FCPA & Anti Corruption Compliance Conference - 4th Edition

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The last two years have been the most active years in the history of the Foreign Corrupt Practices Act (FCPA). There has been marked increase in enforcement actions particularly ones involving individuals as well as astonishing corporate penalties imposed on organizations for violations. New trends in enforcement actions arose in 2010 with the use of new and aggressive enforcement techniques with a sting operation conducted by the various US government agencies. There is also stepped up enforcement from foreign governments on combating anti-corruption worldwide. Now more then ever organizations need to be diligent in their global anti-corruption compliance programs.

The marcus evans 4th Annual FCPA & Anti-Corruption Compliance Conference will bring together government officials, general counsel and compliance officers from leading organizations operating globally to share best practices, strategies and tools on developing, executing, monitoring and auditing a strong and effective anti-corruption compliance program. You will also gain insights on dealing with internal and government investigations, issues stemming from gifts and entertainment of government officials, and on how to develop effective training programs and best practices to compete in emerging countries against organizations not subjected to FCPA.

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FCPA & Anti Corruption Compliance Conference - 4th Edition

  1. 1. 4th Moving Beyond FCPA and Establishing a Robust Anti-Corruption Compliance Program June 23-24, 2010 | Washington, DC As government agencies around the world step up their enforcement actions in combating corruption, mitigate your organizations risk of non-compliance by benchmarking and learning from companies with prior FCPA violations. Pre-Conference Workshops - June 22, 2010: Featuring Regulatory Insights from: Workshop 1: Strategic 3rd Parties Due-Diligence and Management – Monitoring and Auditing Effectively Gerald Hodgkins, Assistant Director Andrew Sekela, Supervisory Special Agent Division of Enforcement Federal Bureau of Investigation (FBI) Workshop 2: Conducting and Implementing Effective U.S. Securities and Exchange Commission (SEC) Anti-Corruption Compliance Training Paula Ebersole, Special Agent Robert Amaee, Head of Domain Federal Bureau of Investigation (FBI) Workshop 3: Dealing and Overcoming Challenges Associated UK Serious Fraud Office (SFO) with Internal Investigations Featuring Case Studies from Leading Experts Including: Benjamin Bard, Ethics & Compliance Counsel Attending this Premier marcus evans The Coca-Cola Company Noreen M. Fierro, Vice President Conference will Enable You to: AML/FCPA Compliance Officer Derek Devgun, Principal Legal Counsel Prudential Financial • Obtain insights and updates on FCPA & anti-corruption initiatives Medtronic and enforcement from the SEC, FBI and UK Serious Fraud Office Daniel Dorsky, Senior Compliance Counsel – FCPA • Identify practical strategies to develop effective anti-corruption Celine B. Gerson, Deputy Chief Compliance Officer Tyco International compliance program from BAE Systems Inc. Cameron International • Overcome the challenges of conducting and implementing C. David Morris, Senior Counsel - International Jeffrey W. Cottle, Vice President Northrop Grumman Corporation effective training from Northrop Grumman Chief Counsel - International • Develop robust internal controls for 3rd party due-diligence from BAE Systems Inc Julia C. Symon,Director of Compliance Tyco International Legal Department • Address and overcome the FCPA issues stemming from mergers Kinga E. Doris, Chief Counsel – Global Operations KBR Inc. and acquisitions from Medtronic and Strategic Planning • Gain insights on dealing with an FCPA investigation Pride International, Inc. France Chain, Senior Legal Adviser and prosecution from KBR and NATCO Group OECD - Anti-Corruption Division Tara Flanagan Director Global Public Sector Compliance Legal Services Norman A. Bloch, PartnerFrance Chain Cisco Systems, Inc. Thompson Hine LLP Who Should Attend: marcus evans invites Heads, Vice Presidents, Directors and In-House Jay G. Martin,Vice President, Chief Compliance Officer Herb Wilgis, Compliance Program Attorney Counsel as well as Law firms and government agencies with and Senior Deputy General Counsel Office of Legal Compliance responsibilities or involvement in the following areas: Baker Hughes Microsoft Corporation • Foreign Corrupt Practices Act Julia McCalmon, Partner Howard O. Weissman, Vice President • Anti-Corruption Thompson Hine LLP & Associate GeneralCounsel – International • Compliance & Ethics Lockheed Martin Corporation • Internal / Corporate Audit David J. Kuckelman, Senior Vice President & General • Risk Management Counsel--Ethics & Compliance Daniel T. Kessler, Chief Counsel • Investigation Smiths Group International Trade Controls • Corporate Fraud Pfizer Rob Sutphen, Assistant General Counsel Halliburton Law Department Jeffrey L. Antoon, Director - Corporate, Internal Audit Johnson & Johnson Cassie Lentchner, Executive Director and Senior Counsel UBS Corporate Center Anne M. Richardson, Director Member Services TRACE International, Inc. Jeffrey H. Cramer, Managing Director Kroll Silver Sponsor: Preferred Partners: Gold Silver Media Partner: Media Partner:
  2. 2. PRE-CONFERENCE WORKSHOPS: JUNE 22, 2010 DAY ONE | Wednesday, June 23, 2010 10:00 Registration 8:00 Registration and Morning Coffee 8:30 Chairman’s Opening Address 10:30-12:30 Pre-Conference Workshop One Strategic 3rd Parties Due-Diligence and Management – Monitoring and Auditing Effectively DISCUSSING LATEST REGULATORY UPDATES & ENFORCEMENTS 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 8:45 Keynote Session database check and cursory media survey is enough of a vetting process for these Reviewing Recent FCPA Investigations and Prosecutions – relationships however that is not the case when it comes to corruption. Every company doing Insights and Updates from the DOJ, SEC and FBI business with agents or other third-party intermediaries abroad needs to have This session will allocate time for the respective agencies to provide individual updates and a robust, multi-dimensional 3rd party due-diligence program. will be followed by a joint panel discussion This interactive workshop will provide you with the tools and strategies to: • Scrutinizing the high profile investigations and prosecutions • How to design and implement due diligence for prospective 3rd parties of companies and individuals • Define category types for all intermediaries and identify specific ways • Analyzing new investigation and enforcement techniques employed in which third parties do business by the regulators • Establish consistent tiers of due diligence investigation required based • Discovering how the regulators are obtaining tips on anti-corruption activities on internally identified levels of tolerance for risk • Comprehending the intersection of other regulations like anti-money • Determine who will perform the due diligence and establish what their laundering, export controls with FCPA credibility is in conducting this activity • Determining the extraterrestrial reach of US laws in other countries • Addressing and resolving any red flags that come up during • International cooperation with other foreign agencies in investigating the investigation process and prosecuting anti-corruption activities • Developing a successful and compliant relationship with your third parties Gerald Hodgkins, Assistant Director, Division of Enforcement Rob Sutphen, Assistant General Counsel U.S. Securities and Exchange Commission Halliburton Law Department Andrew Sekela, Supervisory Special Agent 1:30-3:30 Pre-Conference Workshop Two (Registration begins at 1:00) Federal Bureau of Investigation (FBI) Conducting and Implementing Effective Anti-Corruption Compliance Training Paula Ebersole, Special Agent Training is a great tool for organizations to drive down the need for compliance as well Federal Bureau of Investigation (FBI) 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 10:00 Interactive Panel Discussion to maintain compliance at all times. You will go through an actual organizations training Emerging from an FCPA Investigation and Prosecution - An in-depth Look at High program and see first hand how they have developed their training modules and Profile Anti-Corruption Cases implemented it globally. • Analyzing high profile FCPA / Anti-Corruption cases in the last two years This interactive workshop will provide you with practical strategies and tools: • Discovering where the risk areas were for these organizations • Uncovering the scope and type of information to be incorporated in the training • Understanding how these companies handled the government investigations • Determining how often training should be conducted • Determining what controls they have put in place to address these issues • Developing a training program that takes into account your industry • Uncovering the remediation process as well as company risk areas • Lessons learned from the high profile cases • Strategies to customize your training program to the specific market Celine B. Gerson, Deputy Chief Compliance Officer while maintaining universal standards Cameron