18th Annual Compliance & Ethics Institute 2019

#P04

P4: The Practical Who, What, When, Why and How’s of Third Party Due Diligence & Monitoring James Lord, Consultant, Dow Jones Xavier Oustalniol, Partner, StoneTurn Andy Hinton, VP, Global Ethics & Compliance, Retired, Google View Description

• Creative approaches to preventing and detecting corruption through risk-based third party management
• Determining the right level of due diligence and identifying non-traditional sources of third party information
• Highly engaging use of real life hypotheticals to explore current issues and challenges in third party management around the globe

International 104

#P12

P12: How to Dribble Corruption Risks in Latin America: Learn How to Avoid Faults, Penalty Kicks, and Score Compliance Goals Patricia Colombo, Director of Legal and Compliance, FUJIFILM do Brasil Emanuel Batista, Associate Managing Director, Kroll Isabel Simmerman, Ethics & Compliance Counsel, The AES Corporation View Description

• 2019 Corruption Risks in Brazil, Argentina, Colombia, and Mexico: Gain insight into recent corruption headlines and their impact on local anti-corruption laws and the overall culture of compliance
• 365 Days Later - The role of new governments and their influence in compliance and Anti-Corruption and Bribery regulations and trends in Brazil, Argentina, Colombia, and Mexico and their impact to corporate governance. What you need to know to navigate
• Think Globally and Act Locally: What you need to know about your third parties in the region and the significance of due diligence in identifying and mitigating risks

International 203

#P20

P20: Managing an Investigations Docket in Asia: Key Regional Regulatory Issues and Top Tips for Conducting Cross-Border Investigations Jimmy Chatsuthiphan, Director, Compliance & Ethics APAC, Uber Technologies Jason Chang, Of Counsel, DLA Piper LLP (US) View Description

• Exploration of recent hot regulatory issues affecting the Asia region
• Effectively manage investigations in Asia, particularly for multinational organizations
• How to build an effective cross-border investigations team and key components

International 211

#P28

P28: Leveraging Political Risk Analysis to Help Reveal Local Compliance Risks and Right Size Program Design Paul Dudzinski, Director, Control Risks Mike Wolff, Partner, Control Risks View Description

• Understanding how bribery and corruption actually work in order to design programs that better ensure compliance across disparate operational markets.
• Developing and leveraging nuanced risk indicators and benchmarks based on aggregated understanding of actual local distinctions for corruption in specific markets, sectors or industries.
• Using local insight and an understanding of stakeholder connections and government to anticipate antagonistic developments and manage investigations intelligently.

International 219

#104

104: How to Conduct Internal Investigations of Compliance Violations Involving Your Foreign Operation/Business? Renata Muzzi, Partner, TozziniFreire Advogados Shin Jae Kim, Partner, TozziniFreire Advogados Felipe Garcia, Ethics & Compliance Dir Americas, Stericycle, Inc. View Description

• Cross-border investigations often add a layer of complexity beyond the issues seen in domestic work
• In this session we will discuss how to better handle multi-jurisdictional internal investigations
• Do's and Don’ts when conducting a cross-border internal investigation

International 304

#204

204: From FCPA Prosecutor to Company Protector: Lessons Learned on the Anti-Corruption Front Lines of an Increasingly Multi-Jurisdictional World Rebecca Rohr, Vice President, Anti-Corruption & Global Trade, Hewlett Packard Enterprise Jonathan Rusch, Principal, DTG Risk & Compliance LLC View Description

• Lessons Learned from Global Anti-Corruption Enforcement: Understand the greatest enforcement risks, learn from problematic fact patterns and see how different global authorities consider compliance when resolving matters and calculating penalties.
• DOJ FCPA Policies and Your Anti-Corruption Compliance Program: From the design of risk assessments to data retention and increased efficiency of investigative strategies, learn from those who have lived how DOJ applies these policies in practice.
• Arguments for an Increased Anti-Corruption Compliance Budget: Based on regulator policy guidance and recent enforcement actions, learn five effective arguments to strengthen the case of why your company is better off with an increased compliance budget.

