617L17_S Int Compliance, Legal Risks and Corp Integrity

Register Now | +44 (0) 20 7878 6888 | C5-Online.com/compliancefrankfurt
a C5 Group Company
Business Information in a Global Context
Anton Winkler
Presiding Judge
District Court, Munich I
Nicola Bonucci
Director for Legal Affairs
OECD
Dr. Ulrich Bergmoser
Director for Finance,
HR and Compliance
Deutscher Fußball-Bund
e.V.
12th
Advanced Conference on
INTERNATIONAL COMPLIANCE,
LEGAL RISKS AND CORPORATE INTEGRITY
UP TO 23.25 CPD
CREDITS AVAILABLE
This year marks 30 years since the inception of C5 Group.
It is time to match our brand with the dynamic strides we have made.
See inside for details…
C5Business Information in a Global Context
31st
January & 1st
February 2017 | Villa Kennedy Frankfurt, Germany
Where Industry Decision-Makers and Influencers Meet on How to Proactively Respond
to Existing and Unforeseen Legal and Compliance Risks
PERSPECTIVE FROM:
AB Volvo
Association of Sport Sponsorship
Providers eV (VSA)
Bilfinger SE
Bosch
BuyIn
Deutsche Bank AG
Deutscher Fußball-Bund e.V. (DFB)
DIAGEO (South Africa)
ENGIE
Fresenius Medical Care AG & Co. KGaA
Hermes EOS (UK)
MAN Truck & Bus AG (Germany)
Microsoft
Nokia (Brazil)
OSRAM GmbH
Siemens AG
The Norwegian Government Pension
Fund Global (Norway)
Transparency International Germany
UBS Deutschland AG
German-English
TRANSLATION
AVAILABLE
Deutsch-Englische
ÜBERSETZUNG
VERFÜGBAR
Dr. Franziska Peters
Judge
The MünsterTax Court (Germany)
Dr. Hun Chai*
Public Prosecutor
Prosecutor General's Office Frankfurt
(Germany)
LEADING ENFORCEMENT AGENCIES
& REGULATORS
KEYNOTE
SPEAKERS:
LEAD SPONSOR EXHIBITORSASSOCIATE SPONSORS

Join the Conversation @C5Live Anti-Corruption Experts: Networking Group
AUDIENCE POLLING
Select panels will utilize
anonymous polling to collect
audience feedback and
benchmark on compliance,
investigative and disclosure
best practices. Polling is designed to give
audience members a unique look into
how industry is dealing with challenges
related to anti-corruption compliance and
enforcement. With individual keypads,
participants will respond to panel questions
confidentially, allowing for candid insights
on sensitive, controversial issues.
AN ACTIVE CULTURE OF ETHICS AND INTEGRITY REMAINS CRITICAL FOR THE EFFECTIVENESS OF A CORPORATE
COMPLIANCE MANAGEMENT SYSTEM
The last months have witnessed several compliance scandals including the ongoing FIFA corruption investigation, the aftermath of the
operation “Car Wash”, the Volkswagen Diesel Scandal, Deutsche Bank’s Russian desk investigation and heavy settlements involving
corporations and banks. They once again highlight the multitude of risks faced by businesses around the world. The Panama leaks of
offshore financial records have revealed a global display of crime and corruption but importantly weaknesses in corporate internal control
systems, putting tax avoidance and tax compliance at the top of the agenda for companies.
C5’s 12th Advanced Conference on International Compliance, Legal Risks and Corporate Integrity is designed to reflect the realities
of modern compliance, ethics and legal roles.
The conference gathers senior representatives of the District Court of Munich I, the Tax Court of Münster and the Prosecutor General's
Office Frankfurt.
Keynote speakers include Anton Winkler, Presiding Judge, District Court, Munich I, Dr. Ulrich Bergmoser, Director for Finance,
HR and Compliance, Deutscher Fußball-Bund e.V. (DFB) and Nicola Bonucci, Director for Legal Affairs, OECD.
Join the event where the European legal, ethics and compliance community meet every January in Frankfurt. You will be an active part of
an experience-sharing advanced conference on how to evaluate compliance programme components, respond to issues as they arise and
monitor internal controls to maintain ongoing compliance.
Whether you are just joining the legal, compliance and integrity community or a highly seasoned practitioner, this programme is not to
be missed. You will hear from leading practitioners, in-house counsel and compliance executives who face compliance risks on a daily
basis, from corruption, bribery, anti-money laundering, tax compliance, human right compliance, supply chain compliance risks and other
emerging risks.
New for 2017:
∠ First-hand Conclusions and Comments
of the First G20 Anti-Corruption
Working Group Meeting
∠ Innovations in Global Compliance
Programmes: The Importance of
Values and Culture Transformation
∠ Focus on Latin America:
Country-Specific Strategies for
Compliance and Risk Mitigation
∠ Compliance Fatigue: Getting Buy in From
Senior Management and All Employees
∠ The Role of Corporate Compliance
Systems in Criminal Proceedings
and Sentencing
∠ Capturing and Monitoring New and
Inexistent Risks
∠ The General Prosecution Office and
The Tax Court to Talk About Tax
Compliance Investigations and
Enforcement Priorities
∠ Investors and Responsible
Shareholders Focusing on Compliance
∠ The Modern Slavery Act and Human
Right Compliance Risks in Supply Chain
New Breakout sessions, Tracks and anonymous polling of the audience will gather this community’s best practices in compliance and
risk management. Take away practical compliance insights and implementable tools to avoid costly investigations, prosecutions and
reputational damages. Learn how Europe’s leading companies are assessing their risk profiles to reflect a broad range of diverse global
regulations, and translating their values and principles into day to day operations and behaviour.
Group rates are available for legal, compliance, ethics and internal audit teams. Go to www.C5-Online.com/compliancefrankfurt
to reserve your place now.
FOCUS WORKSHOPS — 2 FEBRUARY 2017:
Corporate Compliance
Programme Supported by
a Culture of Compliance
Third Party Relationships
Scrutinised
Country-Specific Strategies to
Ensure Compliance and Minimise
the Risk of Costly Government
Investigations in LATAM
A
B
C
OVER THE LAST 7 YEARSTHE CONFERENCE
HAD ATTENDANCE FROM:
600+
Attendees
250+
Companies
29
Countries
from in
PLUS: FOCUS DAY ON
"Anti-Corruption Year in Review"
30th
JANUARY 2017:
Gain practical lessons from the most
recent anti-corruption settlements, critical
regulatory and enforcement updates

