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Monday, November 7, 2011 -Choose A or B
9:00 am- 12:30 pm (Registration starts at 8:30 am) Choose A or B
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FCPA Case Review: A Hands-on Look at the 2011 FCPA Cases and What to Take Away |
Katherine Choo
Senior Counsel, Litigation and Legal Policy
General Electric
Nathaniel B. Edmonds
Assistant Chief, Fraud Section – Criminal Division
U.S. Department of Justice
Joan E. Meyer
Partner
Baker & McKenzie LLP
This new pre-conference workshop is designed to provide you with a comprehensive overview of the latest FCPA cases against corporations and individuals and what they reveal about recent trends and patterns in FCPA enforcement. Speakers will breakdown cases including Johnson & Johnson, Panalpina, RAE Systems, Alcatel-Lucent, Alliance One/Universal, Maxwell Technologies, Tyson Foods, IBM, and Ball Corporation to discuss the core issues in question and draw lessons learned. New legal interpretations stemming from recent individual enforcement actions including the Lindsey case will also be discussed. Participants will learn what these cases reveal about FCPA best practices from the perspective of the DOJ and SEC.
Subjects covered will include:
- Ball Corporation and responding to FCPA books and records and internal controls issues
- Gift, travel, and entertainment in high risk markets – lessons learned from the IBM case
- Tyson Foods and Maxwell Technologies - why risk assessments should focus on industry specific areas of concern
- Use of agents and representatives post Alcatel-Lucent
- What RAE Systems reveals about compliance for joint ventures and training
- The Panalpina settlements and vetting, training and managing supply chain vendors
- Alliance One/Universal and how remedial action taken during the investigative phase can lower your FCPA penalty
- Impact of other recent legal cases on best practices
Whether you are new to the field of FCPA or are a seasoned veteran with substantial experience seeking a comprehensive refresher, you will find this FCPA case review workshop invaluable for getting up to speed and making the most of the advanced discussions that are the hallmark of the main conference.
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Gifts, Entertainment & Hospitality in High Risk Markets – A Practical Guide on what you Can, and Can’t Do |
Peter M. Dinnick
General Counsel
Exxon Mobil Corporation (Russia)
Stephen J. Shine
Chief Regulatory Counsel
The Prudential Insurance Company of America
Betty Santangelo
Partner
Schulte Roth & Zabel LLP
This interactive and practical working session will go beyond high-level understanding of the FCPA to identify concrete tools and tactics for avoiding the loopholes presented by the cultural expectations of gift giving, entertainment and hospitality in high risk markets. Attendees will receive practical guidance on how to create a robust, culturally sensitive, and cost-effective and credible approach to gifts, travel and entertainment. Attendees will also learn about risk factors, weighting, and legally obtainable information that will ensure consistency throughout their organizations. The workshop will include an interactive session on how to decide, document, and review decisions relating to gifts, travel and entertainment, including:
- Hospitality: managing the “reasonable and customary” standard across multiple jurisdictions
- Gifts: when gifts, benefits or sweetheart deals masquerade as “cultural sensitivity”
- Travel: managing the expectations of local government officials
- Cash: weddings, funerals and little red envelopes
- Involuntary payments: when intentions are good, but controls are weak
- Business travel 101: first class travel, corporate jets, spouses, family members and boondoggle
1:30 pm – 5:00 pm (Registration starts at 1:00 pm)
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Sharpening Your Third-Party FCPA Due Diligence Program to Better Target Your Risks |
Kenneth Kurtz
Chief Executive Officer
The Steele Foundation
Mark L. Koczela
Vice President Compliance
Johnson Controls, Inc.
Margaret M. Ayres
Counsel
Davis Polk & Wardwell LLP
This interactive and practical working session will go beyond a high level understanding of the FCPA to identify concrete tools and tactics for ensuring third-party due diligence compliance. Attendees will receive nuts-and-bolts guidance on how to create a cost-effective and credible risk-based third-party vetting program. Learn about risk factors, weighting, and legally obtainable information that will ensure consistency throughout the enterprise. The workshop will include a hands-on demonstration of various technology to automate the third party on-boarding process and due diligence workflow and create a robust third-party management and due diligence program with minimal administrative and financial burden.
