Tuesday, March 23, 2010
7:30 Continental Breakfast and Registration
8:30 Opening Remarks from the Chair
Homer E. Moyer, Jr.
Miller & Chevalier Chartered
8:45 The FCPA Year in Review: Recent FCPA Investigations and Prosecutions
Mark F. Mendelsohn
Deputy Chief, Fraud Section - Criminal Division
U.S. Department of Justice
Cheryl Scarboro
Associate Director – Division of Enforcement
U.S. Securities and Exchange Commission
Lucinda A. Low
Steptoe & Johnson LLP
- Continued targeting of individuals for prosecution
- Aggressive enforcement theories
- Increased multijurisdictional cases and international cooperation
- Crossover into other international regulatory compliance areas (antitrust, exports)
- New investigation techniques
- Disclosures, voluntary and otherwise, and their benefits
- Other enforcement trends
10:15 Coffee Break
10:15 The Optimal FCPA Compliance Program Structure: How to Select the Ideal Model for Your Company’s Risk Areas
Susan Ringler
Senior Counsel for International Compliance
Doug Lankler
Senior Vice President, Chief Compliance Officer
Pfizer
Howard Weissman
Vice President and Assistant General Counsel – International
Lockheed Martin Corporation
William B. Jacobson – Panel Moderator
Vice President, Chief Compliance Officer
Weatherford International
- Designing an anti-corruption program that meets your company’s greatest risks
- Assessing the risks faced by your company based on geographic scope, business model, business sector
- and other factors
- Assigning managerial and governance responsibility
- Ensuring comprehensive reporting, clear accountability and full and effective oversight by top decision makers
- How effective trade control compliance can mitigate corruption risk
- Identifying other functions in the company who can – and must – help
- Optimum reporting lines within company
- Dealing with demands for facilitation payments
11:30 Dealing with Audit Committee and Board of Directors: Responsibilities and Accountability for FCPA Issues
Gerald W. Hodgkins
Assistant Director – Division of Enforcement
U.S. Securities and Exchange Commission
William A. Burck
Weil, Gotshal & Manges LLP
Manny Alas
Partner, Forensic Services
PricewaterhouseCoopers LLP
Homer E. Moyer, Jr. – Panel Moderator
Miller & Chevalier Chartered
- Responsibilities of Audit Committee and Board of Directors: how different they are post-SOX
- How to translate day to day Board oversight into the FCPA compliance program
- Communicating FCPA risks to the Board – setting up an effective reporting structure
- Managing diverging Board and Audit Committee’s views on how to proceed during an FCPA investigation
- Outside auditor’s role during a Government investigation
- Independence of Audit Committee and Board: when to get legal counsel
- How soon should a suspected FCPA violation be reported to the Board
12:45 Networking Luncheon for Attendees and Speakers
2:00 Minimizing Consortia and Joint Venture FCPA Risks
Katherine Choo
Senior Counsel, Litigation and Legal Policy
General Electric
Peter E. Jaffe
Chief Ethics and Compliance Officer
The AES Corporation
Glenn T. Ware
Managing Director, Forensic Services
PricewaterhouseCoopers LLP
Timothy L. Dickinson – Panel Moderator
Paul, Hastings, Janofsky & Walker LLP
- Identifying special risks for JVs and consortia that other third party relationships may not have
- Managing Joint Venture risks when the participants are subject to different legal regimes
- What Due Diligence is appropriate or required for Joint Venture partners
- What the US authorities will expect of JVs vs. other third party relationships
- How to handle the cultural divide that may exist between JV partners
- Dealing with different accounting practices and standards that various JV partners may have
- What reps and warranties or other contract language is reasonable to expect of JV partners
- How to deal with an investigation of a JV if an issue arises
- What special issues may arise if the JV includes a government partner
- How to deal with a disputes among partners in an FCPA situation
3:00 Refreshment Break
3:15 Structuring Cost-Efficient Internal Investigations of Improper Payments
Hank Bond Walther
Assistant Chief, Fraud Section – Criminal Division
U.S. Department of Justice
Patricia Byrne
Counsel, International and Domestic Compliance
BAE Systems
Stephen J. Shine
Chief Regulatory Counsel
The Prudential Insurance Company of America
Richard N. Dean – Panel Moderator
Baker & McKenzie LLP
- What the investigative process should look like: Assessing the potential risk and defining the scope appropriately
- How to leverage technology
- Coordinating the investigation between the company, outside counsel, and accounting firms
- How the paradigm for internal investigations is changing
- timing for completing
- maintaining or waiving privileges
- admonitions to witnesses
- Audit Committee involvement
- recommending remediation and compliance enhancements
- testing whether problem is systemic
- dealing with inconclusive findings
- Deciding whether you’ve investigated “enough”: how to maximize credibility to the government
4:30 Penalties for Companies and Individuals in FCPA Prosecutions and Settlements, and How to Mitigate Them
Mark F. Mendelsohn
Deputy Chief, Fraud Section - Criminal Division
U.S. Department of Justice
Mark R. Filip
Kirkland & Ellis LLP
Martin Weinstein
Willkie, Farr & Gallagher LLP
Roger M. Witten – Panel Moderator
Wilmer Cutler Pickering Hale and Dorr LLP
- Sentences imposed by judges after FCPA trial
- Negotiating penalties with US Department of Justice
- in guilty plea, DPA, and NPA cases
- civil penalties, disgorgement, prejudgment interest
- What role have the U.S. Sentencing Guidelines played in FCPA investigations, prosecutions, and settlements
- How Sentencing Guidelines and recent settlements impact corporate compliance programs
5:30 Conference Adjourns for the Day