a C5 Group Company
DISTINGUISHED SPEAKER FACULTY
Leading Enforcement Agencies & Regulators
Anton Winkler
Presiding Judge
Judge
The Münster Tax Court
Dr. Hun Chai*
Public Prosecutor
Prosecutor General's Office Frankfurt
(Germany)
The Sport Community:
Inka Müller-Schmäh
Managing Director
Association of Sport Sponsorship
Providers eV (VSA)
Dirk Seeburg
Member of Working Group Sport
Director for Finance, HR and Compliance
Deutscher Fußball-Bund e.V. (DFB)
From the OECD:
Nicola Bonucci
OECD
2017 Conference Chair
Cornelis (Kees) van Ophem
Global General Counsel & EVP
Fresenius Medical Care (Switzerland)
Conference Faculty:
Andreas Ansel, LL.M. (Stellenbosch)
Head of GRC / Compliance Officer –
Governance, Risk & Compliance – GO
MAN Truck & Bus AG
Andreas Hilpert
Head of Internal Audit
Bilfinger SE
Andreas Pyrcek
Partner, Fraud Investigation
& Dispute Services
EY GmbH (Germany)
Anja Drew
Global Compliance & Ethics Director
DIAGEO
Dr. Benno Schwarz
Partner
Gibson, Dunn & Crutcher LLP
Bo Berndtsson
Chief Compliance Officer
AB Volvo
Brandon Wright
Corporate Internal Audit (C/IA)
Bilfinger SE
Lord Charles Falconer
Partner, former Lord Chancellor and
first Secretary of State for Justice
Dr. Dirk Scherp
Of Counsel
Gleiss Lutz
Eli Lund
Head of Secretariat
The Norwegian Government Pension
Fund Global
Eric Mayer
Partner
Pohlmann & Company
Eric Seassaud, Ph.D
Ethics & Compliance General Counsel
ENGIE
Flavio Bertoli
LEDVANCE GmbH
Gabriela Roitburd
Regional Compliance Counsel – LAT
Nokia (Brazil)
Hans-Hermann Aldenhoff
Partner
Simmons & Simmons
Jan Hansen
Head of Compliance Risk, Strategy
and Operations Department
Siemens AG
Jason A. Masimore
Lawyer, Disputes and Investigations
Kobre & Kim
Dr. Kai Schumacher
BuyIn
Katharina Weghmann
Executive Director, Fraud Investigation
& Dispute Services
EY GmbH (Germany)
Lauren Reynolds
Senior Attorney, Compliance, Central
and Eastern Europe (CEE) & Germany
Microsoft
Dr. Michael Fischer
General Counsel
UBS Deutschland AG
Michael Harris
Head of Screening and
Enhanced Due Diligence, Europe
Thomson Reuters
Michael Walther
Partner
Oliver Jost
Philippe Montigny
President
ETHIC Intelligence
Robertson Park
Partner
Murphy & McGonigle (USA)
Sascha Kuhn
Partner
Simmons & Simmons
Savoula Demetriou
Compliance Implementation
and Assurance Team (CIAT)
Allianz SE
Stefan Schaffer
Partner, Fraud Investigation
& Dispute Services
EY Gmbh (Germany)
Stuart F. Delery
Partner
Former Acting Associate Attorney
General of the United States
Thiago Jabor Pinheiro
Partner
Mattos Filho, Veiga Filho, Marrey Jr e
Quiroga Advogados (Brasil)
Dr. Thomas Altenbach
Assistant General Counsel and Regional
Head of Anti Financial Crime EMEA
Deutsche Bank AG
Tim Goodman
Director
Hermes EOS (UK)
Torsten Krumbach
Compliance Office (ST/CPO)
Bosch GmbH

