DAY 2 - Wednesday, November 17, 2010

8:30 Opening Remarks from the Conference Chair

8:45 International Prosecutors Panel
Conducting Multi-Jurisdictional Investigations: Law Enforcement Techniques, International Agency Cooperation and their Obstacles

Vivian Robinson, QC
General Counsel
Serious Fraud Office (London)

Richard Findl
Section Head
Public Prosecutors Office (Munich, Germany)

William J. Stuckwish
Acting Assistant Chief
Fraud Section - Criminal Division
U.S. Department of Justice

Mark F. Mendelsohn - Panel Moderator
Partner
Paul, Weiss, Rifkind, Wharton & Garrison LLP

  • Differences and similarities of a US-UK cooperation vs. a US-German cooperation
  • How securities regulators cooperate and build international civil cases
  • How US regulations interact with foreign laws when gathering evidence
  • Who gets evidence first and when
  • Obstacles/challenges to cooperation
  • How should a company cooperate in an multi-jurisdictional investigation – what agency to contact first
  • Communicating with foreign government authorities: balancing cooperation with maintaining an effective defense

10:00 Preparing for UK Bribery Act Enforcement

Roger Best
Partner
Clifford Chance (London)

Jo Morgan
Chief Compliance Officer
IMI plc (UK)

  • How to update FCPA-compliant programs and policies to the U.K. Act
  • Defining “satisfactory compliance program”, “corporate offence”, “failure to prevent bribery”
  • Defense strategies: what are “adequate procedures”
  • Intersection of UK books & records requirements with Sarbanes-Oxley and FCPA
  • Contrasting the FCPA and UK Act regarding
    • permissible and impermissible payments
    • reasonable and bona fide expenses: gifts, travel and entertainment
    • third parties and due diligence requirements for agents, consultants and joint venture partners

10:45 Coffee Break

11:00 Ensuring Adequate Financial Controls and Using Internal Audit to Prepare for Increased Books & Records Enforcement Activity

Timothy L. Dickinson
Partner
Paul, Hastings, Janofsky & Walker LLP

Manny Alas
Partner, Forensic Services
PricewaterhouseCoopers LLP

Tracy Price
Assistant Director, FCPA Unit
Division of Enforcement
U.S. Securities and Exchange Commission

Fredric D. Firestone – Panel Moderator
Partner
McDermott Will & Emery LLP

  • How compliance controls and financial controls intersect
  • Why and how to incorporate robust FCPA auditing into your compliance programs
  • Evaluating the effectiveness of your business conduct guidelines
  • Benchmarking your FCPA audit program
  • Why you should audit books and records compliance
  • The intersection of the audit and legal functions
  • The need to document compliance and internal audit efforts and activities

12:00 Overcoming Electronic Data and Privacy Law Challenges in FCPA Global Investigations

Martin Weinstein
Partner
Willkie Farr & Gallagher LLP

Philip Upton
Partner, Forensic Services
PricewaterhouseCoopers LLP

  • Managing production of documents to multiple governments
  • Capturing and preserving electronic info
  • Handling conflicting data privacy laws
  • Overcoming restrictions on transmitting data across borders
  • Setting up databases to track ongoing investigation, hotline calls

12:45 Luncheon for Attendees and Speakers

2:00 The Intersection of FCPA and Corporate Governance: Dealing with Audit Committee & Board of Directors for FCPA Issues

Holly J. Gregory
Partner
Weil, Gotshal & Manges LLP

F. Joseph Warin
Partner
Gibson Dunn & Crutcher LLP

Stephen Fishbein
Partner
Sherman & Sterling LLP

Kathryn Cameron Atkinson – Panel Moderator
Partner
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
  • Who should outside counsel be reporting to
  • Should a separate committee of the Board oversee FCPA investigations
  • 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

3:00 Refreshment Break

3:15 Testing your Global FCPA Compliance Systems: How to Implement Effective Compliance Assessments to Probe Weak Spots

Peter E. Jaffe
Chief Ethics and Compliance Officer
The AES Corporation

Gary F. Giampetruzzi
Vice President and Assistant General Counsel
Head of Government Investigations
Pfizer

Alexandra Wrage
President
Trace International

  • How do FCPA program reviews differ from financial audits and SOX testing
  • Best practices: essential components of effective FCPA compliance assessments
  • Who, what, when: staffing, scope and frequency of FCPA testing
  • Addressing unique compliance environments: how to secure cooperation overseas, and how to test whether you’re getting it
  • Money-saving methods: mini-audits, technology shortcuts, and other tools to stretch resources

4:15 How to Represent Individuals in FCPA Investigations

Charles S. Leeper
Partner
Drinker Biddle LLP

Robert P. Trout
Partner
Trout Cacheris PLLC

Nathaniel B. Edmonds
Assistant Chief, Fraud Section – Criminal Division
U.S. Department of Justice

  • The range of conduct that led to recent enforcement actions against individuals
  • The concept of “knowledge” and liability for the conduct of agents under the FCPA
  • Lessons learned from the Bourke, Green, Congressman Jefferson prosecutions and other recent FCPA cases against individuals
  • Jurisdictional aspects when non-US citizens are in the mix
  • When and how to provide separate counsel for individuals
  • Resolving access to records challenges
  • What to do when individual and corporate interests collide

5:30 Chair’s Closing Remarks and Conference Ends