3rd Edition




Minimizing Risk In A Heightened Global Anti-Corruption Environment
September 16-17, 2009
Four Points Shera...
DAY ONE | Wednesday September 16, 2009
8.15        Registration and Morning Coffee                                        ...
DAY TWO | Thursday September 17, 2009
8.30        Registration and Morning Coffee
                                        ...
Sponsor Acknowledgements

Silver Sponsor:
                             Daylight Forensic & Advisory is an international re...
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3rd Edition FCPA Compliance Conference

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Gain best practices and strategies to develop a culture of ethics and compliance in your organization

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3rd Edition FCPA Compliance Conference

  1. 1. 3rd Edition Minimizing Risk In A Heightened Global Anti-Corruption Environment September 16-17, 2009 Four Points Sheraton | Washington, DC Minimizing Risk In A Heightened Global Anti-Corruption Environment Conference Chairperson: Martin T. Biegelman, CFE, CCEP, Director, Financial Integrity Unit Microsoft Corporation Featuring Case Studies from Leading Experts Including: Cheryl Scarboro, Associate Director, Mark Mendelsohn, Deputy Chief, Attending this Premier marcus evans Conference Division of Enforcement Fraud Section, Criminal Division U.S. Securities and Exchange Commission U.S. Department of Justice will Enable You to: Edward Cooper, Retired Special Agent, Joel Kirsch, Vice President, Chief Compliance Officer • Obtain insight and updates on the current FCPA enforcement Program Manager International Corruption Unit & Associate General Counsel trends from the FBI and SEC FBI Headquarters Siemens Corporation • Review global initiatives and enforcement actions on anti-corruption Keith Hennessee, Associate General Counsel, Peter V Rother, Deputy General Counsel by the U.S. Department of State Regulatory Matters and Chief Compliance Officer • Comprehend how to manage and mitigate the risk associated Halliburton AGA Medical Corporation with mergers and acquisitions from Bank of America Diane M. Kohn, Anticorruption Advisor, Sangita Patel, Senior Compliance Counsel • Discover strategies to conduct effective and cost efficient Bureau for International Narcotics Chevron Corporation FCPA compliance training from Lockheed Martin and Law Enforcement Affairs (INL) Nancy K. Cassidy, Executive Counsel • Explore best practices and overcome challenges in dealing U.S. Department of State Textron Inc. with gifts and entertainment from Chevron Corporation Alice Eldridge, Vice President, Bob Rosen, Risk & Compliance Specialist Ethics & Business Conduct Dow Jones Risk & Compliance Lockheed Martin Corporation Jeffrey Eglash, Senior Counsel, Who Should Attend: Jay Perlman, Director Litigation & Legal Policy marcus evans invites Heads, Vice Presidents, Directors and In-House Daylight Forensic & Advisory GE Counsel as well as Law firms and government agencies with Anne M. Richardson, Director, Member Services Patricia M. Byrne, Counsel, International responsibilities or involvement in the following areas: TRACE International, Inc. and Domestic Compliance • Foreign Corrupt Practices Act Matthew O. Tanzer, Vice President BAE Systems, Inc. • Anti-Corruption and Chief Compliance Counsel Stephen R. Martin, Editor-in-Chief • Compliance & Ethics Tyco International Ethisphere Magazine • Regulatory Affairs James Nortz, Compliance Director Executive Director • Internal / Corporate Audit Bausch & Lomb Ethisphere Council • Risk Management David Wilson, Partner Kevin Espinoza, Executive Director, • Investigation Thompson Hine Global Ethics & Compliance • Legal Affairs Eurasia Ethics & Compliance Officer Gail P. Granoff, Chief Compliance Stiefel Laboratories • Corporate Fraud and Governance Officer Dow Advanced Materials The Dow Chemical Company Michael J. Hershman. Co-Founder Transparency International Jeremy P. Kuester, Global Compliance and Operations Risk Ryan Morgan, Director, FCPA Division Bank of America World Compliance, Inc. Jed Davis, Managing Director Kroll Silver Sponsor: Preferred Partners: Media Partners:
