Day 1: Wednesday, June 15, 2016

9:00 Conference Co-Chairs Opening Remarks

Jun Li
Senior Director & Associate General Counsel
Ethics & Compliance – APJ
VMware (Beijing)

Jason Cao
Chief Legal Counsel
China Dover Corporation (Shanghai)

9:15 Transitioning Global Compliance Strategy to Policies and Controls That Meet Chinese Government Expectations

Charlene Zhu
Chief Compliance Officer
General Electric (Shanghai)

Tony Chuang
Legal Director, Greater China
Tyco (Shanghai)

Christine Ng
Director, Independent Business Monitoring & ABAC
China Governance & Compliance
GSK (Shanghai)

Panel Moderator:

Emmanuel Vignal
EY, Greater China Leader
Fraud Investigation & Dispute Services (Shanghai)

  • How to adjust your compliance strategy in current China compliance landscape
  • What compliance program standards does Chinese Authority expect
  • What to do to always keep up with latest enforcement activity
  • What areas are most at risk for multinational companies, how you should adjust your strategy
  • How to preserve evidence to adequately meet Chinese government requirement, how to resolve document language issues
  • How to communicate with HQ about local compliance strategy changes
  • How to show government your anti-corruption initiatives
  • Building a government relations strategy and function

10:15 Keynote Presentation -
China’s New Anti-Bribery Orientations and Enforcement Activity under the Current Leadership, and its impact on Multinational Companies

Hao YinFei (郝银飞)
Former Crime Prevention Office Director
China Supreme People Proceratorate (Beijing)

Wu Wei
King & Wood (Beijing)

11:00 Coffee and Tea Break

11:15 Case Studies in Third Party Audits – What Should You Do If…

Robert Ma
Legal Counsel, Lead of Greater China Legal Team
Texas Instruments (Beijing)

John Mathis
Audit Manager
Corporate Auditing and Compliance Department Caterpillar (China) Investment Co., Ltd. (Shanghai)

Scott Marrah
Kilpatrick (Atlanta)

Chi Chen
EY, Fraud Investigation & Dispute Services (Shanghai)

This exclusive and practical session will feature three complex third party risk management scenarios:

  • Scenario A) An uncooperative third party refuses to answer your questions or provide requested documentation
  • Scenario B) The ownership structure is convoluted and you can’t determine if there is a risk of a government touch-point
  • Scenario C) Accounting records point to risky payments including potentially fictitious in-voices and vendors

After a review of each scenario and specific challenges involved expert speakers will present a step by step review of strategies to address each situation. This is an interactive and very practical session. Bring your questions!

12:15 Networking Luncheon for Attendees and Speakers

13:30 US DOJ and UK SFO Alumni Panel - Former Prosecutors Speak on Executive Liability post Yates Memo

Nathaniel Edmonds
Paul Hastings (Washington, DC)
Former FCPA Prosecutor, US Department of Justice

Satnam Tumani
Kirkland & Ellis International (London)
Former Official, UK Serious Fraud Office

  • Which individual is accountable for corporate wrong doing in China
  • Review of recent investigations involving individual penalty
  • What company executives, corporate counsel, compliance officers should pay attention to avoid the risks
  • How compliance program should allocate liability and responsibility in the company
  • Representing executive under investigation: Walking the fine line to preserve corporate in-terests
  • Practical review of the most signify challenges faced in China if penalty goes to individual, and how to address them
  • What to do when individual and corporate interests collide

14:15 Internal Investigations Think Tank: Senior In-House Counsel Discuss How to Effectively Structure the Investigation

Katharine Bostick
Director, Compliance & Litigation
Microsoft (Beijing)

Nan Wang
Vice President & Assistant General Counsel
Marriott International, Inc. (Shanghai)

Zachary Coseglia
Assistant General Counsel
Regional Lead, Global Investigations
Pfizer Inc. (Beijing)

  • Case study on Mead Johnson SEC investigation: why its internal investigation did not detect the wrong doing
  • Determining the scope of your document review, and interview process and analysis
  • Recent Government investigations, enforcement actions and settlements, and what they reveal about right-sizing internal investigations
  • Determining how much you need to spend and how to manage the risk of spiraling costs
  • When and when not to investigate new or peripheral red flags that are discovered over the course of the internal investigation
  • When to stop: How to know when to conclude the investigation
  • How to conduct an appropriate investigation in China in compliance with China State law