PRE-CONFERENCE FOCUS DAY | Monday, 30th
January 2017
8:00 a.m. – 4:45 p.m.
ANTI-CORRUPTION YEAR IN REVIEW
Practical Lessons from the Most Recent Anti-Corruption Settlements, Critical Regulatory and Enforcement Updates
MAIN CONFERENCE DAY ONE | Tuesday, 31st
January 2017
8:00 Registration Begins
8:30 Opening Remarks from The Conference Chair
8:45 PANEL DISCUSSION
Global Compliance Risk Assessments Today: How Global
Companies Capture and Monitor New and Inexistent Risks
9:45 Internal Investigations; Data Privacy;
Cross-border Collaboration Between the
Compliance Organisations for an Effective
Internal Investigation
10:45 Morning Refreshments
BREAKOUT SESSIONS
BREAKOUT SESSIONS A (11:15 – 12:15)
Track 1 – THE NEW ANTI-BRIBERY LAW FOR THE
HEALTHCARE SECTOR
How Companies are Re-assessing Existing and Future
Collaborations with HCPs to Control Risks
Track 2 – BENCHMARKING SESSION
Internal Audit and Compliance Teams in Tune to Detect Corrupt
Payments and Minimise the Risk of Books and Records Violations
BREAKOUT SESSIONS B (12:15 – 1:15)
Money Laundering Risks for Non-Financial Institutions:
Compliance Tools for Effectively Assessing the Risks and
Strengthening Internal Controls
Overcoming Compliance Fatigue and Getting Constant Buy in
from Senior Management and All Employees
1:15 Networking Lunch
2:30 KEYNOTE ADDRESS
Status and Role of Corporate Compliance Systems in Criminal
Proceedings and Sentencing: The View from the Judiciary
3:00 The General Prosecution Ofﬁce, Tax Authorities and The
Tax Court Speak About Tax Compliance Investigations
and Enforcement Priorities
4:00 Afternoon Refreshments
Recent U.S. Enforcement Trends and What the Change in the
U.S. Administration Means
The G20 in the Fight Against Transnational Bribery
6:00 Drinks Reception & Conference Adjourns to Day 2
MAIN CONFERENCE DAY TWO | Wednesday, 1st
February 2017
8:30 Registration Begins
8:45 Opening Remarks from The Conference Chair
The Impact of BREXIT on the Legal and Compliance Community
in Europe and Beyond
10:15 Morning Refreshments
10:45 Sponsorship, Partnership, Marketing, and Hospitality:
Compliance Management System Capable of Combining
Traditional Sporting Values and the Business Competitive
Culture in Sports
Corporate Compliance, Ethics and Integrity
Management Programme: How to Change the
Culture of Your Organisation
12:30 Networking Lunch
Active Investors and Responsible Shareholders Focusing
on Compliance
2:45 Afternoon Refreshments
3:00 Practical Applications in the Use of Forensic Data
Analytics to Improve Corruption Investigation Outcomes
3:45 The Modern Slavery Act and Human Right Compliance:
Proactively Controlling the Risks in your Supply Chain
to Avoid Shareholders/Public Scrutiny and Prosecution
4:30 Conference Ends
POST-CONFERENCE WORKSHOPS | Thursday, 2nd
February 2017
9:00 a.m. – 12:30 p.m.
EXECUTIVE ROUNDTABLE:
Focus on Corporate Compliance
Programme and Culture
How to Transform your Compliance
Programme into a Resourceful
Programme Not Triggered by a Major
Crisis but Supported by an Open Culture
of Compliance
2:00 p.m. – 5:30 p.m.
Focus on Third Party
Relationships Scrutinised
HYPOTHETICAL SCENARIOS:
Due Diligence, Contract Performance,
Payment and Monitoring of your Most
Challenging Business Partners in High
Risks Markets
9:00 a.m. – 1:00 p.m.
(8:30 a.m. Registration and Coffee)
EXECUTIVE ROUNDTABLE
FOCUSSING ON
Country-Speciﬁc Strategies to Ensure
Compliance and Minimise the Risk
of Costly Government Investigations
in LATAM
A B
C

a C5 Group Company
ANTI-CORRUPTION
YEAR IN REVIEW
FOCUS DAY
Monday, 30th
January 2017
Meet the Facilitators
Martim DellaValle
Vice President, Compliance
Anheuser-Busch InBev
Mark Mendelsohn
Partner
Paul,Weiss, Rifkind,Wharton
& Garrison LLP
KyleWombolt
Partner
Herbert Smith Freehills
8:00
Registration and Refreshments
8:30
Opening Remarks from the Chair
9:00
Notable Enforcement Developments in 2016:
A Round Up of the Key Jurisdictions from
Around the World
• What are the current enforcement developments and
priorities of the year?
• What can be learnt from the countries with the most
effective enforcement plans?
• What should compliance officers be focusing on and
prioritising in order to prepare for the year to come?
• Review of US, UK and Germany
• Reflecting upon the remediation companies are
making post settlement
10:00
Preparing for the Year to Come? Key Lessons to
be Learnt from the Legal Changes and the DPAs
and Declinations of the Year
• Identifying the warning and red flag signs throughout
your business
- What are the warning signs your procurement team
should be looking out for?
• What were the key risk indicators that arose in
companies before issues arose?
• Learning from the key risk indicators in order to
prepare for the year to come
• What key internal factors should you be looking
out for?
10:45
Networking Break
11:00
The Risks of New Businesses Venturing
in to Unfamiliar High Risk Jurisdictions:
What do Companies Need to be Aware of?
• Knowing the high risk jurisdictions?
• What is considered appropriate behaviour when
operating in countries where the government and
varying industries are closely related?
• How to manage business relations with companies
closely related to the government
• Best practices for managing expectations of those you
are dealing with in a high risk jurisdiction?
• Ensuring improper financial relationships are not formed
Practical Lessons from the Most Recent Anti-Corruption Settlements,
Critical Regulatory and Enforcement Updates

