considerations
9:30

LATIN AMERICA

How the Latest Scandals, Enforcement Actions and Legislative Developments Are Affecting Risk and Compliance for Multinationals across the Region
10:30
Networking Break
10:45

HYPOTHETICAL SCENARIOS

Gifts, Entertainment & Hospitality: What to Do Now When Local Customs Conflict with FCPA Requirements
11:45
What’s Missing in Your Internal Investigations Program? The Top 10 Most Critical Decisions When Managing Cross-Border Investigations
12:45
Networking Luncheon
2:00
Data Privacy Restrictions on Investigations, Third Party Screening and Audits: A Rundown of the Most Common Missteps that Can Heighten Risks for Your Organization in the EU and Russia
2:45
Global Compliance Reviews: How to Evaluate Your Anti-Corruption Compliance Program to Identify Weak Spots Before It’s Too Late
3:30
Networking Break
3:45

CORPORATE CULTURE

Employee Hiring, Training and Communications: How to Know if Policies and Procedures Are Being Followed Across Your Corporate and Field Operations
4:30

CLOSING ROUNDTABLE

M & A Due Diligence Best Practices and Post-Acquisition Know-How
5:30
Conference Concludes

Day 1 - Tuesday, June 26, 2018

8:30
Opening Remarks from the Co-Chairs

Kimberly White
Compliance Officer
Ingredion

Jerome Tomas
Partner
Baker & McKenzie LLP

8:45
Declinations, Aggravating Circumstances and Individual Liability Under the New DOJ Enforcement Policy: Disclosures, Cooperation and Remediation Now Required

Ryan Rohlfsen
Partner
Ropes & Gray

  • What is required for a company to sufficiently “voluntarily self-disclose misconduct and “fully cooperate”
  • When there could be 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
  • 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

CASE STUDIES

When Third Parties Won’t Cooperate: How to Overcome the Real-Life Obstacles to Monitoring and Auditing Third Party Anti-Corruption Compliance

Michael Duran
Assistant General Counsel and Compliance Director
3M

Donald J. Ridings Jr.
Partner
Covington & Burling LLP

Melissa Small-Cefalu
Director- Forensic Services
PwC

Expert speakers will take you through the realities of auditing and monitoring different types of third parties, and how to address a lack of cooperation and other obstacles. Topics will include:  

  • When and how to monitor and 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 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
    • Government ownership
    • Third party contracts with downstream third parties
    • Examining commission payments and petty cash activity
    • Analyzing the general ledger for high-risk transactions and cash advances
  • What to do when third parties are not cooperating, including challenges to accessing records, and gaining answers to questionnaires and follow-up questions

10:45
Networking Break
11:00
SEC Enforcement Update

Robert Burson
Associate Regional Director, Chicago Regional Office
U.S. Securities and Exchange Commission

11:30

COMPLIANCE BENCHMARKING

Resource Allocation and Your Budget: What is Now a “Right- Sized”, Defendable Anti-Corruption Compliance Program?

Darcy S. Morowitz
VP, Internal Audit and Chief Compliance Officer
Navistar Inc.

Anne Takher
Associate Director, Ethics & Legal Compliance
Intel Corporation

Sarah Foley
Global Program Manager, Global Ethics & Compliance
The Hershey Company

This session will offer practical, diverse perspectives on how to make a wise compliance investment amid heightened government scrutiny. 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.

12:30
Networking Luncheon
1:45

DATA ANALYTICS & AI

Live Demo on How to Use “Big Data” for Effective Risk Assessments, Compliance Improvements and Internal Investigations

Eric Matrejek
Partner
PwC LLP

Anthony A. Moeller
Director, Forensic Services
PwC

Audience members will benefit from a live demo on how to utilize data analytics and AI to upgrade a global anti-corruption compliance program.  

  • What a “dashboard” looks like in practice
  • Tailoring data mining and collection to your company’s needs
  • The latest automated controls that are accurately flagging suspicious payments
  • Leveraging data to assess and monitor risks and transaction anomalies
  • Justifying the cost and value-add to senior management and the Audit Committee

2:45

CHINA

What’s Keeping You Up at Night? Perspectives and Q & A on Increasing Global Corruption and Related Risks – and How to Move Forward

Paul Liebenson
General Counsel
ArcelorMittal USA

J. Gregory Deis
Partner
Mayer Brown

Lisa B. Diaz
Senior Vice President, Assistant General Counsel
Northern Trust

At this practical session, benefit from first-hand insights on “big picture” considerations affecting global compliance and risk management moving forward. Speakers will offer their thoughts on FCPA and international enforcement risks, recent developments, and the practical impact for your overall business and growth strategies.

