Opening Remarks

9:55 – 10:00 CET

• This session will be a candid discussion looking at the importance—but also the challenges—of building and sustaining middle manager engagement
• We will discuss specific engagement examples (drawn from Volvo cars and others)
• Incentives, appraisals, and mentoring strategies will also be discussed 

• Reappraise the opportunities provided by (increasingly legally) mandatory compliance training
• Compel employees through creative approaches and relevant materials, not through obligation
• Take home ideas on how to keep content fresh with minimal cost and maximum employee engagement

• Learn to recognize and understand workplace retaliation
• Focus on preventive vs. reactive approach
• Use data analytics to fight retaliation

• Traditional due diligence usually only provides an external view of a third party; this session will demonstrate how audited financial statements play a vital role by providing a sneak preview of the inner workings of a third party, even before it is onboarded
• Discover the anti-bribery path through the maze of financial statements and learn the fine art of making the financial statements do the talking when assessing third-party risks
• Discover a cost-efficient way to combine financial statement analysis with analytical tools that will give you superpowered reports that can be presented to your board, as well as to the authorities    

• How to build a workplace investigations process that supports an effective compliance program, protects your speak-up culture, and supports management success
• Navigating the inevitable turf battles, resource constraints, cultural impacts, and conflicting priorities among the internal departments you depend on for your fact finding
• Facilitating basic investigation techniques, training needs, coaching, and documentation to show your program is a programmatic activity that can lead to defensible conclusions

M2C The New 2021 Recommendations of the French Anti-Corruption Agency
Level: Basic
 

• Learn about the agency’s history and jurisdiction
• Understand the latest recommendations based on three years of activity and experience from the AFA’ s consulting and control missions
• Learn how to use these recommendations, which can be deployed by all public and private legal entities

• What does good privacy practice look like?
• What are the trends in regulatory investigations and enforcement?
• How do you maintain a global data protection compliance program?

• Hiring or giving internships could be considered an unlawful advantage (JPMorgan and other cases). What would constitute a breach?
• Forbidding all PEP hiring could be a breach of its own. How do you keep the equilibrium between equal employment and FCPA? 
• Best practice cases

• Join us for a fresh conversation on the age-old topic of conflicts of interest
• Practice your skills as we discuss challenging international case studies
• Learn practical tips for evaluating and resolving potential and actual conflicts

• Identify key elements of an effective global export and sanctions compliance program
• Evaluate and address risks that shape your company's export and sanctions compliance program
• Build agile processes to respond to evolving legal, enforcement, and operational challenges

• How adults really learn and why your compliance training might not be having the impact you want
• Tools and tips to engage your audience, build compliance “muscle memory,” and drive ethical behaviour
• New technologies, new options: How to move beyond courses/LMSs to credibly measure impact

• Indicators of problems; Trust vs cautious in controls deployment
• Approaches that work in the region
• What to consider when you investigate conflict of interests; Lessons learned

Compliance General 
GS2: A Cross-Border Discussion of Enforcement

Moderator
Nicola Bonucci, Partner, Paul Hastings LLP and former OECD Général Counsel
Panel
Lisa Osofsky, Director, UK Serious Fraud Office
Daniel Kahn, Acting Chief, Fraud Section, U.S. Department of Justice
 

• Perspectives of the UK SFO and US DOJ on corporate compliance programs, including recent guidance
• Lessons to be learned from recent enforcement actions
• Multi-lateral cooperation in pursuing corruption cases

Kurt Michels, Chief Compliance Officer, Volkswagen Group
Adam Turteltaub, Chief Engagement & Strategy Officer, SCCE & HCCA

• 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 professionals

• Laughing about how many of these rationalizations you have heard before
• Reviewing the psychology and behavioral economics behind them
• Discussing ways to prevent such thoughts from appearing in the first place

• Responsibility is the first step in extreme ownership; don’t underestimate the significance of taking responsibility and the impact on mindset
• Lessons from the front line on how extreme ownership can encourage high-level compliance in high-pressure situations today 
• Why highly engaged organisations naturally encourage extreme ownership whilst unengaged ones don’t

• Understand the concept of the beneficial owner, being the person that ultimately exercises control.
•  Associate the knowledge on beneficial ownership with potential benefits for risk-management, third-party relationships and Finance.
•  Learn about the path to establish the ultimate beneficial owner and potential limitations along the way. 

