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Tuesday, November 8, 2011
7:30 Continental Breakfast & Registration Begins
8:30 Opening Remarks from the Conference Co-Chairs
Homer E. Moyer, Jr.
Partner
Miller & Chevalier Chartered
William B. Jacobson
Vice President, Co-General Counsel
Chief Compliance Officer
Weatherford International, Ltd.
8:45 The FCPA Year in Review - The US DOJ and SEC Speak on FCPA Enforcement Priorities
Charles E. Duross
Deputy Chief, Fraud Section - Criminal Division
U.S. Department of Justice
Charles E. Cain
Assistant Director
FCPA Unit, Division of Enforcement
U.S. Securities and Exchange Commission
- Review of 2011 FCPA cases against companies and
individuals and what they reveal about the types
of violations the US government is now targeting
- How new investigative techniques have changed
the enforcement landscape in the last year
- Impact of Dodd-Frank whistleblower provisions
on FCPA enforcement and voluntary disclosures
- how the SEC is dealing with competing
whistleblower claims and weeding through them
- What is now meant by “corrupt intent” and
“culpable knowledge”?
- SEC reorganization one year on – how SEC FCPA
enforcement programs have been strengthened
- The mechanics of an industry-wide investigation
and what is expected from your company if your
industry is under review
- How the dual enforcement landscape is evolving
Attendees will have an opportunity to ask questions
to Mr. Duross and Mr.Cain at the end of the panel.
The panel and Q&A session will be moderated by
Homer E. Moyer, Jr., Conference Co-Chair.
10:00 Coffee Break
10:15 The View from the Bench
The Honorable A. Howard Matz
Federal District Court Judge
United States District Court
Central District of California
The Right Honorable Lord Justice Anthony Hughes
Vice President of the Court of Appeal
Criminal Division
Royal Courts of Justice (London)
FCPA Compliance Program Innovations
11:00 Rethinking FCPA Compliance: The Latest Innovations in Compliance Structures, Detection Strategies and Risk Management
Learn how innovative global organizations have gone
beyond the standard FCPA compliance program.
Industry leaders will share practical pointers on
how they developed cost-conscious and innovative
FCPA compliance strategies. This unique panel will
provide an insider’s perspective on how companies
are rethinking compliance on the ground and
finding new ways to address their most challenging
FCPA compliance issues.
Implementing a Regular Regime of Compliance-Focused Audits
William B. Jacobson
Vice President, Co-General Counsel
Chief Compliance Officer
Weatherford International, Ltd.
Automating Gifts & Hospitality Tracking and Monitoring
Joseph A. Spiegler
Associate General Counsel & Vice President
Ethics and Compliance, Baxter International, Inc.
Designing a Cost-Effective and Risk-Based Vendor Due Diligence Program
Therese Lee
Global Ethics and Compliance Counsel
Google
Strengthening Training to Support Global Compliance Initiatives
Shelley Presser
Senior Vice President, Deputy General Counsel
Warner Bros. Entertainment
Alexandra Wrage – Panel Moderator
President
TRACE International
12:15 Luncheon for Attendees and Speakers
1:15 Keynote Address
The Honorable Lanny A. Breuer
Assistant Attorney General, Criminal Division
U.S. Department of Justice
1:45 Modus Operandi of Corruption: Detecting Bribery Schemes, High Risk Structures, Hidden Parties and other Questionable Transactions
Richard N. Dean
Partner
Baker & McKenzie LLP
Frederic R. Miller
Partner, Forensic Services
PwC LLP
Susan M. Ringler
Senior Counsel for International Compliance
ITT Corporation
- What are the main red flags for transactions
- s that
are used to channel bribes and range of schemes
employed to evade internal controls
- Discussing examples of conflicts of interest,
collusive deals undertaken by corrupt employees
and classic signs of corrupt behavior
- How schemes have become increasingly
sophisticated and the red flags you need to know
- How bribery schemes differ in high risk markets and specific industries
- The convergence of corruption, tax evasion
and money-laundering and how to avoid
becoming involved in these activities
- Minimizing the risks of offshore distribution structures
- How to be proactive with appropriate controls
to avoid involvement in other illegal activities
associated with corruption
3:00 Refreshment Break
3:15 Disclosing an FCPA Issue Post Dodd-Frank: Balancing Whistleblower, Defense and Corporate Governance Obligations
Jim Portnoy
Chief Counsel-Government Affairs
Kraft Foods
Sean McKessy
Head of Whistleblower Office
U.S. Securities and Exchange Commission
Raymond Banoun
Partner
Cadwalader, Wickersham & Taft LLP
Claudius Sokenu – Panel Moderator
Partner
Arnold & Porter LLP
- Retrieving control of the disclosure process
post Dodd-Frank and assessing the risks
of making a voluntary disclosure or not
- Practical steps you can take to encourage
employees to report internally
- Making the decision to disclose or not at a greater
speed and ramping up resources to respond
to whistleblower allegations
- The role of the Board in engaging management
on the subject of reporting mechanisms in light
of Dodd-Frank
- Ensuring the Board is equipped to evaluate
and respond to issues raised by management
- Considerations that may drive content of disclosure
- Managing internal expectations about disclosure
and resolution process
- Balancing the rights of a whistleblower with
the protection of the company
- Designating a company spokesperson to manage
public relations impact of a disclosure
4:30 Minimizing Joint-Venture FCPA Risks: How to Achieve the Right Level of Control and Supervision
Maryann Clifford
Associate General Counsel
Regulatory Compliance & Ethics
R&M Compliance
BP
Suzanne Rich Folsom
Vice President, Chief Regulatory & Compliance
Officer and Deputy General Counsel
Xe Services
Glenn T. Ware
Partner, Forensic Services
PwC LLP
Timothy L. Dickinson – Panel Moderator
Partner
Paul, Hastings, Janofsky & Walker LLP
- Contrasting risks raised by minority, majority
and contractual joint ventures and how to
approach due diligence and supervision strategies
for each type of JV
- Managing joint venture risks when participants
are subject to different legal regimes
- Developing an appropriate oversight monitoring
plan and establishing internal controls to detect
and prevent local anti-bribery issues
- How a JV partner fits in the UKBA definition
of “associated person”
- What US authorities will expect of JVs versus
other third party relationships and what sort
of behavior can trigger an investigation
- What reps and warranties and other contract
language is reasonable to expect of JV partners
- Drafting effective termination provisions
- How to deal with disputes among JV partners
in an FCPA situation
- Lessons learned from RAE Systems on compliance
for joint ventures and training
5:45 Conference Adjourns for the Day
5:45 to 7:00 Cocktail Reception Hosted By:
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