11:45
Strengthening Your Internal Systems and
Processes to Prevent Bribery
• What are the lessons to be learnt from the 2016 cases
such as the Olympus case?
• How to identifying your company’s internal weaknesses
and identify any bribery early on?
• What are the risks when interacting with foreign officials?
• Strengthening your internal controls and systems to
capture the risks before a situation arises
• The case of VimpelCom and concealing bribery
schemes from other departments and falsely recording
information
• Success fees and business development — keeping a
look out for the red flags
- Incorporating detailed steps with precision for new
business development
• What systems can be implemented to prevent the risks
of withholding information?
12:30
Networking Lunch
13:45
What the Yates Memo Means to Companies:
Learning from the Exposure of the Senior
Executives
• Moving towards the trend of going after company
individuals rather than companies
• To what extent as a company are you required to
deliver up your offices?
• Where do the senior executives stand now in light
of changing trends?
• Reputational management and handling external
messaging
• Managing internal stakeholders during an investigation
• Selecting the right lawyers to help
14:30
Hiring Practice Risks:The Regulatory and
Competition Risks Arising Out of Hiring Practices
• What companies in the UK can learn from the hiring
practices across jurisdictions?
• The consequences of hiring practices on financial
institutions
• Hiring practice risks you need to be aware of in light
of recent cases and legal rulings
• The risks of hiring practices surrounding intermediaries
• Understanding the FCA regulatory and competition
risks arising out of hiring practices
- What were the potential risks?
- What are the next steps you should be aware of?
• Ensuring your company falls within the bounds of legal
hiring practices — what can we learn from the recent
investigations such as JP Morgan Chase investigation
and their ‘sons and daughters’ hiring initiative?
• Complying with internal hiring practices
- Are your current practices up to scratch?
- How can they be updated and improved regularly
to ensure that the risks can be identified?
• The hiring of competent employees from the outset
- Hiring trustworthy employees
- Tip and tricks from those that have made mistakes
15:15
Networking Break
15:30
Gifts and Entertainment Pitfalls: Drawing the
Line Between What is Considered Modest
and Reasonable
• Understanding what is considered to be an adequate
procedure for receiving gifts and entertainment
• What kind of approval processes should be set up in
light of cases such as BHP Billiton and Olympus?
• Implementing a system for proper sign off when
receiving a gift
• Is it possible to change the culture of the business —
can we really say we cannot accept a gift because
there are universal rules in place?
• Effective communication of the obligations and
cultural distinctions with people in locations you
are operating in
• Ensuring relationships of agents and employees
are compliant with the FCPA
16:00
Disclosure and Co-operation During
Investigation: Striking the Right Balance When
Under Investigation. What are the Current
Tactics and Efforts Used By Companies on a
Global Scale?
• What is the situation for companies that operate on
a global scale and how can they ensure they are
being co-operative when the regulators across the
jurisdictions arrive?
• What is considered to be good co-operation?
• What is considered to be effective disclosure and
where can we draw the Line?
- Is there a favourable way to act without opening
Pandora’s box?
• Approaching self-disclosure as a global company
and understanding what this entails:
- Disclosure of personal data to the authorities
- Balancing consent v doing as the authorities’ say
• Finding the balance between co-operation and the
respecting of local laws — How do you deal with the
duality during the settlement process?
• Managing internal cooperation between legal and
compliance and overcoming friction
16:45
Chair’s Closing Remarks and End of Focus Day

a C5 Group Company
8:00
Registration Begins
8:30
Opening Remarks from The Conference Chair
Global Compliance Risk Assessments Today:
How Global Companies Capture
and Monitor New and Inexistent Risks
Bo Berndtsson
AB Volvo
Jan Hansen
Head of Compliance Risk,
Strategy and Operations Department
Siemens AG
Andreas Pyrcek
Partner, Fraud Investigation & Dispute Services
EY GmbH (Germany)
• The challenges of new, emerging and inexistent risks
to the compliance and risk functions today
• How the Volkswagen scandal has changed the way
companies conduct risk assessment today?
• Understanding the business challenges to improve
compliance across the board and act on it
• How to prompt your internal policies and procedures,
what critical questions to ask to all employees at all
levels to ensure that potential weaknesses are dealt
with at once
• The latest compliance analytics tools at your disposal
- Analysing emails to detect anomalous relationships
- Leveraging text mining to identify potentially
suspicious terms within transactions in the
financial accounting data
- Utilising visualisation tools to identify key risk areas
on which to focus
- Monitoring tools and statistical techniques to identify
data trends and potential anomalies
• What is the answer to the question: what area(s) of the
business, procedures am I not assessing? And why?
• Protecting your employees: where the risks are and
what tools companies can utilise
• How your training and compliance programmes will
achieve employee engagement?
9:45
Internal Investigations & Data Privacy;
Cross-border Collaboration Between
the Compliance Organisations for an
Effective Internal Investigation
Robertson Park
Partner
Murphy & McGonigle (USA)
Partner
Mattos Filho, Veiga Filho, Marrey Jr e Quiroga
Advogados (Brasil)
• What are the starting points and relevant sources
of information that trigger an investigation?
• Best procedures for conducting a thorough and
meaningful internal investigation within an organisation
once a potential violation has been identified
• Investigating employee behaviour: what is and is
not permissible when collecting and using personal
evidence such as employee hardware, emails,
telephone conversations and personal information
• What role does data analytics play in finding the
key evidence?
• Complying with data protection regulations
and your internal data protection programme
for internal investigations
• How to report your findings: what are the potential
risks and benefits of reporting potential violations
to local and foreign regulators
10:45
Morning Refreshments
MAIN CONFERENCE DAY ONE
Tuesday, 31st
January 2017

