10:00 Registration
10:30-12:30 Pre-Conference Workshop One
Strategic 3rd Parties Due-Diligence and Management – Monitoring and Auditing Effectively
The risk posed by the 3rd parties can be vast and varied and is dependent on the industry
type, regional business practice and business model. Many organizations believe that a basic
database check and cursory media survey is enough of a vetting process for these
relationships however that is not the case when it comes to corruption. Every company doing
business with agents or other third-party intermediaries abroad needs to have
a robust, multi-dimensional 3rd party due-diligence program.
This interactive workshop will provide you with the tools and strategies to:
• How to design and implement due diligence for prospective 3rd parties
• Define category types for all intermediaries and identify specific ways
in which third parties do business
• Establish consistent tiers of due diligence investigation required based
on internally identified levels of tolerance for risk
• Determine who will perform the due diligence and establish what their
credibility is in conducting this activity
• Addressing and resolving any red flags that come up during
the investigation process
• Developing a successful and compliant relationship with your third parties
Rob Sutphen, Assistant General Counsel
Halliburton Law Department
1:30-3:30 Pre-Conference Workshop Two (Registration begins at 1:00)
Conducting and Implementing Effective Anti-Corruption Compliance Training
Training is a great tool for organizations to drive down the need for compliance as well
as reinforce the code of business conduct. It provides a good foundation for employees
to identify their risk in certain business transactions as well as understand their obligation
to maintain compliance at all times. You will go through an actual organizations training
program and see first hand how they have developed their training modules and
implemented it globally.
This interactive workshop will provide you with practical strategies and tools:
• Uncovering the scope and type of information to be incorporated in the training
• Determining how often training should be conducted
• Developing a training program that takes into account your industry
as well as company risk areas
• Strategies to customize your training program to the specific market
while maintaining universal standards
– Incorporating cultural sensitivity
– Overcoming language and cultural barriers
• Evaluating the success of your compliance training program
– Developing tests and exams
David J. Kuckelman, Senior Vice President & General Counsel--Ethics & Compliance
Smiths Group
4:00-6:00 Pre-Conference Workshop Three (Registration begins at 3:30)
Dealing and Overcoming Challenges Associated With Internal Investigations
Internal investigations provide a first line of defense for government inquiries and investigations.
However, companies must proceed cautiously because internal investigations can put
corporate interests at risk, increasing liability exposure and jeopardizing privileges.
With heightened government enforcement, companies and counsel must master the intricacies
of conducting internal investigations, including timing and cost management.
This workshop will provide you with practical strategies and tools on:
• Determining whether to conduct an investigation
– Factors to consider when evaluating whether to commence an investigation
– External factors
• Structuring investigations
– Defining the goals
– Steps of a good investigation
– Assigning roles and responsibilities during the internal investigation
• Evidence gathering
• Understanding privilege issues as well as privacy issues that come into play
during an investigation
• Assessing what to do with the results of an investigation
– To report or not to report
– Remedial actions – To discipline or not to discipline
– Ethical issues
• Strategies and tips to conduct an investigation cost effectively
Jeffrey L. Antoon, Director – Corporate Internal Audit
Johnson & Johnson
8:00 Registration and Morning Coffee
8:30 Chairman’s Opening Address
8:45 Keynote Session
Reviewing Recent FCPA Investigations and Prosecutions – Insights and Updates from the DOJ, SEC and FBI
This session will allocate time for the respective agencies to provide individual updates
and will be followed by a joint panel discussion
• Scrutinizing the high profile investigations and prosecutions of companies and individuals
• Analyzing new investigation and enforcement techniques employed by the regulators
• Discovering how the regulators are obtaining tips on anti-corruption activities
• Comprehending the intersection of other regulations like anti-money laundering,
export controls with FCPA
• Determining the extraterrestrial reach of US laws in other countries
• International cooperation with other foreign agencies in investigating and prosecuting anti-corruption activities
Tracy L. Price, Assistant Director, Foreign Corrupt Practices Act Unit, Enforcement Division
U.S. Securities & Exchange Commission
William J. Stuckwisch, Acting Assistant Chief, Fraud Section, Criminal Division
Department of Justice (DOJ)
Andrew Sekela, Supervisory Special Agent
Federal Bureau of Investigation (FBI)
Sherri Queener, Special Agent, Washington Field Office,
Federal bureau of Investigation (FBI)
10:00 Interactive Panel Discussion
Emerging from an FCPA Investigation and Prosecution - An in-depth Look at
Recent Anti-Corruption Cases
• Analyzing high profile FCPA / Anti-Corruption cases in the last two years
• Discovering where the risk areas were for these organizations
• Understanding how these companies handled the government investigations
• Determining what controls they have put in place to address these issues
• Uncovering the remediation process
• Lessons learned from the high profile cases
Moderator:
Ryan Morgan, FCPA Advisor
World Compliance
Panelists:
Celine B. Gerson, Deputy Chief Compliance Officer
Cameron International
(former Chief Compliance Officer with NATCO Group)
Jamon Jarvis, General Counsel and Chief Compliance Officer
Nature's Sunshine Products, Inc
Julia C. Symon, Director of Compliance, Legal Department
KBR Inc.
