12th China Forum on Anti-Corruption

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Co-Chairs’ Opening Remarks 大会主席致辞

Joan Pan
Senior Vice President and Chief Ethics and Compliance Officer
H3C Technologies Co., Ltd (Beijing)

Jonathan Shun Wah
Assistant General Counsel
Greater China Investigations Lead
Pfizer (Hong Kong)

Compliance in the “Big Picture” – Anti-Corruption, Global Trade Tension, Antitrust, Cyber and More: How Companies are Putting All of the Pieces Together for an Effective Global Compliance Programme 行业对比交流#1合规大图片-如何在当前瞬息万变的反腐败，紧 张的全球贸易环境，反垄断，网络安全等法律法规大环境下，整合 企业总体合规机制

Jamilia Grier
Vice President - Legal & Compliance - APAC
Marriott International (Shanghai)

Joan Pan
Senior Vice President and Chief Ethics and Compliance Officer
H3C Technologies Co., Ltd (Beijing)

Susan Munro
Partner
Steptoe & Johnson LLP (Beijing)

• How multinationals in China are evolving their programs in response to global trade tensions
• How to strategically analyze the risks facing multinational companies.
• Dovetailing data security, anti-bribery, antitrust and other core requirements
• What leading companies are doing to leverage internal, crossdepartmental resources across multiple compliance functions
• How to know if your program is adequately updated in response to rapidly evolving legislative and regulatory developments
• Contingency planning: Steps to take in anticipation of new laws and regulations
• Risk Detection: Perspectives on effective risk detection and analysis
• How Much to Spend: How much is now required to get compliance right

DOJ Enforcement Priorities: New FCPA Developments, and What They Mean for Local and Multinational Companies in China DOJ执法重点: 新 FCPA 发展和动向, 及对在中国的跨国企业影响

Daniel Levin
Partner
White & Case LLP (Washington, DC)

Patrick Sinclair
Partner
Davis Polk (Hong Kong)

• DOJ’s enforcement priorities and trends: Key takeaways
• What recent FCPA enforcement actions in China reveal about the scope of prosecution and penalty risks
• Individual enforcement risks: What has triggered liability of employees and executives
• When disclosures and cooperation can benefit your case

Coffee and Tea Break 茶点休息

Special Interview with Pudong Market Supervision Bureau 浦东市场监督管理局特别访谈

Legal Department Official
Pudong Market Supervision Bureau

Haixiao Helen Zhang
Partner
Anjie Law firm (Shanghai)

Best Practices for Creating a Strong Compliance Culture: Concrete Examples of Overcoming Hurdles at the Corporate and Field Levels 无记名现场投票：如何营造最佳的企业合规文化

Katharine Bostick
Director, Compliance & Litigation
Microsoft (Beijing)

Christine Ng
Ethics & Compliance Officer, Greater China
GSK

Emmanuel Vignal
Partner, Asia-Pacific Leader
EY Forensic & Integrity Services (Shanghai)

• Determining the best compliance culture: Mandatory or persuasive
• Examples of effective messaging and training materials
• How to keep employees engaged toward fostering a culture of compliance
• Real-world examples of “Compliance Campaigns”
• Setting the tone at the top and middle: Implementing an effective communications strategy
• Online or in-person? What has worked or fallen short
• How to know if your training program is resonating with employeesand when to re-train or provide a refresher

Networking Luncheon 演讲嘉宾和与会代表共进午餐

New Anti-Bribery Compliance Expectations – What Industry Needs to Know about the Local Corruption Crackdown: New, Evolving Standards and Trends 中国反腐合规新要求：从最近当地政府的执法要案把握最新反 执法动向，标准和新趋势

Edwin Li
General Counsel DSM Legal Affairs, China
DSM (China) Limited (Shanghai)

Victor Shen
Chief Legal Counsel
Henkel Greater China & Korea (Shanghai)

Gary Gao
Partner
Zhong Lun Law Firm (Shanghai)

• Evolving Chinese Government enforcement and priorities
• Which industries have been under the microscope
• Penalty trends and key takeaways from local and international cases
• Clarifying the Anti-Bribery Committee structure
• New, emerging risks to wat out for: Perspectives on how to prepare for the next wave of enforcement

Do’s and Don’ts for Using a Dashboard, and Collecting Data 大数据：如何运用大数据仪表盘及采集数据

Ray Zhou
APAC Senior Compliance Director
Anheuser-Busch InBev China

Jonathan Shun Wah
Assistant General Counsel
Greater China Investigations Lead
Pfizer (Hong Kong)

