September 15 - 18, 2019
18th Annual Compliance & Ethics Institute 2019
Gaylord National, National Harbor, MD, United StatesMulti/International Track
Saturday, September 14
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08:30 AM - 12:00 PMSCCE's Annual Volunteer Project In additon to networking with your peers and listening to expert speakers, attending an SCCE Compliance & Ethics Institute gives you the opportunity to help a local area charity. Registration is free for this event and provides you with a volunteer t-shirt, lunch and transportation to and from the project location. It's a great way to start the CEI with fellow conference attendees, speakers, and SCCE board members.Networking 098
Sunday, September 15
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08:44 AM - 12:00 PMPre Conference Morning Session100
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08:45 AM - 10:15 AMBreakout Sessions#P04P4: 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
- 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 -
10:15 AM - 10:30 AMNetworking Break SundayNetworking
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10:30 AM - 12:00 PMBreakout Sessions#P12P12: How to Dribble Corruption Risks in Latin America: Learn How to Avoid Faults, Penalty Kicks, and Score Compliance Goals Patricia Colombo, Chief Compliance Officer, FUJIFILM Holdings America Emanuel Batista, Associate Managing Director, Kroll Isabel Simmerman, Ethics & Compliance Counsel, The AES Corporation
- 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 -
12:00 PM - 01:30 PMSunday Lunch (On Your Own). Braindates Time Need Ideas for lunch? Check in with the registration desk to find where to go to grab a quick bite or to mingle with old friends or new peers.Networking
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01:00 PM - 04:45 PMPre Conference Afternoon Session200
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01:30 PM - 03:00 PMBreakout Sessions#P20P20: 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)
- 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 -
03:00 PM - 03:15 PMNetworking BreakNetworking
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03:15 PM - 04:45 PMBreakout Sessions#P28P28: 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
- 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
Monday, September 16
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07:00 AM - 08:00 AMContinental Breakfast, Exhibitor Networking and Braindates TimeNetworking
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08:00 AM - 08:15 AMOpening Remarks and Awards PresentationGeneral Session
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08:15 AM - 09:15 AMGeneral Session: From Crisis to an Electric Future: Inside the Cultural Transformation of One of the Largest Companies in the World. A Disscusion. Kurt Michels, Chief Compliance Officer, Volkswagen Group Matt Kelly, Editor & CEO, Radical Compliance -Starting a transformation in the aftermath of a crisis -Behind the scenes of Volkswagen’s cultural transformation: the strategies that drove the turnaround -Using a crisis to implement change: Lessons learned for compliance professionalsGeneral Session
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09:15 AM - 10:00 AMNetworking Break with ExhibitorsNetworking
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10:00 AM - 11:00 AMBreakout Sessions#104104: 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, Director, Compliance Programs, Salesforce
- 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 -
11:00 AM - 11:30 AMNetworking BreakNetworking
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11:30 AM - 12:30 PMBreakout Sessions#204204: 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
- 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 -
12:30 PM - 01:15 PMNetworking Lunch & Braindates Time Starter: Spinach salad Entrée: Mustard and thyme chicken breast Dessert is served in the Exhibit HallNetworking
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01:15 PM - 02:00 PMDessert and Networking Break with ExhibitorsNetworking
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02:00 PM - 03:00 PMBreakout Sessions#304304: 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)
- 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 -
03:00 PM - 03:15 PMNetworking BreakNetworking
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03:15 PM - 03:30 PMGeneral Session: DOJ Evaluation of Corporate Compliance Programs Guidance Document Matthew Miner, Deputy Assistant Attorney General, DOJ, Criminal DivisionGeneral Session
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03:30 PM - 04:15 PMGeneral Session: Investigations and Integrity in the Spotlight Michael Horowitz, Inspector General, United States Department of Justice Adam Turteltaub, Chief Engagement & Strategy Officer, SCCE & HCCA -Keeping your investigation focused while in the spotlight -How to find the relevant facts and avoid distractions -Writing a report that provides a true conclusion to the investigation and protects the integrity of your officeGeneral Session
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04:15 PM - 05:15 PMAuthor signing: Kirsten Liston, Creating Great Compliance Training in a Digital WorldNetworking
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04:15 PM - 06:00 PMNetworking Reception & Braindates Time Mingle with your peers and network with the exhibitors over some delicious appetizers after your long day of learning.Networking
Tuesday, September 17
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07:00 AM - 08:00 AMContinental Breakfast, Exhibitor Networking & Braindates TimeNetworking
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08:00 AM - 08:15 AMOpening Remarks and Awards PresentationGeneral Session
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08:15 AM - 09:15 AMGeneral Session: The Odebrecht Transformation - A Recovery from Compliance Scandal Olga Pontes, Coordinator of the Compliance Commission, IBDEE - INSTITUTO BRASILEIRO DE DIREITO E ETICA EMPRESARIAL Gerry Zack, CEO, SCCE & HCCA Odebrecht was central to the Operation Car Wash corruption scandal that began with the arrest in 2015 of the company’s former CEO. Since 2016, Odebrecht has been on a journey of cooperation and transformation, resulting in renewed respect for a company that had lost much of it. In this in-depth interview, hear directly from Odebrecht’s Chief Compliance Officer as she discusses: -Dealing with the initial shock and crisis -Developing a transformation plan -Implementing a new and world-class compliance functionGeneral Session
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09:15 AM - 09:45 AMNetworking BreakNetworking
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09:45 AM - 10:45 AMBreakout Sessions#404404: Global Compliance on Limited Resources Domenick DiCicco, General Counsel & Chief Compliance Officer, Benefytt Technologies, Inc. Robert Kent, Partner, Baker & McKenzie
- 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 -
10:45 AM - 11:30 AMNetworking Break with ExhibitorsNetworking
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11:30 AM - 12:30 PMBreakout Sessions#504504: 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
- 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 -
12:30 PM - 01:30 PMNetworking Lunch, Dessert and Last Chance to Visit with Exhibitors Starter: Lyon Bakery focaccia panzaella. Entrée: Glazed short ribs. Dessert is served in the Exhibit HallNetworking
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01:30 PM - 02:30 PMBreakout Sessions#604604: #WeToo - Is Your Organization Ready to Respond Properly to Allegations of Sexual Harassment? Cedric Bourgeois, Head of Investigations, UNESCO
- 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 -
02:30 PM - 03:00 PMNetworking BreakNetworking
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03:00 PM - 04:00 PMBreakout Sessions#704704: 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
- 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 -
04:00 PM - 04:15 PMNetworking BreakNetworking
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04:15 PM - 05:15 PMGeneral Session: The Limits of Trust Diana Henriques, Financial Author and Journalist , Author of Wizard of Lies -The Bernie Madoff scandal in 2008 cast new light on an age-old Challenge: Too often, our psychological and procedural defenses are set up to detect threats from the outside -How do we defend ourselves from the trusted criminal—the admired and respected high-achiever who wins our trust, and then betrays us? -Gain a better understanding of how Madoff's fraud can inform a smarter approach to keep us safe from such predators.General Session
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05:15 PM - 05:20 PMClosing RemarksGeneral Session
Wednesday, September 18
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08:00 AM - 11:15 AMPost Conference800
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08:30 AM - 10:00 AMBreakout Sessions#W04W4: 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, VP Litigation, Employment & Compliance
- 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 -
10:00 AM - 10:15 AMNetworking Break