• Compliance has never been more challenging with evolving regulations and a dispersed workforce
• Explore the global influence of US and EMEA regulations and requirements on the compliance landscape
• Practical advice to adapt your assessment process and innovative thinking to address today’s risks

• Practical examples of the difficulties faced by Russian clients in meeting EU sanctions requirements 
• Examples of best practices for implementing sanctions compliance programs in Russia and the Balkans
• An overview of the impact of sanctions against Russia on European companies that deal with Russia

• Understand conflicts between GDPR and the new whistleblower directive for internal investigations
• Considerations to keep compliant with GDPR when processing personal data
• Anticipate challenges and remedies for unresolved conflicts between GDPR and whistleblower rights

T3A The Compliance Consulting Business Is Booming in Europe. Are you Considering Consulting or Starting Your Own Compliance Business? What to do NOW to Prepare for Success!
Level: Advanced

Kristy Grant-Hart, Founder, CEO, Spark Compliance
Kirsten Liston, Principal, Rethink Compliance 
Joseph Murphy, Senior Advisor, Compliance Strategists    

• Learn why preplanning is critical—and how to do it effectively
• Use writing, speaking, and networking to advance your career or launch your business
• Learn how to master the business fundamentals: sales plan, finance, business type, and marketing

• Learn how investigators can conduct robust and fair internal investigations, respecting the privacy and data privacy laws governing individuals and countries
• Understand how local employment law regulations, including codetermination by local employee representations, representatives, and workers-counsel rights that can be legally asserted, can impact internal investigations
• Where in-person interviews and direct in-county oversight of investigations are locally prohibited and/or restricted, understand best practices for conducting virtual investigations that will withstand regulatory scrutiny

• Learn how investigators can conduct robust and fair internal investigations, respecting the privacy and data-privacy laws governing individuals and countries in a remote and/or hybrid environment
• Understand best practices when it comes to virtual or hybrid interviews of employees as part of internal investigations that will withstand regulatory scrutiny
• When virtually interviewing employees who might be a witness to misconduct, how can you challenge trustworthiness without sacrificing employee engagement and commitment

• Prevent: Why is communication key? Rolling out the Hotelbeds Compliance & Ethics Helpline. Designing and implementing a best practice model and comparing to experiences in other organizations.
• Detect: How do you build trust and comply with the law? How do you manage anonymous whistleblowers within European and global companies?
• Respond: What are the next steps? Prioritizing actions on internal investigations. Communications with whistleblowers throughout the investigation process. What can go wrong—and how to avoid it.

• Recognize the main data protection risks that companies doing business in Europe face    
• Understand the key data protection compliance failings that trigger regulatory action
• Adopt strategies to mitigate the main data protection risks

• Overview of corporate strategy functions and the intersection with E&C goals and objectives
• Developing an E&C long-term strategy for your organization
• Leveraging the strategic plan to improve E&C and overall governance

General Session Compliance and Ethics in the Post-Pandemic World

• Planning the investigation: Dos and don’ts, defining the scope and the team, developing policy and procedures to manage the investigation program, key cultural issues to be taken care of, and how to manage investigations under crisis situations (COVID-19)
• Gathering evidence: Conducting interviews and gathering documents, key challenges in cross-cultural investigations and impact of multiple legal frameworks—the case of European-Latam investigations; protocols and use of technology under crisis situations
• Drafting investigation report: Outline, key elements, objective, major pitfalls, protection of confidentiality. Postinvestigation phase: Self-report, cooperation with justice. Multiple jurisdictions, interaction of investigators and legal counsel

W1B COVID-19: Crisis or Opportunity for Corporate Culture? Implications for Why and How Ethics and Compliance Should Thrive in This Evolving World 
Level: Intermediate

• Assess culture and use the information to build new paradigms
• Shift role of functions, including E&C, to more collaborative work focused on corporate purpose
• Help leaders better communicate in a time when new working practices demand quality leadership

Prof. Hernan Huwyler, Compliance Master Director, IE Law, IT Risk and Control Lead, Danske Bank

• Uses and implications for the new ISO 37301 on compliance management systems
• Practical tips for preparing to meet the new requirements to certify compliance programs
• Examples to demonstrate compliance with the standard

• Discover generational traits and identify methods to transform them into strengths
• Understand the difficulty of implementing ethics and compliance rules in “young” Eastern Europe
• Learn five ways to motivate your upcoming Gen Z workforce in your company’s ethics and compliance culture

• Understand how small businesses face the need for a compliance program through corporate customers
• Become aware that corporate customers impose requirements that small teams lack resources to address
• Learn about challenges and opportunities of creating compliance programs in small businesses

• Why is it important that ethics and compliance officers help management influence culture and behavior?
• How can we do that? Presentation of a toolbox containing 45 tools to influence culture and behavior.
• Let’s give it a try. We will practice with one or two tools.

