5th Annual Anti-Corruption Nordics

Registration & Welcome Coffee

Co-Chairs’ Opening Remarks

GOVERNMENT PANEL AND Q&A

Anti-Corruption Enforcement Priorities, Multi-Jurisdictional Coordination and Priorities for Compliance in the Nordics

The panel of government decision-makers will offer their insights on the most recent developments over the last year, and their effects on industry’s compliance initiatives going forward. Topics will include:

• Enforcement trends and priorities on domestic and foreign investigation cases
• Cooperation with enforcement agencies and regulators at local, regional and international levels
• Challenges in building cases to prosecutions locally
• Lessons learned from Telia’s coordinated investigations and settlements
• Self-reporting and corporate compliance initiatives: what constitutes an acceptable defence

COMPLIANCE PROGRAMME 2.0 IN THE NORDICS

How Companies are Upgrading Global Anti-Corruption Policies, Procedures and Internal Controls

• What drives compliance programmes upgrade in the Nordics: rules, enforcement actions, risks or values?
• What metrics are used by Nordics companies to measure compliance upgrades and culture changes
• What resources and structures are necessary in the current Brazilian enforcement landscape and how to allocate available resources based on business model, business sector and other factors?
• How companies are innovating in using technologies, social media and big data for measuring global anti-corruption compliance programme and culture
• A different approach in testing the effectiveness of the compliance programme: key areas you should look at include your communication messages, leadership, HR…
• Proven tools and best practices multinational companies are implementing to avoid compliance fatigue across the organisation

Morning Refreshment Break

AUDIENCE POLLING

Clarifying the Status of Whistleblowers Within the Private and Public Sectors Across the Nordic Countries

• Key ethical considerations when designing and implementing your whistleblower programme
• How to establish a culture of trust and transparency and stress an anti-retaliation policy
• What are the consequences of blowing the whistle in the Nordic working life?
• How to promote open and fair communication breaking down the hierarchy, rewarding transparency
• How to manage an increasing number of claims to ensure a proper and timely response
• How to differentiate and manage a response to a claim vs. an “anonymous reporting”
• Handling privilege and confidentiality issues in whistleblower cases

INTERNAL INVESTIGATION PROTOCOLS

How to Effectively Structure, Scope and Manage the Process from Start to Finish

• How to assemble the team, determine the scope and engage different departments while ensuring that there is independence in the process
• What should be the role of the compliance officer in an internal investigation?
• Cultural considerations and practical interview techniques to ensure you get the information you are seeking in the jurisdiction where the facts took place
• How to deal with inconclusive findings and avoid any perceptions of “an unsatisfactory investigation
• How to communicate with the Nordics authorities regarding a potential violation — what protections are provided to the company?
• Determining how much you need to spend and how to control the risk of rising costs
• When to stop: How to know when to conclude the investigation
• Why some internal investigations do not detect the wrong doing?

Networking Luncheon

KEYNOTE ADDRESS

Responsible Investment in the Norwegian Government Pension Fund Global: Expectations for Anti-Corruption, Corporate Governance and Sustainability

Afternoon Refreshment Break

SFO KEYNOTE INTERVIEW

with Enforcement Agencies: Trends and Unique Considerations for the Nordic Region

At this special interview, enforcement authorities will offer their insights on the most significant developments over the last twelve months and what they mean for industry going forward. During this time, the distinguished speakers will answer questions, and comment on feedback provided by industry. Don’t miss this opportunity for live audience Q & A, so please bring your questions or alternatively you are welcomed to submit your questions in advance at [email protected].

