DAY 1 – Tuesday, November 16, 2010

7:30 Continental Breakfast and Registration

8:30 Opening Remarks from the Conference Chair

Homer E. Moyer, Jr.
Partner
Miller & Chevalier Chartered

8:45 US DOJ and SEC Panel
        The FCPA Enforcement Year in Review

Charles E. Duross
Deputy Chief, Fraud Section - Criminal Division
U.S. Department of Justice

Cheryl J. Scarboro
Chief, FCPA Unit – Division of Enforcement
U.S. Securities and Exchange Commission

  • Review of 2010 FCPA cases against companies and individuals
  • U.S. enforcement authorities’ ability to reach foreign issuers
  • The use of proactive law enforcement techniques, informants, undercover investigations, sting operations
  • The aggressive pursuit of substantial prison sentences for persons convicted of FCPA violations
  • The impact of the Dodd-Frank Act’s whistleblower program
  • The convergence of FCPA compliance, trade sanctions and anti-money laundering
  • What the SEC and DOJ look for when assessing FCPA compliance programs

New to the program this year – The panel includes an “Ask the Regulators” session at the end – This will provide attendees with an opportunity to submit questions to the SEC and DOJ in advance of the panel. Email your questions to
f.duranton@americanconference.com. The panel and Q&A session will be moderated by the Conference Chair, Homer E. Moyer, Jr.

10:00 Coffee Break

10:15 Anti-Corruption Compliance Programs: What are Adequate Standards and Global Structure post UK Bribery Act, OECD and US Sentencing Guidelines

Enrique Aznar
Chief Compliance Officer
Nokia Siemens (Finland)

Carrie J. Di Santo
Vice President and Global Chief Compliance Officer
Aon Corporation

Stephen A. Maloy
General Counsel – Asia Pacific
General Electric Company (China)

Julia C. Symon
Director of Compliance
KBR

  • Assessing the risks faced by your company based on geographic scope, business model, business sector and other factors
  • Assigning managerial and governance responsibility locally
  • Ensuring comprehensive reporting, clear accountability and full and effective oversight by top decision makers
  • Using trade control compliance to mitigate corruption risk
  • Identifying other functions in the company who can – and must - help
  • Creating optimum reporting lines within company

 

11:30 Agencies Update
         The FCPA Enforcers Reorganized

Lorin Reisner
Deputy Director of Enforcement
U.S. Securities and Exchange Commission

Denis J. McInerney
Chief, Fraud Section - Criminal Division
U.S. Department of Justice

Peter Clark
Partner
Cadwalader Wickersham & Taft LLP

  • How FCPA enforcement programs have been strengthened
  • Update on new unit structures and personnel changes
  • Changes in DOJ and SEC enforcement priorities
  • The dynamics of industry-wide investigations: how they unfold, how one leads to another
  • Cooperation of the SEC, DOJ, investigative agencies and their foreign counterparts
  • The Dodd-Frank whistleblower provisions – How will they work?
  • How the new enforcement programs and priorities will affect counsel and clients

 

12:30 Luncheon for Attendees and Speakers

1:30 Keynote Address

The Honorable Lanny A. Breuer
Assistant Attorney General, Criminal Division
U.S. Department of Justice

2:15 Managing and Responding to an FCPA Crisis: What to Do in the First 2 Weeks

Dr. Klaus Moosmayer
Chief Counsel Compliance
Siemens AG (Germany)

Richard N. Dean
Partner
Baker & McKenzie LLP

Frederic R. Miller
Partner, Forensic Services
PricewaterhouseCoopers LLP

Lynn Neils
Partner
Mayer Brown LLP

William B. Jacobson - Panel Moderator
Vice President, Co-General Counsel
Chief Compliance Officer
Weatherford International, Ltd.

  • How to preliminarily assess the potential FCPA issue: measuring the severity of the allegation to plan the response strategy
  • Using in-house resources as a quick response
  • Deciding when to retain outside counsel, forensic accountants and how many
  • When to launch a formal investigation
  • When and how to issue an effective document hold
  • Establishing and maintaining privilege over the investigation
  • Involving the Audit Committee and considering counsel for the Audit Committee
  • Dealing with inconclusive findings
  • Considering counsel for individuals

 

3:30 Refreshment Break

3:45 Disclosing an FCPA Issue to the Government

Lucinda A. Low
Partner
Steptoe & Johnson LLP

Michael D. Mann
Partner
Richards Kibbe & Orbe LLP

Jay G. Martin
Vice President, Chief Compliance Officer
and Senior Deputy General Counsel
Baker Hughes

Hank Bond Walther
Acting Deputy Chief, Fraud Section – Criminal Division
U.S. Department of Justice

Michael Horowitz – Panel Moderator
Partner
Cadwalader Wickersham & Taft LLP

  • Identifying the risks of making a voluntary disclosure
  • and of not disclosing
    • assessing the risks of involuntary (third-party) disclosure
    • are the benefits of voluntary disclosure real?
    • are the benefits demonstrable to management?
  • What to do before making a voluntary disclosure
  • Disclosure through a 10-Q
  • How to make a voluntary disclosure (oral, written, powerpoint?)
  • Pros and cons of “placeholder disclosures”
  • Obligations under securities laws
  • Managing the public relations impact of a disclosure – when to bring in a PR firm
  • Managing employees and issues inside the company
  • What should be auditor’s duties during the disclosure process

 

5:00 Customs and Facilitating Payments in Emerging Markets – Embedding Risk Assessment and Monitoring Activities in Global Operations

Daniel Dorsky
Senior Compliance Counsel
Tyco International (US) Inc.

Steven Fox
Managing Partner
Veracity Worldwide LLC

Rebecca (Riv) Goldman
Vice President, Commercial Law
Rockwell Automation

Markus Heyer
Corporate Compliance Officer
Panalpina (Switzerland)

Wendy Wysong – Panel Moderator
Partner
Clifford Chance LLP

  • How to distinguish between permissible expediting payments and unlawful small bribes
  • Vetting local customs brokers and screening out high-risk agents
  • Detecting wrongdoing: how to set up effective red and green flags throughout the customs clearance process
  • What to do if you are under pressure to use a designated third party with a questionable reputation
  • Assessing cumulative values of repetitive small bribes
  • Immigration and work permits: overcoming rising challenges
  • Satisfying US law recordation requirements without increasing your foreign exposure

6:00 Conference Adjourns for the Day

Cocktail reception hosted by: Steptoe