BREAKOUT SESSIONS
BREAKOUT SESSIONS A (11:15 – 12:15)
Track 1 – THE NEW ANTI-BRIBERY LAW FOR THE HEALTHCARE SECTOR
How Companies are Re-assessing Existing and Future Collaborations with HCPs
to Control Risks
Oliver Jost
Dr. Hans-Hermann Aldenhoff
Partner
Simmons & Simmons
• Scope of the new law: who is covered by the definition of healthcare professionals (HCPs)?
• What activities are still permissible under the new law?
• What a risk assessment to test the permissibility of existing dealings with HCPs will look for
• Robust risk management plan for the areas of collaborations with HCPs that are the most at risk
- Post market surveillance studies and monitoring registries
- Homecare services
- Research or consultancy agreements with HCP
- Granting of discounts to HCPs for products designed for patients
• The elements of the criminal liability to be established: the corruptive agreement vs. the corruptive intent —
what do they mean?
• What defence and adequate procedures HCPs should put in place to demonstrate continued compliance
Internal Audit and Compliance Teams in Tune to Detect Corrupt Payments and Minimise
the Risk of Books and Records Violations
Brandon Wright
Corporate Internal Audit (C/IA)
Bilfinger SE
Gabriela Roitburd
Nokia (Brazil)
Andreas Hilpert
Head of Internal Audit
Bilfinger SE
• Interaction between compliance and internal audit teams while keeping their independence
• What your system of fraud risk and internal controls needs to accomplish
• Typical internal control gaps and how to spot them
• How to develop forensic audit skills in addition to financial audit skills
• Auditing within the remit of the company’s ABC policy
• Understanding and applying the company code of ethics
• Getting buy-in from senior management and the board
• Encouraging greater and more transparent information sharing among the risk, operations, finance and corporate
development functions

a C5 Group Company
BREAKOUT SESSIONS
BREAKOUT SESSIONS B (12:15 – 1:15)
Money Laundering Risks for Non-Financial Institutions: Compliance Tools for Effectively
Assessing the Risks and Strengthening Internal Controls
Dr. Dirk Scherp
Of Counsel
Gleiss Lutz (Germany)
• Clarifying the scope of the regulation and the expectations
• Do “Designated non-financial businesses and professions”; “Commercial trader in goods” mean
• Who is subject to and who is not under FATF, the 3rd EU Directive and German AML rules: What are the
inconsistencies between EU and local law and how to account for them?
• Identifying your organisation’s money laundering exposure
• Conducting a risk analysis to identify the highest Money Laundering risk businesses, customers and transactions
— and to design respective safety measures
• What non-financial institutions can learn from banks and other institutions that have already implemented the tools
to avoid money laundering offences
• How can you address practical issues related to Know your “Business Partner”, KYC and ultimate beneficiary
identification?
• What systems to have in place to check and screen final beneficiaries
• How to implement AML structures within your existing group systems, product lines and sales processes
• How the new legislation is redefining the relationship between the banks and their client’s companies?
Overcoming Compliance Fatigue and Getting Constant Buy in from Senior Management and
All Employees
Flavio Bertoli
LEDVANCE GmbH
Torsten Krumbach
Head of Compliance Office (ST/CPO)
Bosch
• Analysing the signs of compliance fatigue companies have commonly noticed — how to spot them
• What are the direct and indirect causes for compliance fatigue in an organisation?
• Creative and innovative practices to ensure that the business and operations are refocussed into the compliance
and internal controls systems
• Lessons learned for recent ramifications of weak compliance practices
• Addressing external and internal obstacles and challenges: how good is the communication among the
departments and the reputation of the compliance organisation?
• How the compliance function can get the constant buy in from the senior management to re-engage and maintain
a culture of compliance

1:15
Networking Lunch
Status and Role of Corporate Compliance
Systems in Criminal Proceedings and
Sentencing: The View from the Judiciary
Anton Winkler
Presiding Judge
3:00
The General Prosecution Office and The
Tax Court Speak About Tax Compliance
Investigations and Enforcement Priorities
Dr. Hun Chai*
Public Prosecutor
Prosecutor General's Office Frankfurt (Germany)
Judge
The Münster Tax Court (Germany)
Moderator:
Sascha Kuhn
Partner
Simmons & Simmons (Germany)
• What are the scope and powers of tax authorities
in investigating tax compliance wrongdoing?
• What are the expectations put on companies and what
is tax non-compliance? — what kind of compliance
would be enough to avoid prosecution?
• What do they look for in these investigations?
• Common mistake in tax fraud and how cases
are brought?
• At what point public prosecutors get involved
and how do they cooperate?
• What is the role of the General Prosecution office
about the cases?
• How the tax authorities and the general prosecution
office cooperate?
4:00
Afternoon Refreshments
Recent U.S. Enforcement Trends and What the
Change in the U.S. Administration Means
Stuart F. Delery
Partner
Former Acting Associate Attorney General
of the United States
Dr. Thomas Altenbach
Assistant General Counsel and Regional Head
of Anti Financial Crime EMEA
Deutsche Bank AG
Lauren Reynolds
Senior Attorney, Compliance, Central and Eastern Europe
(CEE) & Germany
Microsoft
Dr. Benno Schwarz
Partner
• Moving Chairs – How the transition of power will impact
ongoing investigations
• Revising Policies – What the new administration may
change and what is likely to stay
• Recent Enforcement Trends – Lessons learnt for globally
operating businesses
• The New Normal – Impact of a potential policy shift on
non-U.S. investors and, in particular, the German industry
The G20 in the Fight Against International
Bribery
Nicola Bonucci
OECD
6:00
Drinks Reception & Conference Adjourns
to Day 2
“Excellent,definitely recommend”
Investigative Lawyer, Serious Fraud Office (UK)
“Very high level conference.Good overview of topics.
Very impressed with the quality of speakers and panels,
we really got to hear from all the right people”
Aibel AS
“Very well organised conference in a very nice venue.
Interesting discussions.”
Allianz SE
“Very useful and informative.Good insight into trends
particularly the regulators perspective.This helped to put
other presentations into perspective.”
NBC Universal
“Very good conference.Probably the best for European
coverage I have attended.The level of detail is exactly right.”
Rolls Royce Plc
“Very useful,good and practical content that I will
recommend to colleagues”
Baker Hughes
HERE'S WHAT DELEGATESHAVE TO SAY ABOUT THE ANTI-CORRUPTION & COMPLIANCE PORTFOLIO:

