Conference Agenda

Tuesday, November 17, 2015: Main Conference Day One
7:30 am

Continental Breakfast & Registration Begins

8:30 am

Conference Co-Chairs’ Opening Remarks

Adrian Mebane
Vice President, Global Ethics & Compliance
The Hershey Company

Mark F. Mendelsohn
Paul, Weiss, Rifkind, Wharton & Garrison LLP

8:45 am

Keynote Address

Leslie R. Caldwell
Assistant Attorney General, Criminal Division
U.S. Department of Justice

9:15 am

The FCPA Year in Review, and Q & A with USDOJ and the SEC

Patrick Stokes
Deputy Chief, FCPA Unit, Fraud Section, Criminal Division
U.S. Department of Justice

Kara Brockmeyer
Chief, FCPA Unit, Division of Enforcement
U.S. Securities and Exchange Commission

Richard N. Dean – Panel Moderator
Baker & McKenzie LLP

Part 1– Key Enforcement Takeaways from the Last Year and Priorities Going Forward

At this highly anticipated opening session, USDOJ and SEC decision-makers will offer their insights on the most significant developments over the last twelve months and what they mean for industry going forward.

  • Recent revisions to the FCPA Resource Guide
  • Key FCPA cases and how enforcement priorities are evolving between the DoJ and SEC
  • USDOJ coordination with other governments and the rise of multi-jurisdictional investigations
  • Increased enforcement of the books and records provision by the SEC, and priorities going forward
  • What is expected from your company if your industry is under investigation
  • How compliance efforts are rewarded

Part II – The Agencies Respond to Industry’s Biggest Concerns Regarding Investigations and Compliance

During the last thirty minutes of the session, the distinguished speakers will answer questions, and comment on feedback provided by industry. Participants will be contacted in advance of the event for their comments and questions to the USDOJ and SEC. Ample time will also be left for live audience Q & A, so please bring your questions!

You are also welcome to submit your questions in advance at
10:30 am

Networking Break

Extractive Industry SIG Meeting
11:00 am

Sustaining Compliance Culture Shifts after a High Profile Corruption Case: First-Hand Insights on How to Get Your Message to Resonate and Endure

Christina Ibrahim
Executive Vice President,
General Counsel & Corporate Secretary
Weatherford International

Audrey Harris
Global Compliance Officer
BHP Billiton (Australia)

Joel A. Kirsch
Vice-President and Associate General Counsel
Siemens Corporation

Manny A. Alas – Panel Moderator
Partner and Global FCPA Leader

One of the key challenges post-settlement is implementing and maintaining a true culture change across your company. At this highly anticipated panel, industry decision-makers will discuss how to overcome the real-life obstacles to sustaining a strong compliance culture for the short-and long terms following a high profile enforcement action. The expert speakers will discuss how their respective organizations have been successful in strengthening their global training and compliance programs, and fostering employee engagement. Topics will include:

  • Developing a sustainable strategy to prevent a repeat scenario: How to leverage lessons learned for long-term success
  • Setting the tone at the top
  • Strengthening policies and procedures, and internal controls: Updating protocols for managing risks related to payments, third parties, gifts, travel, and entertainment, charitable and political contributions
  • Defining compliance responsibilities within your organization
  • Training officers, directors, employees, agents and business partners
  • How to know if your message is being heard and followed
  • Addressing specific cultural nuances when localizing your training
  • Overcoming training “fatigue” and staying up to speed with the latest training techniques
  • How to strengthen your culture of compliance in the field

12:00 pm

Resolving Multi-Jurisdictional Enforcement Dilemmas: Anonymous Benchmarking on How to Manage Very Risky, Sensitive and Controversial Issues

Ira H. Raphaelson
EVP & Global General Counsel
Las Vegas Sands Corp

Lanny A. Breuer
Covington & Burling LLP

David S. Krakoff
BuckleySandler LLP

F. Joseph Warin – Panel Moderator
Gibson Dunn & Crutcher LLP

At this new and unique session, expert practitioners involved in some of the most complicated high profile cases will take the audience through a series of complex scenarios. The purpose of the session will be to discuss how to resolve the real-life, high stakes dilemmas of managing concurrent enforcement actions in multiple jurisdictions.

Topics will include:

  • How to deal with international prosecutors: Tailoring your approach based on the unique contexts of different jurisdictions
  • Satisfying government requests for employee interviews: When/when not to dismiss an employee suspected of wrongdoing vs. keeping them employed
  • How to manage the submission of documents to multiple governments: Responding to government document requests amid data privacy and state secret constraints
  • Assessing the effect of an enforcement action (and your disclosures) in one country on those in other jurisdictions
  • Weighing the risks of criminal prosecutions in China and other countries following cooperation with the U.S. and other governments
1:00 pm

Networking Luncheon for Attendees and Speakers

2:00 pm

Luncheon Keynote Address

Andrew Ceresney
Director, Division of Enforcement
U.S. Securities and Exchange Commission

2:30 pm



What a Third Party Audit Looks Like on the Ground: How to Overcome Real-Life Challenges to Putting Your Contractual Audit Rights into Practice (Audience Polling)

Jay T. Jorgensen
Global Chief Ethics & Compliance Officer
Walmart Stores, Inc.

