Agenda

Pre-Conference Workshops

Workshop A — A Deep Dive into the Grey Areas of the FCPA, UKBA, Sapin II and German Law

Jun 23, 2020 8:30am – 12:00pm

Workshop B — Third Party & Supply Chain Management

Jun 23, 2020 1:30pm – 5:00pm

Special Pre-Conference Primer: The Top 10 Most Significant Global Anti-Corruption Cases in the Last 12 Months

Jun 23, 2020 5:00pm – 7:00pm

Day 1 - Wednesday, June 24, 2020

7:45
Registration & Welcome Coffee
8:30
Opening Remarks from the Co-Chairs
8:45
UKBA KEYNOTE ADDRESS AND Q&A
9:30
CORPORATE CULTURE & EMPLOYEE BEHAVIOUR
10:30
Networking Break
10:45
FCPA PROSECUTIONS ACROSS THE POND
11:30
COMPLIANCE BRAINSTORMING SESSION
12:30
NETWORKING LUNCHEON FOR ATTENDEES AND SPEAKERS
1:45
SPECIAL INTERVIEW
2:15
ADEQUATE PROCEDURES: 10 LESSONS IN 10 YEARS
3:00
Networking Break
3:15
LEGAL THINK TANK
4:15
INTERNATIONAL PROSECUTORS TOWN HALL
5:30
Conference Adjourns & Cocktail Reception

Day 2 - Thursday, June 25, 2020

8:00
Registration & Welcome Coffee

Compliance Officer Meet & Greet– Chatham House
9:00
Opening Remarks from the Co-Chairs
9:15
KEYNOTE ADDRESS
9:45
AML AND POCA ENFORCEMENT POST-BREXIT
10:45
Networking Break
11:00
SPECIAL INTERVIEW
11:30
WORLD BANK AND MDB DEBARMENT
12:30
Networking Luncheon

Technology and Compliance Boardroom Luncheon-and Demo (by invitation only)
1:45
COMPLIANCE STRATEGY SESSION
2:45
Networking Break
3:15
INVESTORS CORNER
4:15
GDPR “NAIL BITERS”
4:45
CLOSING DELIBERATION: YOUR ACTION PLAN FOR THE NEXT 12 MONTHS
5:15
Conference Concludes

Day 1 - Wednesday, June 24, 2020

7:45
Registration & Welcome Coffee
8:30
Opening Remarks from the Co-Chairs
8:45
UKBA KEYNOTE ADDRESS AND Q&A

The UK Bribery Act Year in Review: Important Updates on Enforcement Trends, DPAs, Multi-Jurisdictional Coordination and Priorities Moving Forward
9:30
CORPORATE CULTURE & EMPLOYEE BEHAVIOUR

Sustaining a Culture of Compliance and Integrity: What It Truly Takes to Drive Good Behaviour, Programme Implementation, Innovative Employee Training, and Messaging

During this highly anticipated session, expert speakers will share their experiences and lessons learned for fostering an ethical corporate culture amid challenging circumstances, including enforcement action, merger, uncertainty in emerging markets, and more.

  • How to influence behaviour to develop a strong culture of compliance today: Important takeaways on what has worked and what has proven ineffective
  • What success means to your business and your industry sector
  • What does it mean to be “ethical” in real life: Evaluating what is on paper vs. practice
  • How to measure the success and shortcomings of your compliance programme, including:
  • What to make of who is using the hotline
  • Effectiveness of using surveys
  • Assessing the tone at the top and in the middle
  • What have companies put in place to promote good behaviour and how to track and monitor it
  • Innovative and effective employee training and messaging that resonates with all corporate audience
  • The interplay of culture and corporate governance:
  • Trends in the board of directors’ expectations for culture, and where it sits on their lists of priorities
  • The roles of the board of directors and audit committees
  • Reporting to the board and audit committee on ethical culture
10:30
Networking Break
10:45
FCPA PROSECUTIONS ACROSS THE POND

Extra-Territorial FCPA Enforcement Post-Hoskins: Clarifying “Agency,” and DOJ and SEC Compliance Programme and Internal Controls Expectations

  • The importance of “agency” post-Hoskins case: How would the DOJ’s direction in prosecuting cases involving non-US citizens or entities with minimum connection to the US be affected
  • Prosecutions of individuals under the new DoJ policy
  • How the agencies evaluate “cooperation”: Trends in what meets the threshold and what doesn’t
  • When a company’s actions are enough to trigger favourable treatment under the policy vs. "aggravating circumstances,": Is there a difference between SEC and DoJ analyses?
  • Evaluation of Corporate Compliance Programmes: DoJ insights on how to interpret and apply the new guidance
  • Monitorships: Expectations of the agencies and application of DoJ’s policy – Selection of corporate monitors
  • Voluntary Disclosures: Is DoJ continuing to see an increase in self-disclosures post-Pilot Program?
  • How recent court decisions affect the future of FCPA enforcement, including privilege and disgorgement
  • How the SEC and DOJ will coordinate with foreign governments moving forward.
11:30
COMPLIANCE BRAINSTORMING SESSION