  2. 2. DAY ONE | Wednesday September 16, 2009 8.15 Registration and Morning Coffee 1.30 Summary and Assessment of the Luncheon Discussions 8.50 Chairman's Opening Address 1.45 Case Study Martin T. Biegelman, CFE, CCEP, Director, Financial Integrity Unit Setting Up Fraud and Anti-Corruption Risk Internal Controls Microsoft Corporation • Comprehending what your system of fraud risk internal controls needs to address and accomplish REGULATORY INITIATIVES & ENFORCEMENT • Understanding the intersection of fraud controls and financial controls • Key controls to prevent improper payments and fraud – Developing approval and other compliance related processes 9.00 Keynote Presentation • Integrating risk assessment into the internal controls Regulatory Updates and Insights from the US Regulators – DOJ, SEC & FBI – Understanding when, how and by whom should risk assessments be conducted • Highlights of recent FCPA cases and investigations – Reviewing the Siemens case and lessons learned – A look at some of the fines and penalties imposed ESTABLISHING THE ROLE OF THE AUDIT FUNCTION • Analyzing current enforcement priorities IN FCPA COMPLIANCE • Outlook for 2009 in light of the new US administration • Understanding compliance expectations by the different agencies 2.30 Case Study • Trends in pursuing and penalizing individuals • Assessing the pros and cons of voluntary disclosure Effective Audit Strategies for FCPA Compliance – What cooperation can organizations expect from the regulatory agencies when • Promoting partnerships between Audit and Compliance functions voluntarily disclosing? • How to use risk assessment results in developing audit plans • Interagency as well as international coordination and cooperation • Key elements to consider when planning an FCPA audit • Dealing with Multi-jurisdictional Investigations • Determining audit scope, frequency and ownership of results – Assessing the challenges and risks when dealing with multiple investigations • Assessing the operational effectiveness of FCPA compliance controls – Managing conflicting requirements of national and foreign agencies • Using your FCPA audit findings to improve your overall compliance program Panelists: • Developing strategies to address problems identified during the audit Mark Mendelsohn, Deputy Chief, Fraud Section, Criminal Division Matthew O. Tanzer, Vice President and Chief Compliance Counsel U.S. Department of Justice Tyco International Cheryl Scarboro, Associate Director, Division of Enforcement U.S. Securities and Exchange Commission (Tentatively Confirmed) 3.15 Interactive Panel Discussion Edward Cooper, Retired Special Agent, Program Manager – International Corruption Unit Managing Legal FCPA Risk in Mergers and Acquisitions FBI Headquarters • Conducting appropriate due diligence • Building protective provisions into transaction documents 10.00 Case Study • Options if problems are uncovered • Considerations relevant to post-acquisition integration Global Initiatives and Enforcement Actions on Anti-Corruption • Impact of the DOJ's Halliburton opinion release • Assessing the OECD, OAS and UN convention and its impact on eradicating anti-corruption Panelists: • Overview of anti-corruption initiatives and enforcements in emerging markets – Jeremy P Kuester, Global Compliance and Operations Risk, Bank of America China, India and Russia – Reviewing landmark cases and enforcement actions Joel Kirsch, Vice President, Chief Compliance Officer & Associate General Counsel – Insights on managing corruption in emerging markets – China, India and Russia Siemens Corporation • Addressing the cultural problems that can undermine compliance initiatives Keith Hennessee, Associate General Counsel, Regulatory Matters, Halliburton Diane M. Kohn, Anticorruption Advisor, Bureau for International Narcotics and Law Enforcement Affairs (INL) 4.00 Afternoon Tea and Networking U.S. Department of State 11.00 Morning Coffee and Networking IMPLEMENTING A ROBUST TRAINING PROGRAM IMPLEMENTING & SUSTAINING AN EFFECTIVE 4.30 Case Study FCPA COMPLIANCE PROGRAM Conducting and Implementing Effective FCPA Compliance Training • Uncovering the scope and type of information to be incorporated in the training 11.30 Interactive Panel Discussion • Strategies to successfully balance in-person and electronic training in the current economy Implementing and Monitoring an Innovative Compliance Program • Developing a training program that takes into account high risk areas in the industry in a Constrained Economic Climate and the company • Assessing the tools and strategies implemented and maintained by leading organizations • Strategies to customize your training program to the specific market while maintaining • Evaluating the pros and cons of a value-based vs. rule based compliance program universal standards • Understanding the importance of leadership in setting standards throughout – Overcoming cultural barriers the organization • Evaluating the success of your compliance training program • Allocating resources and leveraging various departments to ensure greater FCPA compliance Alice Eldridge, Vice President, Ethics & Business Conduct – Assigning responsibility and accountability throughout the organization Lockheed Martin Corporation • Overcoming