Irina S. Lazieva
Senior Counsel, Central East Europe
Compliance & Business Conduct
3M (Russia)

Jason A. Jones
King & Spalding LLP

Leslie A. Shubert
Sidley Austin LLP

Richard C. Smith – Panel Moderator
Norton Rose Fulbright LLP

  • Incorporating contractual audit rights into your compliance structure
  • How to perform audits on longstanding vs. new business partners
  • When audits should be done a routine basis vs. only if there is a potential issue
  • Ensuring that the audit is an independent and documented process
  • How to evaluate third party compliance with FCPA, and contractual terms and conditions:
    • examining compliance programs and codes of conduct – books, records and accounts of the third party
    • third party subsidiaries, joint ventures or affiliates
    • testing for gifts, travel and entertainment
    • reviewing expense reports for employees in high-risk positions or countries
    • examining commission payments and petty cash activity
    • analyzing the general ledger for high-risk transactions and cash advances


Data Privacy Case Studies: How to Manage the Risk of Foreign Data Privacy Violations in the Context of Internal and Government FCPA Investigations

Laura Perkins
Assistant Chief, FCPA Unit, Criminal Division
U.S. Department of Justice

Brady Long
Vice President – General Counsel
Ensco plc

Terence Gilroy
Vice President, Legal – Financial Crime

Amy Jeffress
Arnold & Porter LLP (US)

Martin Weinstein – Panel Moderator
Willkie Farr & Gallagher LLP

Through a series of practical case studies, the expert speakers will discuss how to manage the inherent conflict between cooperating with the U.S. Government without violating foreign data privacy and state secret laws.

  • Meeting U.S. agencies’ expectations for cooperation amid conflicting EU data privacy restrictions\
  • How to properly investigate bribery without committing a criminal act under foreign data privacy laws
  • Monitoring your compliance program and investigations database to avoid privacy law violations
  • Trends in how EU regulators have interpreted data privacy vs. U.S. regulators
  • How to properly vet candidates for internships, boards and employment
  • Addressing cross-border transmitter issues: How to get lawful access to emails and other online data
  • Best practices for navigating privacy law constraints on interviewing and hiring
  • Setting up databases to track ongoing investigations and hotline calls
  • Data privacy issues when responding to a U.S. subpoena


Brazil – Revisiting Your Anti-Corruption Compliance Strategy for Brazil:
The Spoken and Unspoken Factors Impacting Your Risk Calculus amid Current High Profile Investigations

Pyter Stradioto
Compliance Director – LATAM
Samsung (Brazil)

Veronica d’Almeida
Regional Compliance Director – Latin America
Senior Corporate Counsel – Corporate Compliance
Global Investigations, Pfizer Inc.

Louis Ramos
Morgan Lewis & Bockius LLP

Lewis Zirogiannis
Global Head of Anti-Corruption Compliance
GE Capital
Managing Director, Chief Compliance Officer & Supervisory Affairs
GE Energy Financial Services

  • Revisiting your risk profile in response to recent, high profile developments: Measuring individual and corporate liability risks
  • How recent government interpretations of the FCPA and Brazil’s Clean Company Act affect your risk assessment
  • How to identify newfound risk areas, and strengthen controls around those risks
  • Handling improper solicitations, donation and sponsorship situations
  • Hiring a former government official or the relative of a local government official
  • Conducting extensive due diligence on despechante before engaging their services
  • Monitoring third parties who have extensive dealings with government officials for permits, licenses, and other governmental approvals
  • Ascertaining the exact kind of dealings government “facilitators” have with their respective government contacts
3:45 pm

Afternoon Refreshment Break

Pharma, Biotech and Medical Devices SIG Meeting
4:15 pm



Marketing, Sponsorship, Hospitality, Political Contributions, Charitable and Community Activities: Minimizing New, Unexpected Risks Post-BHP Billiton and FIFA

Stephanie Vogel
Vice President, Assistant General Counsel
& Deputy Chief Compliance Officer
National Basketball Association

Michael Savicki
Vice President, Compliance
American Express Global Business Travel

Robert Shanks
Vice President Legal

Zachary J. Harmon
King & Spalding

Jennifer G. Newstead – Panel Moderator
Davis Polk & Wardwell LLP

  • Reducing the risks of using third party vendors to handle your marketing and sponsorship activities
  • Navigating the blurry line between hospitality vs. a bribe
  • Best practices for organizing conferences, travel arrangements, sponsorships, advisory boards, and entertainment
  • Crafting permissible guidelines for the use and compensation of consultants and advisory boards
  • Grants to associations to hold conferences: When and how much due diligence to conduct on meeting planners
  • Speaker programs, KOLs and thought leaders, and their use in marketing and promotions strategies
  • Travel agents and conference organizers in China:
    • ensuring travel agencies and their activities match the conference itinerary
    • how to verify if the event has sufficient medical education and product discussion
  • Fines: how the government determines fines, penalties


