Agenda (British Summer Time)
- Jump to:
- At a Glance
- Day 1
- Day 2
- Add-Ons
- Print-friendly Format
Pre-Conference Workshops
Workshop A — A Deep Dive into the Grey Areas of the FCPA, UKBA, Sapin II, and German Law: Inside the Hidden, Unwritten Lessons for Individual and Corporate Risk Mitigation
Sep 14, 2020 8:30am – 12:00pm
Speakers
Nicole Willms
Partner
POHLMANN & COMPANY, Germany
Polly Sprenger
Partner
Addleshaw Goddard LLP, UK
Emmanuel Breen
Counsel
Laurent Cohen-Tanugi Avocats
William Barry
Partner
Miller & Chevalier
Workshop B — Third Party & Supply Chain Management Roadmap: How (and How Not) to Vet, Onboard, Monitor and Audit Contract Performance, Payments and Compliance in High-Risk Markets
Sep 14, 2020 1:00pm – 4:30pm
Speakers
Rhibetnan Yaktal
Global Head of Compliance
Puma Energy
Artur Nagapetyan
Vice President, Head of Compliance International Markets
Teva Pharmaceuticals
Tony Charles
Chief Client Officer
STEELE Compliance Solutions, Inc. (U.S.)
Day 1 - Tuesday, September 15, 2020
Day 2 - Wednesday, September 16, 2020
| 9:00 |
Opening Remarks from the Co-Chairs |
| 9:05 |
SPECIAL KEYNOTE ADDRESS |
| 9:35 |
AML AND POCA ENFORCEMENT POST-BREXIT: Status Report on Agency Expectations, Priorities, Cooperation, and More |
| 10:30 |
Break |
| 11:00 |
WORLD BANK AND MDB DEBARMENT |
| 12:00 |
Achieving Programme Effectiveness and Efficiencies: How Companies and Financial Institutions Are Strengthening AML, Fraud, Sanctions and More Compliance Risks |
| 1:00 |
Lunch Break |
| 2:00 |
Corporate Governance Corner |
| 3:00 |
GDPR “NAIL BITERS” |
| 4:00 |
Conference Concludes |
Day 1 - Tuesday, September 15, 2020
| 9:00 |
Opening Remarks from the Co-Chairs Sir David Green QC  Gaon Hart |
| 9:15 |
The UK Bribery Act Year in Review: Important Updates on Enforcement Trends, DPAs, Multi-Jurisdictional Coordination and Priorities Moving Forward Lisa Osofsky |
| 9:45 |
Sustaining a Culture of Compliance and Integrity: What It Now Takes to Drive Good Behaviour, Programme Implementation, Employee Training, and Messaging Laurence Perrin-Rees  Luis Cuevas  Mikael Karlsson Moderator: Nathan H. Seltzer During this highly anticipated session, expert speakers will share their experiences and lessons learned for fostering an ethical corporate culture amid challenging circumstances, including an enforcement action, merger, uncertainty in emerging markets, and more.
|
| 10:45 |
Break |
| 11:15 |
The Unwritten Do’s and Don’ts for Adequate Procedures under the UKBA: Concrete Examples of What Does (and Doesn’t) Measure Up. Dame Alison Saunders  Dylan G. Moses Gaon Hart  Tapan Debnath 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.
|
| 12:15 |
Compliance Brainstorming Session Michelle Dyer  Wassila Messaoudi  Gonzalo Guzman 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. |
| 1:00 |
Lunch Break |
| 2:00 |
SPECIAL INTERVIEW with Airbus Group General Counsel John Harrison Moderator: Caroline Black |
| 2:30 |
Multi-Jurisdictional Government and Internal Investigations: Critical, New Lessons on Self-Disclosure, Remote and In-Person Investigations and Cooperation with the Agencies Joshua Drew  Giovanni Paolo Falcetta  Satnam Tumani 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 compliance professionals, and how they are addressing them.
|
| 3:30 |
Extra-Territorial FCPA and Fraud Enforcement: Clarifying “Agency,” and DOJ and SEC Compliance Programme and Internal Controls Expectations Vanessa Sisti  Leslie R. Backschies Moderator: William J. Stuckwisch
|
| 4:30 |
Conference Adjourns |
Day 2 - Wednesday, September 16, 2020
| 9:00 |
Opening Remarks from the Co-Chairs |
| 9:05 |
SPECIAL KEYNOTE ADDRESS John Penrose MP |
| 9:35 |
AML AND POCA ENFORCEMENT POST-BREXIT: Status Report on Agency Expectations, Priorities, Cooperation, and More Elizabeth Baker  Nick J. Stevens Debbie Price Moderator: Stuart Alford QC
|
| 10:30 |
Break |
| 11:00 |
WORLD BANK AND MDB DEBARMENT Chiawen Kiew  Alexandra Malina Manea  Duncan Smith Where Industry is Falling Short of the Integrity Compliance Expectations: World Bank, Asian Development Bank, EBRD, and African Development Bank Perspectives
|
| 12:00 |
Achieving Programme Effectiveness and Efficiencies: How Companies and Financial Institutions Are Strengthening AML, Fraud, Sanctions and More Compliance Risks Joe Smith  Tracey Dovaston
|
| 1:00 |
Lunch Break |
| 2:00 |
Corporate Governance Corner Lucy Cox  Helen Croke Gaon Hart
|
| 3:00 |
GDPR “NAIL BITERS” William Long Gain practical know-how for getting GDPR right and reducing the risk of big-ticket penalties. Four significant cases include:
|
| 4:00 |
Conference Concludes |
Workshop A — A Deep Dive into the Grey Areas of the FCPA, UKBA, Sapin II, and German Law: Inside the Hidden, Unwritten Lessons for Individual and Corporate Risk Mitigation
Nicole Willms
Partner
POHLMANN & COMPANY, Germany
Polly Sprenger
Partner
Addleshaw Goddard LLP, UK
Emmanuel Breen
Counsel
Laurent Cohen-Tanugi Avocats
William Barry
Partner
Miller & Chevalier
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 Roadmap: How (and How Not) to Vet, Onboard, Monitor and Audit Contract Performance, Payments and Compliance in High-Risk Markets
Rhibetnan Yaktal
Global Head of Compliance
Puma Energy
Artur Nagapetyan
Vice President, Head of Compliance International Markets
Teva Pharmaceuticals
Tony Charles
Chief Client Officer
STEELE Compliance Solutions, Inc. (U.S.)
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