3:45
Networking Break
4:00

ROUNDTABLE DISCUSSION

FCPA Disclosures Under the New DOJ Policy: The Newest, Increased Multi-Jurisdictional Enforcement Risks and Their Impact on Your Self- Disclosure Calculus

Nicholas Berg
Partner
Ropes & Gray LLP

Andrew C. Porter
Partner
DrinkerBiddle

Patrick Otlewski
Partner
King & Spalding

During this roundtable 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 the decision to disclose and cooperate in the context of an investigation.

4:45

CHINA

Heightened Local Anti-Bribery, Whistleblower and Cyber Security Requirements – and Your Risk Profile: How Multinationals are Fine Tuning Their Programs in Response to New Realities

Yuet Ming Tham
Partner
Sidley Austin (Hong Kong)

  • How companies are weathering the evolving legislative and regulatory landscapes, and the impact on global anti-corruption compliance and reporting
  • Managing commercial bribery risks: Anti-Unfair Competition Law
  • Updates on the draft National Supervision Law and the National Supervision Commission
  • Individual Liability Risks: Detention of individuals and other exposure for employees on the ground
  • Monitoring interactions with local government officials: Best practices
  • Recent investigations and prosecutions, and lessons learned

5:30
Conference Adjourns

Day 2 - Wednesday, June 27, 2018

8:30
Co-Chairs’ Opening Remarks
8:35

HYPOTHETICAL SCENARIOS

Would You or Wouldn’t You? When to Consider Terminating a Third Party Relationship Over Bribery Suspicions: Anti-Corruption, Contractual and Other Key Considerations

Kimberly White
Compliance Officer
Ingredion

Charles F. Smith
Partner
Skadden Arps Slate Meagher & Flom LLP

  • What to do if a third party is under investigation or has been named by a cooperating witness
  • When you should terminate the relationship and/or turn to law enforcement
  • Inside the decision-making process: Key factors affecting your decision to continue/terminate the relationship
  • When/how to communicate your concerns to the third party in question
  • Strengthening your due diligence and monitoring processes
  • Lessons on how to better detect “red flags” before and during the relationship
  • Contractual risks posed by terminating the relationship

9:30

LATIN AMERICA

How the Latest Scandals, Enforcement Actions and Legislative Developments Are Affecting Risk and Compliance for Multinationals across the Region

Sonia Zeledon
Regional Counsel – Americas ECI
Nokia

Robert (RJ) Hall
Vice President and Associate General Counsel - Americas
Zimmer Biomet

  • How companies are adapting to the new on-the-ground realities of implementing an effective anti-corruption compliance program
  • The true impact of Lava Jato inside and outside of Brazil
  • The evolution of risk assessments and industry compliance programs across Latin America
  • How to leverage recent lessons and settlements to better evaluate and mitigate risk moving forward

10:30
Networking Break
10:45

HYPOTHETICAL SCENARIOS

Gifts, Entertainment & Hospitality: What to Do Now When Local Customs Conflict with FCPA Requirements

Matthew B. Hsu
Senior Director—Financial Crimes Compliance
Aon

Gerritt J. Wieringa
Counsel, Ethics & Compliance
Conagra Brands

Matthew Cannon
Shareholder
Greenberg Taurig LLP

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
  • Developing an effective approvals process
  • Recordkeeping do’s and don’ts
  • Overcoming the biggest hurdles to implementing policies and procedures
  • Best practices for internal controls

11:45
What’s Missing in Your Internal Investigations Program? The Top 10 Most Critical Decisions When Managing Cross-Border Investigations

Lawrence Oliver II
Chief Counsel, Investigations
Office of the General Counsel
The Boeing Company

Christopher Niewoehner
Partner
Steptoe & Johnson LLP

Tim Abrahams
Partner, Forensic Services – Advisory
PwC

  • How to set up an investigations program in your company, including reporting structure, and assignment of roles and responsibilities
  • Creating standards, manuals, policies, operating procedures for the team
  • Budget: How much you need to spend and mitigating the risk of spiraling costs
  • Delivering effective training to team members
  • When Attorney-Client privilege may not apply
  • When to involve outside counsel
  • Right-sizing internal investigations: Lessons from recent US DOJ investigations, enforcement actions and settlements
  • When and when not to investigate new or peripheral red flags
  • When to stop: How to know when to conclude the investigation
  • Governance issues: What types of matters to report to your Audit Committee and the Board