15:15 Coffee and Tea Break

15:30 How to Navigate Bribery Risks in Project Bidding and Public Procurement in a Highly Competitive Business Environment

Jeanne Kang
APJ Chief Ethics Officer
Dell (Beijing)

Susan Munroe
Steptoe & Johnson LLP (Beijing)

Jason Cao
Chief Legal Counsel
China Dover Corporation (Shanghai)

  • Recent developments in China’s bidding and procurement regime
  • Anatomy of a public tender: identifying risks in open, semi-open, or by invitation bidding scenarios
  • Risk management in situations where applicability of bidding rules is unclear
  • Is it possible to challenge bid results that you believe involve corruption?
  • Involvement of agents in public bidding, how to mitigate risks of corruption

16:30 How to Mitigate Princeling and Guanxi Personnel Risks: Do’s and Don’ts When Pre-Screening Your Candidates and Interns

Fangfang Han
Deputy General Manager
China Star Corporation (Shanghai)

Geoffrey Mullen
Legal Counsel, Asia-Pacific
Celanese (Shanghai)

Randy Phillips
The Mintz Group (Beijing)

  • What recent cases in Asia tell us about government priorities and expectations for employee screening
  • How to screen candidates for high-level positions to identify public officials and politically exposed persons
  • How HR, legal, compliance can work together to convey the right message to employee
  • How to handle if you already have some complex guanxi employees: keep or terminate
  • How to handle in the future if employees are introduced by some relationships
  • How to minimize risks when recruiting interns

17:30 Conference Adjourns to Day 2

Drinks Reception Hosted by:

Day 2: THURSDAY, June 16, 2016

9:00 Co-Chairs Opening Remarks

9:05 A Story and a Debate - How to Engage Your Sales, Business Development and Marketing Team in Your Compliance Initiatives

Part 1 - Former Sales Executive Talks about Compliance Challenges on the Front Line of International Business Development

Richard Bistrong
CEO Front-Line Anti-Bribery LLC
Former FCPA Violator, FBI/UK Cooperator (USA)

Part 2 – Audience Participation: Do’s and Don’ts with Mid-Level Managers, Sales Incentives and Compensation, Training and Background Checks

Zhang Jing
Health Care Compliance Officer
Medical Device, China
Johnson & Johnson (Shanghai)

Wang Yuan
Compliance Officer & Legal
GM China (Shanghai)

Rohan Thakur
Senior Vice President
Commercial Asia Pacific
Bruker Daltonics (Fremont, CA)

  • Illustrating the meaty incentives for the business team to commit bribery activities
  • How companies can incentivize ethical behavior at all level in their operation
  • What challenges business team is facing
  • Customizing training to make it more useful to control risks for business team
  • How to analyze the compensation structure
  • How to conduct a background check to ensure you hire business team most likely not to bribe
  • Benchmarking on how to engage sales, marketing to commit to an anti-bribery compliance program

10:15 Coffee and Tea Break

10:30 Crisis Management: What is an Effective Strategy Once you Receive an Investigation Request or During a Dawn Raid from Chinese Authorities

Janice Tsang
Compliance Counsel
Legal and Compliance Department
Porsche (China) Motors Limited (Shanghai)

Richard Wagner
Steptoe & Johnson LLP (Beijing)

Kate Yin
Fangda Partners (Beijing)

Miang Lee
EY, Fraud Investigation & Dispute Services (Hong Kong)

  • Sharing experience on Chinese Government investigation procedures and What they are looking or during the investigation
  • How to measure the severity of the allegation to plan the most effective response strategy
  • Initial investigative actions at the early stages of the crisis: How to develop a detailed work plan, create credible parameters for the investigation
  • What right you have during the investigation
  • How to meet disclosure requests, to what degree to disclose? What is enough
  • How to appropriately avoid hefty fine
  • When to make a statement, developing a messaging strategy consistent for all audiences and avoiding pitfalls related to external communications
  • Deciding when to retain outside counsel, forensic accountants and how many
  • How to discuss with employees to ask them co-operate with the interview and investigation
  • How to prepare for collateral damage and other contingent liabilities associated with high profile investing globally