Chi Chen
Partner
EY Forensic & Integrity Services (Shanghai)

At this unique, highly anticipated session, hear from three companies at various stages of incorporating Big Data into their compliance efforts. Learn about successes and pitfalls to avoid toward leveraging innovation. Part 1: How to Collect Data and Effectively Leverage Databases 第一部分：如何采集合法有效数据

• Getting started: Key considerations before collecting data and addressing roadblocks
• What is meaningful data and how to identify data that is useful vs. not
• How to leverage cross-departmental databases
• Handling suspicious issues

• Detecting risks based on invoices, sales activities, keyword searches and more
• How to use a dashboard as a risk indicator
• Incorporating the approval process into big data
• The lengths and limits of Big Data
• Making your business case: Securing buy-in and resources from senior management

Coffee and Tea Break 茶点休息

The Evolving Legal and Compliance Functions in China: What It Takes to Be Successful in Your Role-Now More Than Ever 中国法务及合规经理职能变化：如何成功培养和发挥合规职能

Sasha Kalb
Vice President Compliance & Risk, APAC, Global Partnership and Alliance
American Express Global Business Travel (Hong Kong)

Yue Yan
Ethics & Compliance Officer, China and APAC
Herbalife Nutrition

Jonathan K. Chang
Counsel
Davis Polk (Hong Kong)

• What are the “must-have” soft skills for legal and compliance officers
• Leadership best practices and lessons learned
• The most effective communication methods for employees and management
• How to lead the compliance effort at the corporate and field levels
• How to make your mark: How to become an integral, strategic advisor to the business
• Changing policies and procedures: How to deal with pushback and resistance to new protocols
• Moving up the ladder: Perspectives on how to advocate for yourself and your team

BREAKOUT ROUNDTABLES 分组圆桌讨论

Ray Zhou
APAC Senior Compliance Director
Anheuser-Busch InBev China

Allen Wang
Arbitrator
Shanghai Intenational Arbitration Center (Shanghai)

Mandy Yan
Great China Area Compliance Counsel, Ethics & Compliance
3M

Akiko Miyake Stolt
Associate Partner
EY Forensic & Integrity Services

Led by leading experts, select a table to benefit from smaller-group networking and benchmarking on high stakes legal and compliance challenges:  

1. Third party monitoring and audits 第三方管控
2. Internal investigation program benchmarking 内部调查比较交流
3. Global economic sanctions compliance do’s and don’ts 国际制裁合规
4. Gifts & Entertainment: Internal controls think tank 礼品和娱乐内部管控

Conference Adjourns to Day 2

Co-Chairs’ Opening Remarks 大会主席致辞

New Commercial Bribery Risks and Rising Penalties Under the Anti-Unfair Competition Law: How to Know What Crosses the Line 最新商业贿赂风险及加大力度的反不正当竞争法下的政府处罚: 如何判定企业是否违规

Qing Miao
Regional Compliance officer Asia
Benteler Automotive (China) Investment Ltd.

Jianwei (Jerry) Fang
Partner
Zhong Lun Law Firm (Shanghai)

• How seemingly small transactions can trigger big penalties
• What recent cases reveal about heightened risks for multinationals operating in China
• Strengthening approvals processes and internal controls: Best practices for books and records, sales incentives, gift & entertainment and employee activities
• Updating sales and marketing activities based on changing requirements
• Do’s and don’ts for:
  • sales incentives activities
  • recordkeeping and retention
  • gifts such as free equipment
  • monitoring your sales channel under the current new amendment

Hidden Conflicts of Interest: The Latest Best Practices for Addressing Grey Areas and Kickback Risks 如何处理隐蔽的利益冲突：灰色地带及回扣的最佳处理方法

Maggie Zhang
Senior Legal Counsel
UTC (Shanghai)

Bingna Guo
Partner
White & Case LLP (Beijing)

Richard Battaglia
Partner
Steptoe & Johnson LLP (Beijing)

Emily Jin
Regional Compliance Officer, Asia
Leoni (Shanghai)

• The most successful approaches to identifying conflict of interests
• Establishing appropriate business relationships with current and former government officials
• Controlling kickback risks
• Resolving complex scenarios involving different stakeholders

Coffee and Tea Break 茶点休息

Data Security: Interactive Discussion on the Top 3 Biggest Challenges 合规交流#2- 网络安全

Yuan Wang
Compliance Officer & Legal
GM (Shanghai)