International – Incorporating cultural sensitivity (former Chief Compliance Officer with NATCO Group) – Overcoming language and cultural barriers • Evaluating the success of your compliance training program Julia C. Symon, Director of Compliance, Legal Department – Developing tests and exams KBR Inc. David J. Kuckelman, Senior Vice President & General Counsel--Ethics & Compliance Smiths Group 11:00 Networking Break 4:00-6:00 Pre-Conference Workshop Three (Registration begins at 3:30) REINFORCING INTERNAL CONTROLS Dealing and Overcoming Challenges Associated With Internal Investigations FOR FCPA / ANTI-CORRUPTION COMPLIANCE Internal investigations provide a first line of defense for government inquiries and investigations. However, companies must proceed cautiously because internal investigations can put 11:30 Interactive Panel Discussion corporate interests at risk, increasing liability exposure and jeopardizing privileges. Implementing and Sustaining An Anti-Corruption Compliance Program With heightened government enforcement, companies and counsel must master the intricacies Across the Enterprise of conducting internal investigations, including timing and cost management. • Designing a global anti-corruption compliance program that addresses This workshop will provide you with practical strategies and tools on: the risk areas for your organization • Determining whether to conduct an investigation • Determining your risk profile in the countries you operate in and tailoring – Factors to consider when evaluating whether to commence an investigation your compliance program to address these areas – External factors • Managing commercial corruption and fraud risks • Structuring investigations • Tips on overcoming cultural and language obstacles when developing – Defining the goals a global compliance culture – Steps of a good investigation • Leveraging your country heads / managers to implement your policies – Assigning roles and responsibilities during the internal investigation and drive compliance • Evidence gathering • Strategies and tools to audit and monitor your compliance • Understanding privilege issues as well as privacy issues that come into play to ensure effectiveness during an investigation • Evaluating what elements of your compliance program to maintain • Assessing what to do with the results of an investigation in-house and what to outsource – To report or not to report • Key factors to consider when picking the right partners to work – Remedial actions – To discipline or not to discipline in the different markets – Ethical issues Panelists: • Strategies and tips to conduct an investigation cost effectively Noreen M. Fierro, Vice President, AML/FCPA Compliance Officer Jeffrey L. Antoon, Director – Corporate Internal Audit Prudential Financial Johnson & Johnson Jeffrey H. Cramer, Managing Director Kroll Jeffrey W. Cottle, Vice President, Chief Counsel – International BAE Systems Inc Kinga E. Doris, Chief Counsel – Global Operations and Strategic Planning Pride International, Inc. 12:30 Luncheon
  3. 3. DAY ONE | Continued DAY TWO | Thursday, June 24, 2010 1:30 Case Study 8:00 Registration and Morning Coffee Corruption Red Flags: Detection and Response • Developing and maintaining an effective red flag program 8.30 Chairman’s Opening Address • How red flags are missed or overlooked • Strategies to encourage reporting and remediation ENSURING DUE-DILIGENCE INITIATIVES ACROSS • Best practices for detection and investigation • Partnering with HR and Internal Audit ALL POTENTIAL CORRUPTION PRACTICES • Red flag tracking and metrics Herb Wilgis, Compliance Program Attorney, Office of Legal Compliance 8:45 Case Study Microsoft Corporation Implementing a Robust and Effective Training and Communications Program 2:15 Interactive Panel Discussion • Developing a training program that takes into account your industry Conducting Effective Due-Diligence on 3rd Parties and Strategies as well as company risks areas to Continuously Monitor for Compliance – Strategies on developing targeted training based on risk areas • Establishing internal controls to protect against the risk of liability and high risk employees whom have customer or agent interface through your distributors, reseller, suppliers or agents • Comprehending the best medium to train and communicate that will • Adopting a tiered due diligence approach to third parties dependent engage the employees and drive compliance i.e. in-person, web-based, on their risk level management meetings – Best practices in assessing the risk profile of your 3rd parties • Analyzing different approaches to making training more interactive • Uncovering effective tools and strategies to monitor