11:00 Networking Break
11:30 Interactive Panel Discussion
Implementing and Sustaining An Anti-Corruption Compliance Program
Across the Enterprise
• Designing a global anti-corruption compliance program that addresses
the risk areas for your organization
• Determining your risk profile in the countries you operate in and tailoring
your compliance program to address these areas
• Managing commercial corruption and fraud risks
• Tips on overcoming cultural and language obstacles when developing
a global compliance culture
• Leveraging your country heads / managers to implement your policies
and drive compliance
• Strategies and tools to audit and monitor your compliance
to ensure effectiveness
• Evaluating what elements of your compliance program to maintain
in-house and what to outsource
• Key factors to consider when picking the right partners to work in the different markets
Panelists:
Jeffrey H. Cramer, Managing Director
Kroll
(Former Assistant United States Attorney)
Herb Wilgis, Compliance Program Attorney, Office of Legal Compliance
Microsoft Corporation
Kinga E. Doris, Chief Counsel – Global Operations and Strategic Planning
Pride International, Inc.
12:30 Luncheon
1:30 Case Study
Strategies for Risk Management in the Current Economic Environment
• Evaluation of current enforcement environment: From a US and UK perspective
• Candid assessment of the potential costs of enforcement actions
• Strategies for effective, efficient risk management
• How to conduct effective, efficient internal investigations on limited budgets
• Understanding the role of outside counsel
• Managing enforcement issues if they arise
George J. Terwilliger III, Partner, Head of Global White Collar Practice Group – Washington, DC
White & Case LLP
Alistair Graham, Partner, White Collar Practice Group - London
White & Case LLP
2:15 Interactive Panel Discussion
Conducting Effective Due-Diligence on 3rd Parties and Strategies to Continuously Monitor for Compliance
• Establishing internal controls to protect against the risk of liability
through your distributors, reseller, suppliers or agents
• Adopting a tiered due diligence approach to third parties dependent on their risk level
– Best practices in assessing the risk profile of your 3rd parties
• Uncovering effective tools and strategies to monitor your 3rd parties
• Enforcing compliance down through your supply chain through audits,
training and certifications
– Crafting contractual provisions that will allow you to exercise audit
rights and ensure proper training is conducted
Moderator:
Diana Lutz, Chief Ethics and Compliance Officer
STEELE Foundation
Panelists:
Cassie Lentchner, Executive Director and Senior Counsel
UBS Corporate Center
Daniel Dorsky, Senior FCPA Compliance Counsel
Tyco International
Tara Flanagan, Director, Global Public Sector Compliance, Legal Services
Cisco Systems, Inc
Howard O. Weissman, Vice President & Associate General Counsel – International Lockheed Martin Corporation
3:45 Networking Break
4.15 Interactive Panel Discussion
Updates on Anti-Corruption Initiatives, Regulations and Enforcement Globally
• Analyzing the key provisions of the newly passed UK Bribery Bill and impact
on MNCs operating in the UK
• Interpreting the new OECD guidance on internal controls, ethics,
and compliance to help its member countries implement anti-bribery strategies
• Uncovering current anti-corruption regulation, emerging trends
and enforcement patterns
• Reviewing landmark cases and enforcement actions in Europe,
Asia, Latin America and Africa
Panelists:
Robert Amaee, Head of Domain
UK Serious Fraud Office
France Chain, Senior Legal Adviser
OECD - Anti-Corruption Division
5.15 Case Study
Reviewing Bribery and Corruption Risks Faced by MNCs Conducting Business
in Emerging Countries – A focus on the BRIC Countries
• Identifying the risks MNCs are exposed to in the different regions
• Evaluating enforcement trends in BRIC countries
• Managing cultural practices and customs that may conflict
with your global anti-corruption policies
• Tailoring your due diligence requirements to the specific countries
• Leveling the playing field - Determining your strategy when competing
against organizations not governed by the FCPA or anti-corruption laws
Anne M. Richardson, Director Member Services
TRACE International, Inc.
6.00 Closing Remarks of the Chair & End of Day One