Before the event, participants will be invited to answer anonymous polling questions on sensitive compliance and investigations challenges. During the conference, the polling results will be revealed, followed by practical takeaways for your daily work.
12:30
NETWORKING LUNCHEON FOR ATTENDEES AND SPEAKERS
1:45
SPECIAL INTERVIEW
2:15
ADEQUATE PROCEDURES: 10 LESSONS IN 10 YEARS

The Unwritten Do’s and Don’ts for Adequate Procedures under the UKBA: Concrete Examples of What Does (and Doesn’t) Measure Up.

Ten years since its inception, the UK Bribery Act has significantly raised the bar on corporate liability and reorganised existing rules on tackling corruption. Adequate procedures are an essential part of the overarching ethics policy of every company.

In this new session, leading practitioners will reflect on the evolution of the "failure to prevent" model and the “adequate procedures” under section 7 and share what it means for their organisation’s compliance policy. Benefit from a unique opportunity to benchmark and to ask questions while gaining worthwhile strategic insights for confronting new challenges coming across your desk.

  • How can companies ensure that their “adequate procedures” are adequate and not just a ‘box-ticking’ exercise?
  • How the threat of the corporate offence of “the failure to prevent bribery” is now viewed by most companies that carry business in the UK
  • Key lessons learned from the judicial interpretation in Sweett Group Inc case vs. the DPA with Standard Bank plc
  • What role the culture of compliance, training, messaging and the senior management’s commitment to demonstrate adequate procedures is playing today and how companies have taken them on board
  • How industry and the community are tackling pending confusing aspects of section 7 moving forward
3:00
Networking Break
3:15
LEGAL THINK TANK

Multi-Jurisdictional Government and Internal Investigations: Critical, New Lessons on Self-Disclosure, Investigation Management and Cooperation with Enforcement Agencies

Benefit from a unique opportunity to ask your questions and gain worthwhile strategic insights for confronting new challenges coming across your desk. The discussion will include a special focus on the practical challenges affecting legal practitioners and how they are addressing them.

  • How to assemble the team, determine the scope and engage different departments while ensuring that there is independence in the process
  • Who should perform the internal investigation:  Audit vs. Legal/Compliance?
  • When to use external resources
  • Efficiency in staffing, discovery, technology
  • Mining and interpreting data during compliance monitoring, audits and investigations
  • What should go on “paper”
  • How to deal with inconclusive findings and avoid any perceptions of “an unsatisfactory” investigation
  • Fulfilling recommendations post-investigation
  • The most important factors that should drive disclosure considering recent global enforcement developments
  • How to communicate with the local authorities regarding a potential violation – What protections are provided to the company?
  • The practical impact of disclosures on foreign corruption investigations: When a local disclosure can now be used against you by a foreign government
Balancing disclosure obligations while preserving privilege
4:15
INTERNATIONAL PROSECUTORS TOWN HALL

Enforcement Officials Discuss Multi-Agency Information Sharing, Privilege, Self-Reporting, Global Settlements-and Take Your Questions

The participants will gain further insights on cross-agency coordination in global investigations and compliance expectations, along with an unparalleled opportunity to ask questions to a panel of enforcement officials.
Part I: Panel Discussion
Part II: Open Audience Q & A (Submit your questions anonymously to townhall@c5-online.com)

5:30
Conference Adjourns & Cocktail Reception

Day 2 - Thursday, June 25, 2020

8:00
Registration & Welcome Coffee

Compliance Officer Meet & Greet– Chatham House

The Compliance Officer Meet & Greet* is smaller-group networking and benchmarking exclusively designed for Compliance Officers or other Corporate Officers who hold similar titles with the same scope and level of job responsibilities. Participants will, once again, engage in discussion and best practices sharing on a broad range of compliance challenges,  ideas, dilemmas including risk assessment, anti-corruption, GDPR, behavioral compliance, corporate governance, cybersecurity, AML threats, and emerging risks.


* To ensure a dynamic interaction, attendance will be limited to a suitable number of qualified applicants. Submit your inquiry today.