12:45
Networking Luncheon
2:00
Data Privacy Restrictions on Investigations, Third Party Screening and Audits: A Rundown of the Most Common Missteps that Can Heighten Risks for Your Organization in the EU and Russia

Rachel Lei
Associate General Counsel & Chief Compliance Officer
GATX Corporation

Christopher Veatch
Partner
Perkins Coie LLP

Former Chief, National Security & Cybercrimes Section, U.S. Attorney’s Office for the Northern District of Illinois

  • How far you can go with your screening, due diligence or investigation without committing a criminal act under foreign data privacy laws
  • How EU and Russian regulators have interpreted data privacy vs. U.S. regulators
  • Obstacles to accessing third party data and following up on questionnaires
  • Reconciling “cooperation” with U.S. agencies’ and conflicting EU data privacy restrictions
  • Challenges to screening candidates for internships, boards and employment without running afoul of privacy restrictions
  • Cross-border transmitter issues: How to access emails and other online data
  • Data privacy issues when responding to a U.S. subpoena

2:45
Global Compliance Reviews: How to Evaluate Your Anti-Corruption Compliance Program to Identify Weak Spots Before It’s Too Late

Sarah R. Iles
Director, Global Ethics & Compliance
CDW

Theodore T. Chung
Partner
Jones Day

  • 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

3:30
Networking Break
3:45

CORPORATE CULTURE

Employee Hiring, Training and Communications: How to Know if Policies and Procedures Are Being Followed Across Your Corporate and Field Operations

Tejal Vakharia
Senior Vice President & Chief Compliance Counsel
Allscripts

Kimberly White
Compliance Officer
Ingredion

  • Monitoring compliance in high risk markets
  • Implementing an effective communications strategy: How to resonate with your corporate and field employees
  • How to know if your message is being heard and followed
  • Addressing specific cultural nuances when localizing your training
  • Dealing with training “fatigue” and staying up to speed with the latest training techniques

4:30

CLOSING ROUNDTABLE

M & A Due Diligence Best Practices and Post-Acquisition Know-How

Victoria J. Graves
Associate General Counsel
John Deere

Joanna M. Ritcey-Donohue
Partner
Kirkland & Ellis LLP

At this closing discussion, participants will benefit from first-hand insights on pitfalls to avoid at the due diligence and post-acquisition stages. Experts will impart practical know-how and concrete examples of effective risk management, due diligence techniques and integration successes.

5:30
Conference Concludes

FCPA CASE REFRESHER: An In-Depth Review of the Most Significant Government Investigations, Declinations and Settlements in Recent Memory – and Key Takeaways

Jun 25, 2018 9:00am – 12:30pm

Rohan A. Virginkar
Partner
Foley & Lardner LLP

What is it about?

At this practical session, expert faculty members will delve into the complexities of key and recent enforcement matters toward imparting real-life lessons for industry moving forward. Gain helpful insights on the ins and outs of significant cases, and how to leverage the lessons learned to better enhance your compliance status moving forward. Participants will benefit from smaller-group learning, enhanced Q & A and reference materials prepared by the expert speakers. Topics will include:  
  • Recent cases impacting the future of FCPA settlements, including Kokesh v. SEC
  • The “anatomy” of a bribe: What has triggered suspicion and a government investigation
  • A deep dive into key investigations and settlements, and what they reveal about DOJ and SEC expectations
  • Impact of the DOJ’s new Enforcement Policy
  • Which cases have led to an SEC settlement, but a DOJ declination
  • Trends in settlements, including penalty structures and remediation requirements
  • Industries that are increasingly under the microscope in recent memory
  • How the agencies have interpreted “cooperation”
  • Which circumstances have led to declinations, DPAs and NPAs
  • Insights on DOJ and SEC coordination with foreign enforcement agencies
  • Lessons learned for mitigating enforcement risks and interfacing with the agencies
  • How to leverage the key lessons from settlements toward effecting compliance improvements in your organization
  • A close look at current investigations and emerging enforcement trends

THIRD PARTY DUE DILIGENCE: Inside The Latest Approaches to Third Party Vetting – How Much Due Diligence is Now Enough in High Risk Markets

Jun 25, 2018 1:30pm – 5:00pm

Joseph Huigens
Counsel
Koley Jessen

Former Program Director for Global Anti-Corruption Compliance, Walmart

Michael J. Stitcher
Director, Ethics & Compliance
Olin

What is it about?

Expert speakers will discuss how companies are determining how far to go in conducting due diligence, and developing a tiered 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 minimize 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 third parties and 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