cultural obstacles when developing a global compliance culture – Tailoring your FCPA compliance program to the specific country while maintaining COMPETING IN UNEVEN PLAYING FIELD universal standards – Strategies for effective global implementation • Analyzing your current compliance program and determining what to cut without 5.15 Case Study compromising your compliance program – Understanding how much to do internally and how much to outsource Competing on an Uneven Playing Field – Strategies to Conduct Business Ethically Moderator: • What to do when your competitor is not subjected to the FCPA – Stephen R. Martin, Editor-in-Chief, Ethisphere Magazine & Executive Director How do you level the playing field? Ethisphere Council • Strategies to address competing with companies willing to bribe Panelists: • Insights on working with companies that expect bribery Anne M. Richardson, Director, Member Services, TRACE International, Inc. Michael J. Hershman, Co-Founder, Transparency International Sangita Patel, Senior Compliance Counsel, Chevron Corporation 6.00 Closing Remarks of the Chair 12.30 Topical Luncheon – Interactive Luncheon with Topic Tables 6.05 End of Day One Your opportunity to discuss and debate best practices for a successful compliance program and evaluate ideas to minimize the risk of fraud and corruption. The topical luncheon has been specifically created to ensure that all event participants have the opportunity to share their problems and solutions to commonly shared professional challenges. Discuss the most emerging issues and share your thoughts about the current market trends with us. Each table will nominate a representative whom will share the thoughts and findings with the rest of the group upon reunion in the conference room after lunch.
  3. 3. DAY TWO | Thursday September 17, 2009 8.30 Registration and Morning Coffee STRATEGIES FOR VOLUNTARY SELF DISCLOSURE 8.50 Chairman's Opening Address & HANDLING COMPLIANCE MONITORS Martin T. Biegelman, CFE, CCEP, Director, Financial Integrity Unit Microsoft Corporation 1.45 Case Study 9.00 Interactive Panel Discussion Effective Strategies for Voluntary Self Disclosure and Developing Strategies and Insights in Dealing with Gifts, Entertainment, Hosting, Traveling a Successful Remediation Plan and Charity Contributions • Key elements to consider before deciding to make a voluntary disclosure • Creating awareness and educating your employees on understanding the scope • Identifying what needs to be included in the disclosure of the term government officials • Understanding the key elements to consider when implementing an effective • Gifts, Meals & Entertainment remediation plan – Defining "reasonable and customary" – Determining who should be involved in the remediation plan – Tracking gifts and entertainment – Managing the cost of the remediation process – Developing guidelines on appropriate cost for entertainment – Documenting remedial actions • Charitable contributions Peter V Rother, Deputy General Counsel and Chief Compliance Officer – Conducting due diligence to ensure you know who the recipient is AGA Medical Corporation • Best practices for business travel • Global standard vs. regional limits – Which is the best approach? 2.30 Afternoon Tea and Networking Panelists: Nancy K. Cassidy, Executive Counsel, Textron Inc. USE OF TECHNOLOGY IN THE FIGHT AGAINST ANTI-CORRUPTION Gail P. Granoff, Chief Compliance and Governance Officer, Dow Advanced Materials The Dow Chemical Company 2.45 Interactive Panel Discussion James Nortz, Compliance Director, Bausch & Lomb Leveraging Technology in FCPA Compliance Monitoring, Tracking and Reporting Kevin Espinoza, Executive Director, Global Ethics & Compliance Eurasia Ethics • Reviewing the various tools and technology available that can be integrated into your & Compliance Officer Stiefel Laboratories compliance program • Understanding the type of compliance and risk information that can be provided by the different solutions ESTABLISHING VENDOR GOVERNANCE & ETHICAL • Using technology to track and monitor intermediaries to mitigate the risk BUSINESS TRANSACTIONS of non-compliance Panelist: 10.00 Case Study Ryan Morgan, Director, FCPA Division, World Compliance, Inc. Conducting Due Diligence for 3rd Parties and Strategies for Continuous Compliance Monitoring 3.30 Case Study • Identifying and assessing potential liability when engaging third parties common Handling and Managing a Compliance Monitor due diligence procedures • Insights on what qualities to look for in the choice of a monitor and the government's • Determining the appropriate amount of due diligence to conduct on the various types role in choosing a monitor of 3rd parties: e.g., agents, distributors, joint