International 354

#304

304: The Increasing Importance of CCO’s with International Expertise to Boards of Directors of Multinational/International Companies Stephanie Kravetz, Former Chief Legal Officer and Corporate Secretary, LifeWatch AG (now LifeWatch GmbH) View Description

• Increasingly, Boards of Directors of multinational companies have international Directors who do not understand the need for strict adherence to laws and regulations in the U.S. to avoid compliance and legal risks.
• The presence of global compliance expertise on multinational companies’ Boards of Directors sets the proper"tone at the top" and signals the Board’s overall strategic priorities include compliance.
• The CCO is often in a sandwich position between Management and the Board of Directors. The proper reporting line for CCO’s in multinational companies is to the Global CEO with dotted line to the Global Audit Committee.

International 404

#404

404: Global Compliance on Limited Resources Domenick DiCicco, General Counsel & Chief Compliance Officer, Benefytt Robert Kent, Partner, Baker & McKenzie View Description

• Challenge of Increased Compliance Regs. Globally
• Cost of Such programs for mid-cap companies is burdensome
• How we can still create an effective program

International 454

#504

504: Next Generation Anti-Corruption Compliance Programs: Transforming a Policy-Based Program to a Controls-Based Program Parth Chanda, CEO, Lextegrity Natasha Trifun, Executive Director, R&D, Global Medical, External Funding, Quality and Operations , Alexion Pharmaceuticals, Inc. Samantha Badlam, Counsel, Ropes & Gray LLP View Description

• Hear from a DOJ-appointed monitor, a current in-house compliance lawyer, and a former in-house compliance lawyer turned technologist on how to implement a robust controls system to mitigate corruption risks that will pass muster with enforcement agencies.
• Using real-life examples, understand how to map your controls gaps to operationalize end-to-end systems and controls, from pre-approval systems and third-party due diligence, to payment controls and compliance monitoring and analytics platforms.
• Learn about how to prioritize improvements with limited resources and how to leverage resources outside of Compliance, such as Procurement, IT, Internal Audit and Finance, from three speakers with hands-on experience as in-house and outside counsel.

International 504

#604

604: #WeToo - Is Your Organization Ready to Respond Properly to Allegations of Sexual Harassment? Cedric Bourgeois, Head of Investigations, UNESCO View Description

• A harassment-free work environment is paramount to institutional integrity. How organizations handle allegations conveys the tone at the top, especially when they relate to sexual harassment.
• Your compliance program already has valuable elements to build a proper response to allegations of sexual harassment: learn how to transfer those skills to the challenge the #MeToo campaign has highlighted.
• This session will explore the specifics of investigations into allegations of harassment, including legal challenges and high scrutiny from a wide variety of stakeholders.

International 554

#704

704: ISO 37001: The Global Future of Compliance or a Turn Down the Wrong Trail? Walter Johnson, Assistant Privacy Officer, Inova Health System Diana Trevley, Senior Counsel, Global Compliance, CyberArk View Description

• What is ISO 37001 and what are its implications for compliance globally?
• In what ways does it impact compliance professionals and our organizations?
• Can the standard be improved to achieve betters results in fighting corruption?

International 604

#W04

W4: In Case the Government Comes Knocking: Best Practices in Investigating and Remediating FCPA Issues Iris Bennett, Member, Smith Pachter McWhorter PLC Nancy Jacobson, Counsel, Global Compliance and Ethics, United Air Lines Maria Gomez, North American Regional Compliance Officer, Robert Bosch LLC Brenda Morris, Managing Director, Affiliated Monitors View Description

• Lessons from DOJ and SEC policies and settlements: their expectations of corporate internal investigations and remediation and how those expectations impact obtaining a favorable resolution.
• Managing FCPA internal investigations: lessons for compliance officers and in-house counsel on effective resourcing; preserving, gathering and analyzing the evidence; local law issue-spotting; data privacy; language and culture; and the key legal concepts
• Managing FCPA remediation: lessons for compliance officers and in-house counsel on types of remediation in FCPA cases; how much is enough; what about your third parties; and documenting and implementing.

International 804

#W11

W11: Same but Different: How to Effectively Manage Your Third Party Corruption Risks Globally Emanuel Batista, Associate Managing Director, Kroll Fernanda Beraldi, Senior Director, Ethics & Compliance, Cummins Inc.