FCPA Disclosure Case Studies: A Close Look at the Newest, Increased Multi-Jurisdictional Enforcement Risks and Their Impact on Your Self-Disclosure Calculus

F. Joseph Warin PC
Partner
Gibson Dunn & Crutcher LLP

Satnam Tumani
Partner
Kirkland & Ellis International LLP (UK)

During this practical, interactive session, experts will work through a series of hypothetical scenarios to discuss whether they would disclose under the circumstances. Participants will be able to compare their approaches and benchmark through discussion and Q & A. Topics will include:

• The most important factors that should drive disclosure considering recent global enforcement developments
• The impact of U.S. disclosures on foreign corruption investigations: When a U.S. disclosure can now be used against you by a foreign government
• Balancing disclosure obligations while preserving privilege
• Drafting the disclosure: Best practices

Closing Remarks of the Co-Chairs and End of the First Day of the Conference

Registration

Co-Chair’s Recap of Day 1 & Opening Remarks

KEYNOTE INTERVIEW

with the French Anticorruption Agency (AFA)

• Background to the Sapin II regime and its relevance to Nordics companies: scope of application and extraterritoriality
• The AFA’s ongoing audits on companies: what is the rationale and what the AFA’s questionnaire is looking to achieve?
• Status report on multi-jurisdictional investigations, cooperation and settlements among enforcement agencies

CHIEF COMPLIANCE OFFICER THINK TANK

The Evolving CCO Function: From Advising the Business, Interfacing with the Board and Regulatory Authorities to Managing New Personal Liability Risks

• What are the biggest compliance challenges and liability risks for chief compliance officers and how have they evolved?
  • Managing and mitigating regulatory risks
• How to ensure compliance is taken seriously at the Board level
• Do’s and don’ts when communicating compliance messages across the organisations: what resonate and what does?
• What steps can chief compliance officers take to manage personal liability risk?
• How to maintain communications with all relevant regulators, but also tracking regulatory changes
• How to engage with a range of technological developments and innovations

Morning Refreshment Break

Internal Control System in the Financial Sector: Risks, Enforcement Update and Key Takeaways

• What internal investigations have revealed about areas of risks and weak spots that weaken the effectiveness of banks’ internal controls systems
• What can go wrong when onboarding clients or monitoring accounts and ongoing transactions?
• How corporate vehicles, non-disclosed schemes or hidden structures can become illegal and risky
• Solidifying the compliance architecture of financial institutions to meet regulatory requirements considering current and future risks
• Cooperation among anti-money laundering and anti-corruption law enforcement agencies globally and how can they bring prosecution

AUDIENCE POLLING — HYPOTHETICAL SCENARIOS

Minimizing the Most Critical Third Party Risks: Transparency of Ownership Structures, Fictitious Vendors and Invoices, Payments, Lack of Data, GDPR and More

What would you do if…

• Scenario A) A third party provides certification, but refuses to answer further questions or provide specific requested documentation
• Scenario B) The ownership structure is convoluted and you are unable to determine if there is a risk of a government touch-point
• Scenario C) Accounting records point to risky payments, including potentially fictitious invoices and vendors
• Scenario D) The company must perform due diligence on third parties in compliance with GDPR: At what point screening can constitute a data breach?

Networking Luncheon

SUSTAINABLE REPORTING

How Companies are Integrating the Directive 2014/95/EU on Sustainability Reporting Channel into their Code of Ethics

• The scope and depth of the Directive’s expectations on companies
• Connecting companies’ culture of compliance, integrity and sustainability reporting
• Establishing a full scope compliance programme including managing human rights, business partner integrity, corruption and fraud risks
• Developing and embedding an Environmental, Social and Governance (ESG) framework: top down engagement to ensure ownership, collaboration and accountability at all levels

Afternoon Refreshment Break

Data Protection & GDPR Post-Implementation

Common challenges, adjustments and constraints in implementing the GDPR, what are the first data breaches and how to address them to prevent an enforcement action.

• Where do you focus your GDPR compliance efforts post-implementation?
• How the compliance department and the data privacy department work together to meet and maintain full compliance post GDPR
• How to maintain compliance with GDPR when handling employees and third parties’ personal data during internal investigations
• Measures to put in place to handle the data generated by companies’ whistleblowing systems and data collected in due diligence
• How do you deal with a request for the right to be forgotten in relation to data?
• Identifying what a data breach is, when it may occur and when it happened?
• How to deal with data breach and build a continuous relationship with your local data privacy authority

Co-Chairs’ Closing Remarks and End of Conference