venture partners, freight forwarders • Identifying the scope and assignment of a monitor • Addressing and overcoming challenges related to lack of transparency from 3rd parties • Establishing an effective working relationship with a monitor • Structuring appropriate contractual provisions • Strategies in controlling the cost • Conducting effective training and life cycle compliance monitoring programs • Items to consider if the 3rd party creates red flags 4.15 Case Study Jay Perlman, Director, Daylight Forensic & Advisory Overcoming the Challenges of Identifying State-owned Companies and Risky Employee Actions 10.45 Morning Coffee and Networking • Hear proprietary research on the number of state-owned companies operating in Asia-Pacific, the Americas, Europe and Africa, including breakdowns for key regions and countries • Which regions and countries present the highest risk and why DEALING AND OVERCOMING CHALLENGES ASSOCIATED • What makes state-owned companies difficult to identify and track WITH INTERNAL & EXTERNAL INVESTIGATIONS – Including misinformation on translated websites, joint ventures and cross-border operations, and government financings that turn private companies into state-owned entities • Strategies and tools for identifying high risk relationships and verifying employee actions 11.00 Interactive Panel Discussion Bob Rosen, Risk & Compliance Specialist, Dow Jones Risk & Compliance Conducting Internal Investigations • Determining whether an internal investigation is necessary and whether to use inside 5.00 Closing Remarks of the Chair or outside counsel • Assigning roles and responsibilities during the internal investigation 5.05 End of Conference • Understanding privilege and privacy issues • Strategies and tips to conduct an investigation cost effectively • Assessing what to do with the results of an investigation • Key factors to determine if a company should voluntarily disclose to the government – Determining what to disclose and the timing of disclosure – How to prepare for voluntary disclosure? – What documents should be turned in Moderator: Why You Must Attend: David Wilson, Partner, Thompson Hine FCPA and anti-corruption enforcement by U.S. and foreign governments has increased Panelists: drastically in the last several years. Organizations are seeing the imposition of huge penalties. Jed Davis, Managing Director, Kroll In this constrained economic climate organizations cannot afford to fork out millions Patricia M. Byrne, Counsel, International and Domestic Compliance, BAE Systems, Inc. of dollars due to non-compliance. There is a real need for organizations to pay closer Martin T. Biegelman, CFE, CCEP, Director, Financial Integrity Unit, Microsoft Corporation attention to their business transactions especially when conducting business using intermediaries, setting up and working through joint ventures and engaging in M&A 12.00 Luncheon Sponsored By: activity. This conference aims to bring together government officials, general counsel and compliance officers from leading global organizations to share strategies and best practices on developing, executing, monitoring and auditing a strong and effective FCPA 1.00 Case Study and anti-corruption compliance program. You will also gain insights on dealing with Strategies For Dealing With a Government Investigation internal and government investigations, issues stemming from gifts and entertainment • Understanding what to expect during the investigation of government officials, and on how to develop effective training programs and best • Successfully balancing cooperation while maintaining an effective defense practices to compete in emerging countries against organizations not subjected to FCPA. • Developing an effective plan to respond – Identifying the relevant people to be contacted internally and externally – Putting together a crisis plan Producer Info: – Preserving information I would like to thank everyone who has assisted with the research and organization – Providing the relevant documents of the event, particularly the speakers for their support and commitment. • Strategies to protect your business and brand during an investigation Shree Rajadurai, shreer@marcusevansch.com. Jeffrey Eglash, Senior Counsel, Litigation & Legal Policy, GE