your 3rd parties and comprehensible • Enforcing compliance down through your supply chain through audits, • Integrating a pro-active versus reactive approach to your training model training and certifications – Coaching business people on different ways bribery can happen – Crafting contractual provisions that will allow you to exercise audit – Creative ways companies use to move money around rights and ensure proper training is conducted • Deploying your training program globally Panelists: – Overcoming language and cultural barriers Cassie Lentchner, Executive Director and Senior Counsel – Managing resources and budgets in delivering training to foreign operations globally UBS Corporate Center • Evaluating the success of your compliance training program C. David Morris, Senior Counsel – International Daniel Dorsky, Senior FCPA Compliance Counsel Northrop Grumman Corporation Tyco International 9:30 Case Study Tara Flanagan, Director, Global Public Sector Compliance, Legal Services Cisco Systems, Inc Structuring Effective Policies and Processes for Gifts, Entertainment, Traveling and Charity Contributions Howard O. Weissman, Vice President & Associate General Counsel – International • Defining hospitality and determining what is permitted Lockheed Martin Corporation • Balancing “reasonable and customary” expectations in different markets while maintaining compliance with the law 3:15 Networking Break • Tracking gifts and entertainment expenses • Setting up internal controls that trigger red flags when expenses are not compliant GLOBAL REGULATORY PERSPECTIVE ON THE FIGHT • Establishing appropriate travel policies especially for government officials TO COMBAT CORRUPTION • Engaging in charitable giving while remaining compliant Jay G. Martin, Vice President, Chief Compliance Officer and Senior Deputy General Counsel Baker Hughes 3.45 Interactive Panel Discussion Updates on Anti-Corruption Initiatives, Regulations and Enforcement Globally 10:15 Networking Break • Analyzing the key provisions of the pending UK Bribery Bill and impact on MNCs operating in the UK 10:45 Case Study • Interpreting the new OECD guidance on internal controls, ethics, Leveraging Internal Audits for Testing and Managing FCPA / and compliance to help its member countries implement anti-bribery strategies Anti-Corruption Compliance • Uncovering current anti-corruption regulation, emerging trends • Assessing the key elements to consider when planning an FCPA audit and enforcement patterns • Best practices in working with your internal audit department • Reviewing landmark cases and enforcement actions in Europe, • Determining if the FCPA audit should be part of internal audit or a separate function Asia, Latin America and Africa • Assessing if this function should be outsourced Panelists: • Understanding the results of your FCPA / anti-corruption audit Robert Amaee, Head of Domain and strategies on handling problems arising out of the audit UK Serious Fraud Office • Exploring the auditing and metric tools available in the industry to assist France Chain, Senior Legal Adviser you conducting an effective FCPA / anti-corruption audit OECD - Anti-Corruption Division Benjamin Bard, Ethics & Compliance Counsel The Coca-Cola Company 4.45 Case Study Reviewing Bribery and Corruption Risks Faced by MNCs Conducting Business in Emerging Countries – A focus on the BRIC Countries HANDLING GOVERNMENT INVESTIGATIONS • Identifying the risks MNCs are exposed to in the different regions & COMPLIANCE MONITORS • Evaluating enforcement trends in BRIC countries • Managing cultural practices and customs that may conflict 11:30 Case Study with your global anti-corruption policies • Tailoring your due diligence requirements to the specific countries Dealing and Responding to Investigations by an Enforcement Agency • Leveling the playing field - Determining your strategy when competing • Understanding what to expect during the investigation against organizations not governed by the FCPA or anti-corruption laws • Developing an effective plan Anne M. Richardson, Director Member Services • Identifying the relevant parties to be contacted internally and externally TRACE International, Inc. • Putting together a crisis plan • Comprehending the documents that need to be provided to the authorities 5.30 Closing Remarks of the Chair & End of Day One • Strategies to protect your business and brand during an investigation • Dealing with Multi-jurisdictional Investigations • Assessing the challenges and risk when dealing with multiple investigations Julia McCalmon, Partner Thompson Hine LLP Norman A. Bloch, Partner Thompson Hine LLP 12:15 Luncheon 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.