11:15 Mitigating Complex and Hidden Risks in Sponsorship and Donation Activities

Clarice Kan
APAC Associate Compliance Counsel
Google (Shanghai)

Seth Yu
Director, Global Investigation
MSD (Shanghai)

Mimi Yang
Ropes & Gray LLP (Shanghai)

  • Risk checklist if you are asked by your clients to sponsor an event and asked by your sup-pliers for sponsorships
  • Identify the standard cost and expense on the sponsorship and potential expense on travel, accommodation and gift
  • How to make the sponsorship transparentMitigating the invoice pitfall
  • How to preserve evidence to prove the commercial purpose vs. public interests of sponsorship and donation
  • How to make your marketing, sales and business development manager aware of bribery issues in the sponsorship negotiation
  • Accessing the risk of third party vendors that handle your marketing and sponsorship activities: how to train vendors on the importance of compliance

12:00 Keynote from the OECD

Nicola Bonucci
Director & Accession Coordinator
Directorate for Legal Affairs
OECD - Organisation for Economic Cooperation and Development (Paris)

12:30 Luncheon for Attendees and Speakers

13:45 What is an Effective Whistleblower Response Strategy: How to Encourage Whistleblower to Report to You First and How to Respond to Anonymous Reports

Luis Hui
Director, Compliance, Asia Pacific
Hilton (Singapore)

Steven Shen
Senior Legal Director
Legal Department (Shanghai)
Philips (China) Investment Co., Ltd.

William Michael, Jr.
Mayer Brown, LLP (Chicago)

Tatman R. Savio
Akin Gump Strauss Hauer & Feld LLP (Hong Kong)

Part 1 – The First Meeting with the Whistleblower – Role Play

Witness an interview with a whistleblower in this exclusive interactive session. Speakers will participate in a mock meeting that will lead to a discussion on the strategies highlighted below.

Part 2 – Whistleblower Strategies

  • What to do when the whistleblower contacts you
  • How to reply to the report, what to do if it comes from an anonymous source
  • How to conduct interview, investigation
  • How to file the whistleblower reports and document/save the evidence
  • Open various channels and conduct training for transparency
  • How to establish reporting awareness
  • How to encourage whistleblower to come to you first before they go to the public
  • How to ensure the whistleblower’s right and show them you can protect their right
  • How to handle abused reporting

14:45 How to Resolve Complex Issues on Privilege, State Secret, Data Privacy For Cross Border Investigations

Allen Zhou
Vice President and General Counsel -Greater China
Schneider Electric

Wee Meng Chuan
General Counsel
IBM Greater China Group (Beijing)

Bingna Guo
O’Melveny & Myers LLP (Beijing)

  • How to assert and protect privilege in the multi-jurisdiction investigation, especially for Chinese regulatory investigation
  • What evidence you can provide while protect your company’s knowhow, data, and private information
  • How to deal with document disclosure when information located overseas and/or information on overseas entities is involved
  • How to deal with information and documents that may involve state secrets in cross-border litigation and investigation
  • How to protect employee privacy during the investigation privacy during the investigation

15:30 Coffee and Tea Break

15:45 How First DPA under UK Bribery Act Will Affect Companies in China: Status Update on SFO Enforcement Trends

Stephen Gentle
Simmons & Simmons LLP (London)

  • Background to the UK DPA regime
  • Overview of the Standard Bank DPA and its impact on corporate financial crime responses
  • The SFO’s current approach to global internal investigations: critical engagement
  • Law enforcement and individual criminal liability.
  • China/UK law enforcement: cooperation and its challenges

16:15 Joint Venture Risks Case Studies: How to Address the Most Complex Challenges in JV Relationships

Jun Li
Senior Director & Associate General Counsel,
Ethics & Compliance – APJ
VMware (Beijing)

Ray Zhou
Associate Compliance Director
Anheuser-Busch InBev China (Shanghai)

Philip Rohlik
Debevoise & Plimpton (Shanghai)

  • Entering a JV: diligence, decision points and defense strategies
  • What determines "control" in a JV and its impact on legal liability
  • “Government official” as a business partner: complying with multi-jurisdictional corruption regulations
  • SOE joint venture partners: examples of compliance risks
  • Minority ownership: persuading your JV partner to adopt anti-corruption compliance
  • Implementing an effective compliance program at every level of a JV

17:00 Conference Concludes