• Understand how digital connectivity is accelerating disruptive attacks on critical infrastructure
• Manage the implications of more protectionism in the creation and trade of software and hardware
• Examine the impact of diverging regulatory approaches to data privacy and data security

W3B Proactive Management of International Third-Party Integrity and Corruption Risks
Level: Intermediate

Steven Pegg, Senior Ethics Officer, Lockheed Martin International, Europe, Middle East & Africa
Mimi Kind, Senior Manager Ethics - Asia Pacific Region, Ethics & Enterprise Assurance, Lockheed Martin Corporation
Thad Coakley, Director & Associate General Counsel, Lockheed Martin International

• This session will explore the integrity and corruption risks posed by third parties and show that history has a habit of repeating itself with resultant impacts to organisations’ reputations and financial/criminal sanctions
• It will show how a proactive compliance approach combining due diligence monitoring with annual values-based ethics and anti-corruption training of third parties globally can significantly reduce the integrity and corruption risk
• Through audience participation, the legal, cultural, and geographic challenges of managing multiple third parties globally as well as approaches used to address this will be identified

• Define how the pandemic, ESG, and conscious capitalism have shifted employee expectations
• Outline the data that can drive effectiveness and engage workforces with a vision, mission, and values
• Learn how to leverage societal revolutions to generate greater value for E&C and legal teams

• Companies face more crisis than ever before, in part due to increased public appetite for bad news, increased powers for regulators, and greater shareholder interest in compliance events. Compliance professionals should be a key part of the response team
• In this interactive panel, three leading experts with experience handling crisis around the world will discuss the role of the compliance officer when things go wrong
• The panel will focus on practical tips to help you when a crisis hits your organization

Barbara Przedpelska, Europe Compliance Manager, CRH

• Misaligned Compliance Goals and Business Objectives
• Tactical vs Strategic Activities
• Measurement of Compliance Program Outcomes

• Discover why you should refresh your Code of Ethics eLearning and why it is so important
• Learn how JM created and maintained high levels of employee awareness using an innovative programme to engage learners
• Understand how JM’s culture of Doing the Right Thing is ultimately reflected in the context of the Code of Ethics and therefore, the eLearning

• How can companies leverage the formal and informal parts of compliance and ethics programs to drive change and compliance throughout their multinational organizations? Lessons learned from in-house and external counsel involved in large FCPA resolutions.
• how are cultural differences and approaches reflected in guidance from enforcement authorities and what does this mean for companies facing or potentially facing enforcement action in multiple jurisdictions?
• US and European approaches to ethics and compliance often differ in key ways. How can multinational companies take into account these differences in their global compliance programs?

• Investigations: Discuss struggles and strategies of investigations. How do you adjust your risk assessments due to investigation outcomes?
• Discipline: Brainstorm forms of discipline and how to use these cases to communicate the “lessons learned.” What do you do when there is pressure to not discipline?
• Evolution: Responding, reporting, and remediation. How do you use your investigation reports and discipline outcome to inform and evolve your program?

• Strategies for structuring anti-corruption compliance reviews for acquisitions and divestments 
• Review of common issues that arise with intense time pressure and high stakes
• An overview of an approach for effective integration of new companies or assets

• Identify significance of the changes contained in DOJs June 2020 revisions to the Evaluation of Corporate Compliance Programs guidance
• Explore regulator expectations for modifying your E&C program to reflect changing risks during the global pandemic
• Learn why now is the optimal time to obtain an independent assessment of your E&C program

Marios Skandalis, Director of Compliance, Bank of Cyprus
Niki Charilaou, Manager, Financial Crime & Sanctions Compliance Department, Bank of Cyprus

• Traditional compliance applies a risk management approach
• Effectiveness vs. efficiency of the compliance function; next-generation technology as a catalyst for an effective and efficient compliance function
• Tremendous real corporate benefits accrue when compliance facilitates business; business ethics is a prerequisite for a business-enabling compliance function

• How Boeing's organizational culture stifled concerns about safety and ethical behavior
• How regulatory and compliance failures turned a surmountable challenge into a global disaster
• How ethical leaders use moral imagination to take ownership of challenges