- Conduct a risk inventory of third parties as a fundamental program building block
- Build a risk-based third party monitoring model
- Articulate key risk factors in program development
- Assess risks based on region and local business practices
- Identify known conflicts including past and present relationships with government officials
- Determine a centralized vs. decentralized program implementation
- Credibly define scopes of due diligence required for each third party based on best practices
- Systematize your process to maximize credibility to SEC, DOJ and foreign regulatory authorities
- Generate anti-corruption due diligence reports and analyze findings
- Apply real-world case studies to internal programs
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November 10, 2011 | 9:00 am – 12:30 pm (Registration starts at 8:30 am ) |
Industry Working Groups
Benchmark Your Compliance Systems and Share Best Practices
Attendees at this year’s conference will have the exciting new opportunity to participate in an industry-focused
working group. Benefit from unparalleled networking and benchmarking opportunities with your industry peers.
These small and interactive benchmarking groups bring together experienced in-house counsel and ethics and
compliance executives to analyze the unique bribery risks faced by your industry and how to best address them.
Participants will have an opportunity to benchmark their anti-corruption compliance structure, reporting and
training programs, gifts and hospitality policies, and risk detection strategies with other companies. Speakers
will also address FCPA data mining, allocation of internal resources and management. Working groups will
focus on the type of information that the participants choose to share, and will be closed to government officials.
Take advantage of this rare opportunity to have your industry-specific FCPA questions answered and find out how
other companies facing similar anti-corruption challenges are staying ahead of the enforcement curve.
TRACK 1: PHARMA, CRO & MEDICAL DEVICES
Joseph A. Spiegler
Associate General Counsel & Vice President
Ethics and Compliance
Baxter International, Inc.
Eric D. Brown
Assistant General Counsel - Anti-Corruption & Global Trade
Eli Lilly and Company
Steve Nickelsburg – Group Moderator
Partner
Clifford Chance LLP
TRACK 2: DEFENSE & AEROSPACE
Jannette E. Hasan
Senior Counsel – International
Northrop Grumman Corporation
John Demers
Vice President and Assistant General Counsel
Global Law Affairs
The Boeing Company
F. Joseph Warin – Group Moderator
Partner
Gibson Dunn & Crutcher LLP
TRACK 3: OIL & GAS
Brady K. Long
Vice President, General Counsel & Secretary
Ensco
Jay G. Martin
Vice President, Chief Compliance Officer
and Senior Deputy General Counsel
Baker Hughes
Kathryn Cameron Atkinson– Group Moderator
Partner
Miller & Chevalier Chartered
TRACK 4: CONSUMER GOODS & SERVICES
Susan Frank
Chief Compliance Officer
AECOM
Matthew Tanzer
Vice President and Chief Compliance Officer
Tyco International
Clement H. Osimetha
Vice President and Associate General Counsel
Mary Kay Inc.
Christopher R. Conte – Group Moderator
Partner
Steptoe and Johnson LLP
Thursday, November 10, 2011
1:30 pm – 5:00 pm (Registration starts at 1:00 pm)
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Overcoming FCPA and Anti-Corruption Compliance Challenges in CHINA |
Peter E. Jaffe
Chief Ethics and Compliance
Officer, The AES Corporation
Yiqiang Li
Partner
Faegre & Benson (Shanghai)
Amy L. Sommers
Partner
K&L Gates (Shanghai)
China's New Anti-Corruption Law and How the Chinese Government is Acting to Enforce It
- Interplay of China's new anti-corruption amendment with the FCPA
- How the new law complements increased domestic anti-corruption enforcement and gives prosecutors broad discretion
- Sources of enforcement risk and how the Chinese government is acting to enforce their anti-bribery laws against foreign companies
- How the Anti-Corruption Agency, police institutions, the party disciplinary committee, and the courts now handle bribery cases
- Current state of enforcement of Chinese anti-commercial bribery law against individuals and companies, including foreign investment companies
The FCPA Landscape in China
- “Government Officials” everywhere: China’s huge bureaucracy; the role of the Communist Party; and a large state-owned economic sector
- Partners and agents: risks of leaving government contacts to the locals
- The delicate art of gift-giving in China: balancing politeness and the letter of the law
- Peripatetic government officials: Disneyland and Las Vegas on every draft itinerary
- An uneven playing field: Does the FCPA effectively hold US companies to stricter anti-corruption standards than their competitors?
Contrasting Chinese Bribery and FCPA Investigations – What Multinationals Can Expect when China Government Comes Knocking
- How do Chinese anti-corruption laws compare to the FCPA? What are the practical disclosure and enforcement risks under each?
- Is publicity from US prosecutions raising the risk of Chinese enforcement? Is self-disclosure in China ever advisable?
- DOJ FCPA settlements require “cooperation with local law enforcement authorities.” What does this mean in China?
- What you can expect in a local Chinese investigation
Compliance and Due Diligence Programs for China
- Adapting training to local condition: the importance of language and cultural issues
- Effective whistleblower procedures
- Appropriate contractual procedures for agents and distributors
- Investigating possible violations in China
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