Opening Remarks from the Co-Chairs

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

• 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”

CASE STUDIES

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

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

Networking Break

SEC Enforcement Update

COMPLIANCE BENCHMARKING

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

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.

Networking Luncheon

DATA ANALYTICS & AI

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

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

CHINA

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

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.

Networking Break

ROUNDTABLE DISCUSSION

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

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.

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

• 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

Conference Adjourns

Co-Chairs’ Opening Remarks

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

• 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

LATIN AMERICA

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

• 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

Networking Break

HYPOTHETICAL SCENARIOS

Gifts, Entertainment & Hospitality: What to Do Now 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
• 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

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

• 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

Networking Luncheon

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

• 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

Global Compliance Reviews: How to Evaluate 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

Networking Break

CORPORATE CULTURE

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

• 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

CLOSING ROUNDTABLE

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

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.

Conference Concludes