“Don’t Boil the Ocean” – Right-Sizing Your Internal Investigations: The Top 10 Practical Considerations for Managing the Scope and Costs of Investigating Corruption

Daniel Kahn
Assistant Chief, FCPA Unit,
Fraud Section, Criminal Division
U.S.Department of Justice

Katherine Choo
Chief Investigative & Anti-Corruption
General Electric Company

Christopher M. Favo
Senior Counsel, Compliance and Business Conduct
Former Special Agent, FBI

Marcus Asner
Arnold & Porter LLP

Laurence Urgenson – Panel Moderator
Mayer Brown LLP

  • Determining the scope of your document review, and interview process and analysisRecent USDOJ 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
  • Preparing your client for what may lie ahead


Russia – What Level of Due Diligence is Truly Enough for JVs and Business Partners in Russia: Revisiting Your Risk Tolerance Based on Increasing Corruption and
Economic Sanctions Enforcement Risks

Jan Farley
Chief Compliance Officer and Associate General Counsel
Dresser Rand

Thomas Koffer
Global Head of Anti-Corruption and Economic Sanctions Compliance

Peter Burrell
Willkie Farr & Gallagher LLP (UK)

William Jacobson
Orrick, Herrington & Sutcliffe LLP

  • Assessing how each type of JV can present FCPA and sanctions compliance risks
  • How to resolve due diligence challenges that may arise from cultural differences between partners
  • Navigating newfound risks of public-private partnerships for manufacturing and co-development
  • How companies should conduct due diligence and act on findings where there are reasonable suspicions of corrupt acts, but no actual convictions or other official findings of wrongdoing
  • Deciding whether to turn evidence over to Russian (or other) authorities when corrupt behavior is detected
  • How to manage joint venture risks with differing local laws at play, along with the FCPA and economic sanctions
  • How to negotiate control provisions, board representation, veto rights, reps and warranties when you are not the majority partner
  • Where is the line between FCPA compliance and abuse of dominant position under Russia competition law?
5:15 pm



How to Measure Ethical Behavior and the Success of Your FCPA Compliance Program: Applying the Right Performance Indicators for Testing and Reviews

Daniel Garen
Global Compliance Leader
Danaher Corporation

Adrian Mebane
Vice President, Global Ethics & Compliance
The Hershey Company

Raphael Z. Richmond
Global Director of Compliance
Office of the General Counsel
Ford Motor Company

Jacqueline Becerra
Greenberg Traurig LLP

Jeremy Levin
Baker Botts

  • How FCPA and anti-corruption program testing dovetail with your overall compliance program
  • Ensuring the success and accuracy of your FCPA testing
  • How companies have successfully utilized testing and implemented methodologies
  • Tailoring compliance reviews to different jurisdictions
  • Best practices for identifying compliance and ethical weak spots
  • Testing and reviewing international sales and high risk transactions


Inside SEC Negotiations and ALJ Proceedings: The Practical Side of Declination, Settlement and Prosecution Discussions, and Trying a Case before an ALJ

Alice S. Fisher
Latham & Watkins LLP

Marlon Q. Paz
Locke Lord LLP

Jonathan R. Tuttle
Debevoise & Plimpton LLP

Bret A. Campbell
Cadwalader, Wickersham & Taft LLP

  • How negotiating with the SEC has changed in the last year: New, emerging challenges when defending clients, managing document production and discussing complex issues with the SEC
  • To what extent recent settlements reflect SEC expectations rather than being just fact-specific
  • Discussing a potential declination with the SEC
  • When the SEC will opt for ALJ proceedings instead of going to Federal Court
  • Recent trends in ALJ cases
  • Trying a case before an ALJ: Tailoring your preparation and case management to the administrative context
  • Level of protections and discovery for ALJ cases


How the World Bank, USAID and MDBs Are Now Approaching Enforcement:
A Close Look at the New, Unexpected Challenges for Companies under Investigation

Stephen S. Zimmerman
Director of Operations, Integrity Vice Presidency
The World Bank

Lisa Rosen
Chief Compliance Officer
European Bank for Reconstruction and Development (UK)

Juan Gabriel Ronderos
Sanctions Officer for the IDB Group
Inter-American Development Bank

Glenn Ware
Principal and Anti-Corruption & Program Integrity Leader

Timothy L. Dickinson – Panel Moderator
Paul Hastings LLP

  • What it is really like to be under investigation: What World Bank and MDB corruption investigations look like on the ground
  • Common misconceptions about The World Bank and MDB debarment and appeals processes
  • Understanding the conditional release process of The World Bank, and other mitigating factors that are considered
  • Negotiating with MDBs v. the DOJ and SEC
  • Contrasting World Bank and MDB integrity compliance guidelines with the U.S. Sentencing Guidelines
  • The scope of sanctions and debarments that can be imposed
  • Types of rehabilitation conditions that must be met after being debarred
6:15 pm

Conference Adjourns to Day 2

6:15 pm - 7:30 pm

Cocktail Reception