  4. 4. Sponsor Acknowledgements Silver Sponsor: Daylight Forensic & Advisory is an international regulatory consulting and investigative firm specializing in financial investigations and forensic accounting, anti-money laundering consulting, regulatory compliance, forensic technology services, healthcare compliance, and fraud risk management. Daylight Forensic's professionals have unparalleled legal, law enforcementand "Big Four" accounting experience, letting the firm address almost any corporate or government investigation. Daylight has three U.S. offices and an EU-compliant electronic discovery lab and office in London from which it serves private and public clients around the world. Daylight is EU Safe Harbor Certified. http://www.daylightforensic.com. Preferred Partners: Established in 1911, Thompson Hine LLP is a business law firm dedicated to providing superior client service. With 400 lawyers in eight offices, we serve premier businesses worldwide. For more information, go to www.ThompsonHine.com WorldCompliance is the leading open source intelligence solution, offering unsurpassed protection from high risk entities by providing the tools to enhance transparency with your organizations compliance needs. Our solutions are used to identify individuals and companies linked to over twenty risk categories. Our database conforms to The Patriot Act and FATF and is verified by the 3rd EU Money Laundering Directive. Learn more at: www.worldcompliance.com World-Check’s global database and risk reduction tools address the full spectrum of risk across all markets and industries. Trusted by more than 3,000 institutions in 162 countries, including over 90% of the world’s largest banks, World-Check offers an end-to-end solution for assessing, managing and remediating financial, regulatory and reputational risks. For more information visit http://www.world-check.com Kroll, the world's leading risk consulting company, provides a broad range of investigative, intelligence, financial, security and technology services to help clients reduce risks and capitalize on opportunities. With offices in 65 cities across 33 countries, Kroll serves a global clientele of law firms, financial institutions, corporations, non-profit institutions, government agencies. Corporate Risk International (CRI) provides full-service business intelligence and risk management services such as due diligence and anti-corruption investigations that reduce exposure to global risks allowing businesses to seize business opportunities and protect employees/assets. Fraud, corruption and transparency cost businesses billions each year and increased emphasis on compliance magnifies these risks - www.CorpRsik.com. Platinum Media Partner: The research-based Ethisphere Institute is a leading international think-tank dedicated to the creation, advancement and sharing of best practices in business ethics, corporate social responsibility, anti-corruption and sustainability. The Institute’s associated membership group, the Ethisphere Council, is dedicated to the development and advancement of individuals through increased efficiency, innovation, tools, mentoring, advice, and unique career opportunities. Ethisphere Magazine is the quarterly publication of the Institute. More information on the Ethisphere Institute can be found at http://www.ethisphere.org. Gold Media Partner: Dow Jones Anti-Corruption is a cost-effective tool for conducting preliminary due diligence on foreign partners, intermediaries, and other third parties. Our database offers comprehensive information on people and entities connected to the government, sanctions and official lists, and seamless access to Factiva.com, an award-winning database of over 20,000 global news sources. Silver Media Partner: The Business Roundtable Institute for Corporate Ethics (www.corporate-ethics.org) is an independent organization operating in partnership with Business Roundtable-an association of chief executive officers of leading corporations-and leading academics from America's best business schools. The Institute brings together leaders from business and academia, enhancing the link between ethical behavior and business. Testimonials: "Well-organised and efficient means to get perspective on global anti-corruption compliance from all key players." Textron "Very impressive knowledgeable speakers. High level and very comprehensive conference. Great job! Good job on a well-run, seamless conference." SMART Technologies "Very enjoyable and informative conference. Efficient and highly organised." Serious Fraud Office (UK) Sponsorship Info: Does your company have solutions or technologies that the conference delegates would benefit from knowing? If so, you can find out more about the exhibiting, networking and branding opportunities available by contacting: Chip Heflin, 312 894 6382, chiph@marcusevansch.com Continuing Legal Education: marcus evans will seek CLE accreditation in those states requested by registrants which have continuing education requirements. To request CLE credit, please indicate in the registration form attached.

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