9:00
Opening Remarks from the Co-Chairs
9:15
KEYNOTE ADDRESS
9:45
AML AND POCA ENFORCEMENT POST-BREXIT

Status Report on FCA, NCA and SFO Expectations, Priorities, Cooperation, and More

  • What are the priorities of fighting financial crime and tax evasion post Brexit?
  • How agencies are preparing for the potential adverse effect of Brexit on investigations and prosecutions – in terms of resources, management, and speed of cases
  • How the agencies evaluate “cooperation” and “voluntary disclosure”: Trends in what meets the threshold and what doesn’t
  • How recent cases affect the future of POCA enforcement, including privilege and settlements
  • How the agencies will coordinate with foreign governments moving forward
  • The agencies expectations on adequate procedures to prevent economic crime
  • Don’t miss more updates and insights on the most significant developments affecting the industry in the UK, as well as multinationals across Europe.
10:45
Networking Break
11:00
SPECIAL INTERVIEW
11:30
WORLD BANK AND MDB DEBARMENT

Where Multinationals and Contractors are Falling Short of the Integrity Compliance Expectations: World Bank, Asian Development Bank, EBRD and African Development Bank Perspectives

  • Recent activities and investigations conducted by multilateral development banks for corruption allegations
  • How do the banks define risk factors?
  • What do the investigations reveal, and what lessons compliance professionals can draw?
  • How are the banks involved, how are the investigations conducted, and what are the potential results?
  • The list of applicable sanctions
  • Potential cooperation and coordination between banks and national Authorities
12:30
Networking Luncheon

Technology and Compliance Boardroom Luncheon-and Demo (by invitation only)
1:45
COMPLIANCE STRATEGY SESSION

Achieving Programme Effectiveness and Efficiencies: How Companies and Financial Institutions Are Leveraging Anti-Bribery Controls to Strengthen AML, Fraud, Sanctions and More Compliance Bases

  • What recent investigations and prosecutions have revealed about areas of risks and weak spots that fail the effectiveness of internal controls systems
    • How the cases have affected overall industry compliance efforts
  • How have companies been conducting the risk assessment, and what types of risks have been identified?
  • Where anti-Corruption, AML, KYC, FCA reporting obligations do overlap for your organisation and how to establish an adequate defence
  • How companies are ranking and managing interrelated risk factors
  • How can corporate vehicles, non-disclosed schemes, or hidden structures become illegal and risky for the organisation?
  • How to strengthen, focus compliance controls processes towards addressing a variety of risks and ensure that it delivers
2:45
Networking Break
3:15
INVESTORS CORNER

Investor Expectations for Anti-Bribery Compliance, Transparency and Good Governance: Sovereign Wealth Fund and PE Executives Discuss Changes to Investment Decision-Making and Priorities

  • The latest approaches used by investors to identify and measure new, emerging risk factors
  • What risk management practices are deemed satisfactory for a positive investment decision – and what aren’t?
  • What “investor value” means for investors and how it is assessed and measured
  • What checks and audits investors conduct on target evaluate a strong and sustainable ethical culture
  • Scenarios that can lead to divestments, observation, and exclusion of companies
  • What powers investors must refer a target company to the local authorities
4:15
GDPR “NAIL BITERS”

During this interactive session, participants will learn how the industry is addressing the very grey areas of GDPR compliance. Gain practical know-how for getting GDPR right and reducing the risk of big-ticket penalties. Four significant cases include:

  • Google vs. The French Data Regulator (CNIL)
  • Centro Hospitalar Barreiro Montijo vs. The Portuguese Data Protection Authority or DPA (CNPD)
  • Knuddels.de vs. The State Commissioner for Data Protection and Freedom of Information Baden-Wuerttemberg (LfDI) in Germany
  • The Austrian DPA (DSB) vs. an Unnamed Limited Liability Company
4:45
CLOSING DELIBERATION: YOUR ACTION PLAN FOR THE NEXT 12 MONTHS

Anti-Corruption Compliance Programme Testing, Metrics and KPIs: Measuring Effectiveness, Scoring Your Programme and Flagging Weak Spots Before It’s Too Late
5:15
Conference Concludes

Workshop A — A Deep Dive into the Grey Areas of the FCPA, UKBA, Sapin II and German Law

Jun 23, 2020 8:30am – 12:00pm

What is it about?

At this practical session, expert faculty members will delve into the complexities and grey areas of the FCPA, UKBA, Sapin II, and German. They will focus on crucial real-life lessons for the industry moving forward as global enforcement intensifies. This working group will provide helpful insights for individual and corporate risk mitigation and how to leverage the lessons learned to enhance compliance programme better and respond to the government’s audit and investigations. Participants will benefit from smaller-group learning, enhanced Q & A, and reference materials prepared by the expert speakers. Topics will include:

The United Kingdom

  • The UK’s new Senior Managers and Certification regime
  • DPAs and Self-reporting: The balance between discounts on financial penalties and effective deterrence.
  • Approaches to individual liability and resolution for the prosecution of individuals
  • Privilege protection: When the SFO expects companies to share written notes of internal investigation interviews
  • Corporate hospitality: where businesses should draw the line between genuine hospitality and excessive generosity, which is, in effect, a bribe?
  • How much cooperation exists between the CPS, SFO, Police, NCA, HMRC, and others?