a C5 Group Company
8:30
Registration Begins
8:45
Opening Remarks from The Conference Chair
The Impact of BREXIT on the Legal
and Compliance Community in Europe
and Beyond
Lord Charles Falconer
Partner, former Lord Chancellor and first Secretary
of State for Justice
Dr. Michael Fischer
General Counsel
UBS Deutschland AG
Michael Walther
Partner
• Immediate Impact – How companies handle today’s
uncertainty regarding the future legal regime relating
to the U.K.
• Mid-Term Impact – Likely changes expected in the
field of data protection and cooperation in the legal
enforcement arena
• Industry Focus – How key industries particularly affected
by BREXIT handle the situation (Financial Sector, German
Automotive Industry)
Deutscher Fußball-Bund e.V. (DFB) (Germany)
10:15
Morning Refreshments
10:45
Sponsorship, Partnership, Marketing,
and Hospitality: Compliance Management
System Capable of Combining Traditional
Sporting Values and the Business Competitive
Culture in Sports
Inka Müller-Schmäh
Managing Director
Association of Sport Sponsorship Providers eV (VSA)
Deutscher Fußball-Bund e.V. (DFB) (Germany)
Dirk Seeburg
Member of Working Group Sport
• How compliance and transparency requirements
blend with the unique structure and the complexities
of the sport industry
• What the sport industry can learn from other industries
when it comes to building a culture of compliance
• Why sponsorship is important for sport and a great
marketing tool
• Considerations for developing sponsorship for sports
and making it more transparent and compliant
• What is the role and responsibilities of sponsors in
regards to compliance in sport?
• Defining a compliance management system that
provide tools for both the business-driven and the
volunteering parts for sport clubs
• What tools to put in place to ensure transparency and
track the flow of the money for professional teams
Corporate Compliance, Ethics and
Integrity Management Programme:
How to Change the Culture of Your
Organisation
Savoula Demetriou
Compliance Implementation and Assurance Team (CIAT)
Allianz SE
Torsten Krumbach
Compliance Office (ST/CPO)
Bosch Sicherheitssysteme GmbH
Andreas Ansel, LL.M. (Stellenbosch)
Head of GRC / Compliance Officer –
Governance, Risk & Compliance – GO
MAN Truck & Bus AG (Germany)
Katharina Weghmann
Executive Director, Fraud Investigation & Dispute Services
EY GmbH (Germany)
Main Conference Day Two
Wednesday, 1st
February 2017

• Understanding the undisputable role of values
• Who are the stakeholders of an integrity management
programme?
• How do you assess the strengths and the weaknesses
of your compliance and integrity culture?
• How to use the technology to enable business integrity,
non-compliance and unethical business conduct gaps?
• How do you incorporate anti-bribery and corruption
in an enterprise risk programme?
• Developing a new version of Code of Business Conduct
focusing on values and a tool to daily decisions
• Pros and cons of aligning compliance, internal audit
and enterprise risks functions for a better
• Monitoring your third parties and business partners’
integrity management programme
12:30
Networking Lunch
Active Investors and Responsible Shareholders
Focusing on Compliance
Eli Lund
Head of Secretariat
The Norwegian Government Pension Fund Global
Tim Goodman
Director
Hermes EOS (UK)
Eric Mayer
Partner
Pohlmann & Company
Jason A. Masimore
Lawyer, Disputes and Investigations
Kobre & Kim
• Why does compliance matter for investors at all?
- Reduction of ethical risk equals reduction of
financial risk
• The Value of Compliance to Investors in the Face
of Enforcement Risks
• U.S. enforcement and cross-border investigations
• Investigation costs and outcomes of cooperation
• Compliance culture and practices: How U.S. authorities
look at compliance in assessing a “just” outcome
• Corporate gatekeepers and the role they play
• Danger zones: How to deal with rules and procedures
in various jurisdictions
• How would you define the term “compliance”?
- Anti-corruption vs. other compliance risk categories?
• Against which standards do you measure good
compliance management systems in your portfolio
companies?
• How do you manage the complexity of the portfolio
and pick the right companies?
• What is the benefit in active dialogues between
investors and portfolio companies? Level of personal
involvement from written communication to multiple
on-site visits
2:45
Afternoon Refreshments
3:00
Practical Applications in the Use of Forensic
Data Analytics to Improve Corruption
Investigation Outcomes
Stefan Schaffer
Partner, Fraud Investigation & Dispute Services
EY Gmbh (Germany)
Deciding whether to undertake an internal investigation
is a key part of an organisation’s response to detected
or suspected corruption. Today however the cross border
aspects of corruption investigations have significantly
increased the size, cost and complexity of undertaking
such investigations. It is critical that investigative resources
are able to be organised quickly, are sufficiently skilled and
use common tools and methodologies to accomplish an
effective and thorough investigation. During this session,
you will be part of a demonstration of how data analytics
can be used in these circumstances based on a set of
hypothetical scenarios.
3:45
The Modern Slavery Act and Human Right
Compliance: Proactively Controlling the Risks
in your Supply Chain to Avoid Shareholders/
Public Scrutiny and Prosecution
Michael Harris
Head of Screening and Enhanced Due Diligence, Europe
Thomson Reuters
• Preparing for the first annual slavery and human
trafficking statements
• Scope and jurisdiction of the Modern Slavery Act 2015
• Assessing the labour environment and human right
abuse in which your business operates
• The rising importance of Human Rights compliance
• Balancing a thorough risk-based approach to your due
diligence process and maintaining consumer assurance
• How do you understand your business exposure to the
risks in the supply chain?
• How can companies unwittingly fail to spot slavery
and human trafficking
• What controls you need to put in place or how can you
improve your current internal controls?
• What information should you publish in the statement
• How could the first annual slavery and human trafficking
statements look like?
4:30
Conference Ends

