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, Senior Director, Compliance Risk and Diligence, Kroll, a Division of Duff & Phelps 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 Maldonado Garcia, Ethics and Compliance Director, 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