In the USA

  • Are the FCPA books and records and internal controls provisions limitless? How do you evaluate risk when dealing with SEC and DOJ interpretations that seem capable of stretching to fit the facts of every case?
  • Where is the line between goodwill and bribery? How do you measure the nexus between the provision of something of value and obtaining or retaining business?
  • Who am I? The unique challenges faced by foreign private issuers under the FCPA.

Germany

  • The expansion of bribery offences, e.g., by the so-called business owner model (Geschäftsherren-modell) and specific corruption regulation in the healthcare sector.
  • Increased personal responsibility for compliance matters – Increasing the number of lawsuits and judgments on compliance duties and failures of executive bodies.
  • Introduction of “Corporate Criminal Liability” under the Ministerial draft on the Law of Combating Corporate Crime ("Verbandssanktionengesetz"): What would be the most important consequences for corporations if the draft comes into force?
  • The particular form of "compliance instructions," the certification by "an external body," procedural flexibility such as DPAs

France

  • Key takeaways of the new CJIP Guidelines – what are the French authorities’ expectations of companies? What are the questions still unanswered?
  • AFA’s Enforcement Practices – What does the AFA Sanctions Committee expect? What practices are in breach of the Sanctions Committee’s view?
  • Merger & Acquisition Guidelines published by the AFA – due diligence methodology would be adopted throughout M&A transactions.
  • The reform of the French Blocking Statute, what is the current uncertainty on the content and calendar of the change.

Workshop B — Third Party & Supply Chain Management

Jun 23, 2020 1:30pm – 5:00pm

What is it about?

At this practical, industry-driven working group, expert speakers will discuss how companies are using a tiered due diligence approach based on the appropriate risk level and type of the third party in question. The session will discuss the onboarding process, the continued monitoring throughout the life of the relationship, how to re-evaluate your risk ranking approach, and manage the costs of a robust third party programme.

Recent settlements have seen companies admitting payments to politically-connected individuals and falsifying books and records to conceal payments to vendors associated with politicians.
Don’t miss this worthwhile opportunity to upgrade your best practices. Discover how your approach to managing high stakes risks compares to your peers, and benefit from essential takeaways for your work. There will be ample time for Q & A, so please bring your questions!

  • How far you need to go in vetting 1st, 2nd, 3rd, 4th, and lower third parties
  • How to incorporate adequate front-end vetting and screening protocols based on the type of relationship and interests represented by the third party
  • Developing a model that stratifies your risk based on third parties — and how to perform due diligence accordingly
  • What you need in a questionnaire for third parties
  • Addressing resistance to follow-up questions after an initial questionnaire
  • Impact of GDPR on the third party due diligence
  • How much due diligence is enough: How to know if your approach is genuinely "risk-based."
  • Unique challenges associated with critical types of third parties for your global business
  • When and how much due diligence to perform for an ongoing, existing third party relationship
  • Understanding the local business environment, customs, and practices
  • What to do with information uncovered during the vetting process: How to evaluate red flags
  • When should the relationship be approved, and who should approve it?
  • Making the decision regarding which parties to use/not use: “On the Ground” obstacles to monitoring third party conduct
  • Contract and administration management: what is the scope of services in the contract?
  • Contract performance and payments: the importance of the "proof of services."
  • Audit rights and compliance training for third parties — how often should they be performed?
  • Suspension of payments and services for suspected breach of compliance requirements
  • Where multinationals are most at risk and how to implement an effective global internal system of controls
  • Special considerations for exercising audit rights
  • When and how much to train third parties

Special Pre-Conference Primer: The Top 10 Most Significant Global Anti-Corruption Cases in the Last 12 Months

Jun 23, 2020 5:00pm – 7:00pm

What is it about?

Ensure that you are up-to-speed on the top 10 most significant cases over the last 12 months, along with critical updates that will lay the groundwork for the main conference discussions.
Leading defense counsel involved in some of the most significant, high profile cases will dissect critical updates and settlement trends affecting your risk calculus, compliance program, and internal investigations.
Seating is limited! Due to popular demand, we encourage you to reserve your space early. Key topics will include:

  • Dissecting the top 10 most significant, surprising and impactful cases in the last 12 months
  • Which industries have been under the microscope, and what recent cases reveal about the potential for new "industry sweeps."
  • Recent cases impacting the future of settlements locally and globally
  • Which circumstances have led to declinations, DPAs and NPAs
  • Which cases have led to an SEC settlement, but a DOJ declination – and why
  • What has triggered suspicion and a government investigation
  • What key settlements reveal about DOJ and SEC expectations
  • Trends in settlements, including penalty structures and remediation requirements
  • How the agencies have applied for cooperation credit
  • Insights on coordination with foreign enforcement agencies
  • How to leverage the critical lessons from settlements toward effecting compliance improvements in your organisation