Ivy (Qi) Mao
Senior Legal Counsel
Ebay

Barbara Tsai
APAC Head of Anti-Bribery & Corruption
Deputy Global Head of Anti-Bribery & Corruption
UBS (Shanghai)

Qian Liu
Partner
King & Wood Mallesons (Shanghai)

Part 1: How Industry is Implementing Local Restrictions Affecting Cross-Border Transfers 第一部分：企业在跨国数据传输如何符合中国网络安全法要求

• Status report on what has triggered penalties for data security violations
• Best practices for cross-border data transfers
• Defining “Critical Information Infrastructure”: When local government approval will be necessary for a data transfer
• Key elements of the pending data security law and guidelines
• Using and transferring consumer data: Pitfalls to avoid
• Key differences between the China Data Security landscape and GDPR
• Rolling out a successful marketing campaign within data security limits

• How to collect and use lawful consumer data for your marketing campaign
• HQ and local office data resource sharing
• Mitigating new challenges to business and operation digitalization

Network Luncheon 演讲嘉宾和与会代表共进午餐

INDUSTRY ROUNDTABLES DISCUSSIONS 行业分组讨论行

Victor Shen
Chief Legal Counsel
Henkel Greater China & Korea (Shanghai)

Barbara Tsai
APAC Head of Anti-Bribery & Corruption
Deputy Global Head of Anti-Bribery & Corruption
UBS (Shanghai)

Robert Ma
Legal Counsel Lead of China Legal Team
Texas Instruments (Shanghai)

Linda Zhang
Chief Compliance Officer
GE Aviation Asia

Yuan Wang
Compliance Officer & Legal
GM (Shanghai)

Led by industry leaders, select a table to benefit from smaller-group networking and benchmarking on high stakes legal and compliance challenges:  

1. Digitalization: Emerging Challenges to “Digitalizing” Business and Operations 企业讯息业务电子化的合规挑战
2. Managing a CSO (Contracted Service Organization) under the New “Two Invoices Policy” 在两票制的环境下管控签约服务机构
3. Marketing, Conferences, Sponsorship and CSR Activities 宣传，会议，赞助和慈活动的合规风险
4. Mitigating Risks in After Sales Service, OEM 售后服商风险防控
5. Addressing Bribery Risks posed by Project Bidding and Public Procurement 招投标和采购中的风险

China’s Blocking Statute on Judicial Sovereignty and the Interplay with FCPA Investigations: Securing Local Government Approval for Data Transfers While Avoiding DOJ Penalties 中国国际刑事司法协助法探讨：如何在新的法规下迎合DOJ的 合检查，掌控时间通过当地政府材料及数据批准

Jason Cao
Chief Legal Counsel
Dover China

Ken (Jian Min) Dai
Partner
Dentons (Shanghai)

Allen Wang
Arbitrator
Shanghai Intenational Arbitration Center (Shanghai)

David Zhang
Partner
Ropes & Gray LLP (Hong Kong)

• Common misunderstandings about China’s Blocking Statute on Judicial Sovereignty
• The scope of authority granted to the Chinese Government
• Inside the approvals process to transfer documentation
• To what extent privilege could apply
• What to do if you do not receive approval under the Blocking Statute

Special Considerations for Online Vendors, Business Activities and Customer Payments 比较交流#3:网络上的供应商，商业活动及客户付款的风险控制

• Tailoring your due diligence process to the challenges of vetting small online vendors
• Innovative and lawful due diligence methods under the Limited Public Information
• Due diligence of new and longstanding subcontractors: How much is enough
• What to do if you have limited choice of vendors or subcontractors
• Update on new, emerging risks posed by online transactions
• The finer points of vetting and monitoring an online business partner
• Books and records best practices for online activities

Coffee and Tea Break 茶点休息

Global Sanctions Trends and Categories: How to Proactively Update Your Program in Response to Rapidly Changing Regulations 国际制裁的趋势：如何准备在瞬息万变的政策下，积极作好合规 更新

Asta Nie
Group Trade Manager
Microsoft (Shanghai, China)

Yi Jiang
International Trade Compliance, Central of Excellence
GE Global Operations

Tatman Savio
Partner
Akin Gump Strauss Hauer & Feld (Hong Kong)

• Status and key takeaways from the recent Sanctions cases and what they mean for industry in China
• Screening best practices: Updating your program as lists continue to change
• Practical tips for monitoring potential legislation and potential new sanctions targets
• How to measure and categorize clients or third parties depending on the level of risks and additions to the DN and other lists
• How to use internal resources efficiently to implement the compliance program into daily operations

Conference Concludes