a C5 Group Company
9:00 a.m. – 12:30 p.m.
EXECUTIVE ROUNDTABLE: Focus on Corporate Compliance Programme and Culture
How to Transform Your Compliance Programme into a Resourceful Programme
Not Triggered by a Major Crisis but Supported by an Open Culture of Compliance
Philippe Montigny
President
ETHIC Intelligence
Dr. Kai Schumacher
BuyIn
Eric Seassaud, Ph.D
ENGIE
• Taking the initiative in creating your culture of compliance
- What creating a culture of compliance entails
• Clearly defining first and second lines of defence
- Ensuring that “First Line of defence” thinks like it’s
the Last Line of defence
- Making sure that respective responsibilities for First
and Second Lines are clearly defined and agreed
• Taking the initiative in monitoring for emerging risk
and noncompliance
- The importance of visual analytics
• With a few clicks of a button, how a compliance
professional could drill down from a high-level
representation of millions of transactions to specific
events that pose an elevated risk of corruption
- Recognise trends and identify abnormal historical
patterns
• The structure of the anti-bribery management system
(ABMS) Standard ISO 37001
- Defining the Context of the organisation and
evaluating the leadership
- Planning the ABMS; Support and ressources
- Operation to prevent and detect bribery
- Performance evaluation; Improvement
• Confronting challenges directly
- Avoid creating compliance requirements that
would create burdens to legitimate business
operations clearly outweighing the benefits to
compliance oversight
- But protect your business with vigorous and
consistently applied compliance measures
2:00 p.m. – 5:30 p.m.
Focus on Third Party Relationships Scrutinised
HYPOTHETICAL SCENARIOS: Due Diligence, Contract Performance, Payment
and Monitoring of your Most Challenging Business Partners in High Risks Markets
Anja Drew
Global Compliance & Ethics Director
DIAGEO (South Africa)
Eric Seassaud, Ph.D
ENGIE
Philippe Montigny
President
ETHIC Intelligence
Screening and monitoring your third parties when your
organisation operate in High Risks Markets is a perennial
compliance challenge for companies. The challenges start
with the on-boarding process and continue throughout
the life of the third party relationship. This interactive and
practical working group will discuss best practices and
identify tools and tactics that peer companies are using to
on board and monitor third parties. Walk away with proven-
effective strategies that your company can incorporate
when evaluating third party vendors, contractors, brokers,
agents, or partners.
• The statutes of the business associates in the ISO 37001
- Typology: joint ventures, partners, clients….
- Risks associated with the different type of business
associates
- The ISO requirement on business associate
- How to use the ISO 37001 with business associates?
• Who is responsible for the proposal and the business
case for using third parties?
• What should be in the proposal and the business case?
• What the latest investigations reveal about having
a good due diligence report on third parties
• Who gets to see the due diligence report?
• Filtering and risk grading: what questions should
you ask yourself?
- Does the business proposal make sense?
- Does the third party have the skills/resources
to perform the contract?
- Any other payments/connections the third party
(or any of its shareholders/employees) have to
the company?
• When should the relationship be approved and who
should approve it?
• Audit rights and compliance training for third parties
• Contract performance and payments: the importance
of the “proof of services”
• Auditing the third party
A
B
POST-CONFERENCE WORKSHOPS
Thursday, 2nd
February 2017