  4. 4. DAY TWO | Continued Sponsor Acknowledgements: 1:15 Case Study Silver Sponsor: Effective Strategies for Voluntary Disclosure & Developing a Successful Remediation Plan • Reviewing recent standards and trends in voluntary disclosure Established in 1911, Thompson Hine LLP is a business • Determining when you should self-report law firm dedicated to providing superior client service. • Assessing key factors that will prompt a company’s decision to disclose With 400 lawyers in eight offices, we serve premier • Comprehending the consequences of not reporting an incident businesses worldwide. For more information, • Understanding how the government treats companies that self-report go to www.ThompsonHine.com • Putting together a plan for a proper voluntary disclosure • How to make the initial contact with the government agency • Identifying the correct documents to turnover A leading global law firm with • Strategies in implementing an effective remediation plan lawyers in 36 offices in 25 countries, White & Case provides counsel and 2:00 Case Study representation in virtually every area of law that affects cross-border business, including Working Effectively With a Compliance Monitor transactions, arbitration and litigation. Whether in established or emerging • Preparing your organization to work with a monitor markets, the hallmark of White & Case is our complete dedication to meeting • Establishing an effective working relationship with a monitor the business priorities and legal needs of our clients. • Providing the monitor with a comprehensive view of the business to reduce the negative effects of the monitorship as well as minimize disruption to the business • Determining what to do and who to speak to when you have issues with your monitor Preferred Partners: Julia C. Symon, Director of Compliance, Legal Department KBR Inc. Kroll, the world's leading risk consulting company, 2.45 Networking Break provides a broad range of investigative, intelligence, financial, security and technology services to help clients MANAGING FCPA / ANTI-CORRUPTION RISK STEMMING reduce risks and capitalize on opportunities. With offices in 55 cities across 27 countries, FROM MERGERS & ACQUISITIONS AND JOINT VENTURES Kroll serves a global clientele of law firms, financial institutions, corporations, non-profit institutions, government agencies 3:15 Interactive Panel Discussion Managing FCPA Risk Associated with Mergers & Acquisitions World-Check helps organisations understand who they are really doing • Assessing the appropriate level of due diligence business with. Trusted by more than 3 800 institutions in 162 countries, • Strategies on pinpointing industry-specific risk issues including 49 of the world's 50 largest banks, World-Check offers an • Options when diligence uncovers problems end-to-end solution for identifying and managing legal, financial • Protecting yourself in the transaction agreements and reputational risks. * Considerations relevant to integration of target company Moderator: Visit www.world-check.com or email contact@world-check.com. Julia McCalmon, Partner Thompson Hine LLP Panelists: Derek Devgun, Principal Legal Counsel Gold Media Partner: Medtronic Celine B. Gerson, Deputy Chief Compliance Officer Compliance Reporter is the only news-breaking source Cameron International that exclusively covers what regulators are looking (former Chief Compliance Officer with NATCO) for in their latest examination visits, new rulemakings Daniel T. Kessler, Chief Counsel, International Trade Controls and compliance initiatives at broker/dealers and invest- Pfizer ment advisers. CR also covers regulations and enforce- ment actions from entities such as the Financial Industry Regulatory Authority, the Securities 4:15 Case Study and Exchange Commission, as well as state and global regulatory agencies. Overcoming Corruption Risk Arising From Joint Ventures • Identifying the unique risk arising from joint ventures www.compliancereporter.com • Understanding what due diligence is appropriate • Dealing with joint ventures involved with the government • Mitigating issues arising from joint ventures subject to different accounting practices Silver Media Partner: 5:00 Closing Remarks of the Chair & Close of Conference The Business Roundtable Institute for Corporate Ethics (www.corporate-ethics.org) is a business ethics center formed in partnership with Business Roundtable— an association of chief executive officers of leading corporations—and academics from America's best business schools. Current research and program initiatives include the Project on Public Trust in Business Why You Must Attend: The last two years have been the most active years in the history of the Foreign Corrupt Testimonials: Practices Act (FCPA). There has been marked increase in enforcement actions particularly ones involving individuals as well as astonishing corporate penalties imposed on organiza- “Very enjoyable and informative conference. Efficient and highly organized” tions for violations. New trends in enforcement actions arose in 2010 with the use of new Serious Fraud Office (UK) and aggressive enforcement techniques with a sting operation conducted by the various US government agencies. There is also stepped up enforcement from foreign governments “The conference was well put together. The topics presented were very relevant to the on combating anti-corruption worldwide. Now more then ever organizations need to be environment we're dealing with today. Thanks.” diligent in their anti-corruption compliance programs. IBM The marcus evans 4th Sustainable FCPA Compliance Conference aims to bring together government officials, general counsel and compliance officers from leading organizations operating globally to share best practices, strategies and tools on developing, Sponsorship Info: executing, monitoring and auditing a strong and effective anti-corruption compliance Does your company have solutions or technologies that the conference delegates program. You will also gain insights on dealing with internal and government investigations, would benefit from knowing? If so, you can find out more about the exhibiting, networking issues stemming from gifts and entertainment of government officials, and on how and branding opportunities available by contacting: Nick Comerford, to develop effective training programs and best practices to compete in emerging nickc@marcusevansch.com or 312 894 6330. countries against organizations not subjected to FCPA.

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