9:00 a.m. – 1:00 p.m. (8:30 Registration and Coffee)
POST-CONFERENCE EXECUTIVE ROUNDTABLE FOCUSSING ON
Country-Specific Strategies to Ensure Compliance and Minimise the Risk of Costly
Government Investigations in LATAM
Gabriela Roitburd*
Nokia (Brazil)
Partner
Mattos Filho, Veiga Filho, Marrey Jr e Quiroga
Advogados (Brasil)
BRAZIL:The Anti-Corruption Compliance & Enforcement Landscapes
• Brazil Clean Company Act guidelines
• Requirements for anti-corruption compliance programs under the new regulations
• Key requirements that differ from the FCPA and other jurisdictions
• The anticipated impact of new requirements for companies operating in country
ARGENTINA, COLOMBIA & MEXICO: New and Ongoing Legal, Regulatory and Political Changes Affecting Your
Local Anti-Corruption Compliance Status
• Mexico:
- The National Anticorruption System: how and why anti-corruption legislation has recently changed
so dramatically
- How Mexico’s enforcement agencies are empowered by the constitutional reforms, and the new anti-corruption
bodies (Federal Administrative Justice Court, FAJC)
- Anticipated secondary legislation, and additional anti-corruption provisions
• Colombia:
- Status update on the Colombian anti-corruption statute and Whistleblower legislation
- Which government agencies have jurisdiction over enforcement of the new laws
- How the new legislation is being implemented and enforced in practice?
• Argentina:
- Overview of prohibitions in the Criminal Code, including the prohibition of active and passive bribery
of public officials, and foreign public officials
- Status and impact of proposed new anti-corruption regulations, including corporate liability for corruption,
asset recovery, increased government transparency, and incentives for those who cooperate with authorities
1:00 End of the Roundtable
C
GLOBAL SPONSORSHIP OPPORTUNITIES
C5 works closely with sponsors to create the perfect business development solution catered exclusively to the needs of any practice
group, business line or corporation. With over 500 conferences held in Europe, Russia and the CIS, China, India, the US and
Canada, C5 provides a diverse portfolio of first-class events tailored to the senior level executive.
To find out how to position your firm as an industry leader by sponsoring this event, please contact Chris Murphy on
+44 (0)20 7878 6955 or email C.Murphy@C5-Online.com
(*) Denotes Speakers Invited
MEDIA PARTNERS:

a C5 Group Company
LEAD SPONSOR
ASSOCIATE SPONSORS
EXHIBITORS
The leading provider of the richest, most reliable private company
information in the market – Bureau van Dijk is in the business of
certainty. Our product range combines data from regulatory and
other sources, including 150 information partners, with flexible
software we deliver fast insight on your customers and business
partners, and the individuals behind them for governance, risk
management and compliance (GRC).
NAVEX Global’s comprehensive suite of ethics and compliance
software, content and services helps organisations protect their
people, reputation and bottom line. Trusted by more than 12,500
clients, our solutions are informed by the largest ethics and
compliance community in the world.
The University of Liverpool’s London-based Executive Masters
in International Trade Compliance sets the industry standard, no
comparable Executive Masters programme exists. Created in
partnership with Full Circle Compliance a leading ITC consultancy,
we combine the latest regulatory insights with action learning
that produce directly implementable results for your business.
https://www.liverpool.ac.uk/management/executive/
K2 Intelligence is an investigative consultancy founded by Jeremy
Kroll and Jules Kroll, the originator of the modern corporate
investigations industry. We advise governments, companies and
high net worth individuals in: cybersecurity investigations & defence;
complex investigations; forensic accounting; business intelligence;
investigative due diligence; anti-money laundering and regulatory
compliance. We consistently produce remarkable — and remarkably
efficient — results for clients by knowing how and when to employ
cutting-edge technology.
Thomson Reuters provides the trusted answers to identify the
hidden risks of doing business with a customer or third party. With
Thomson Reuters you can confidently anticipate, mitigate, manage
and act on the risks your customers, vendors, suppliers, and
partners may pose to your revenue or reputation.
Dealing with complex issues of fraud, regulatory compliance and business disputes can detract from efforts to
succeed. Better management of fraud risk and compliance exposure is a critical business priority — no matter what
the industry sector is. With more than 4,500 fraud investigation and dispute professionals around the world, we
assemble the right multidisciplinary and culturally aligned team to work with you and your legal advisors. We work
to give you the benefit of our broad sector experience, our deep subject matter knowledge and the latest insights
from our work worldwide.
Kobre & Kim focuses exclusively on disputes and investigations.
Our team includes numerous former U.S. Department of Justice
prosecutors, Hong Kong solicitors, English solicitors and barristers
(encompassing three Queen’s Counsel), and offshore lawyers.
We often work with other law firms as conflict counsel or special
litigation counsel, to provide exceptional client service through
close teamwork.
Simmons & Simmons is a leading international law firm with
offices in key business centres around the world. Time and again,
businesses worldwide bring us their most difficult commercial
challenges. Our Corporate Crime Group is one of the largest in
Europe and includes experts across our network. We offer clients
sophisticated and innovative advice on a range of matters, including
compliance programmes, investigations and representation in
criminal proceedings. “Simmons & Simmons is ‘one of the leading
firms’ in the corporate crime arena’” – UK Legal 500 2016
Gibson Dunn is one of the leading law firms advising multinational
corporations on anticorruption and antitrust laws and requirements.
Focused on significant multi-jurisdictional and high-stakes
investigations, Gibson Dunn lawyers interact daily with regulators
in the U.S., Europe, and Asia to defend companies and executives
in high-profile matters, and assist clients in developing and
implementing successful compliance and defense strategies, as
well as remedial actions. www.gibsondunn.com
©C5, 2016

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Venue Information at a Glance
Date: 31 January – 1 February 2017
Time: 8:00–5:30 // 8:30–4:00
Venue: Villa Kennedy Frankfurt
Address: 70 Kennedyallee, 60596, Frankfurt, Germany
Telephone: +49 69 717120
This year marks 30 years since the inception of C5 Group.
It is time to match our brand with the dynamic strides we have made.
See inside for details…
C5Business Information in a Global Context
12th
Advanced Conference on
INTERNATIONAL COMPLIANCE,
LEGAL RISKS AND
CORPORATE INTEGRITY
31st
January & 1st
February 2017 | Villa Kennedy Frankfurt, Germany

617L17_S Int Compliance, Legal Risks and Corp Integrity

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