Day 1 - Tuesday, September 15, 2020

9:00
Opening Remarks from the Co-Chairs
9:15
The UK Bribery Act Year in Review: Important Updates on Enforcement Trends, DPAs, Multi-Jurisdictional Coordination and Priorities Moving Forward
9:45
Sustaining a Culture of Compliance and Integrity: What It Now Takes to Drive Good Behaviour, Programme Implementation, Employee Training, and Messaging
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.
12:15
Compliance Brainstorming Session
1:00
Break
2:00
SPECIAL INTERVIEW with Airbus Group General Counsel
2:30
Multi-Jurisdictional Government and Internal Investigations: Critical, New Lessons on Self-Disclosure, Remote and In-Person Investigations and Cooperation with the Agencies
3:30
Extra-Territorial FCPA and Fraud Enforcement: Clarifying “Agency,” and DOJ and SEC Compliance Programme and Internal Controls Expectations
4:30
Conference Adjourns

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
Morning Break
11:00
WORLD BANK AND MDB DEBARMENT: 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
1:00
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

Michelle Dyer
Vice President, Risk, Compliance & ESG
American Express Global Business Travel

Gaon Hart
Global Anti-Bribery & Corruption Policy & Education Lead
HSBC

9:15
The UK Bribery Act Year in Review: Important Updates on Enforcement Trends, DPAs, Multi-Jurisdictional Coordination and Priorities Moving Forward

Lisa Osofsky
Director
UK Serious Fraud Office (SFO)

Moderated by:

Sacha Harber-Kelly
Partner
Gibson, Dunn & Crutcher LLP

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
Chief Compliance Officer
CHANEL

Luis Cuevas
Global Ethics & Compliance Director
Reckitt Benckiser

Moderator:

Nathan Seltzer

Nathan H. Seltzer
Partner
Latham & Watkins LLP (U.S./UK)

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.

  • What success means to your business and your industry sector
  • How to influence behaviour to develop a strong culture of compliance today: What has worked and what has proven ineffective
  • 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
  • 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

10:45
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
Partner
Linklaters

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Dylan G. Moses
Partner
K&L Gates LLP

Gaon Hart
Global Anti-Bribery & Corruption Policy & Education Lead
HSBC

Tapan Debnah

Tapan Debnath
Head of Investigations UK & EMEA
Nokia

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.

  • Ensuring 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 conduct business in the UK
  • Key lessons learned from the judicial interpretation in Sweett Group Inc case vs. the DPA with Standard Bank plc
  • Culture of compliance, training, messaging and the senior management’s commitment to demonstrate adequate procedures:
  • How companies are evolving their approaches
  • How industry is tackling vexing aspects of Section 7 moving forward
  • Voluntary Disclosures: Is DoJ continuing to see an increase in self-disclosures post-Pilot Program?
  • Insights on privilege and disgorgement
  • How the SEC and DOJ coordinate with foreign governments

12:15
Compliance Brainstorming Session

Michelle Dyer
Vice President, Risk, Compliance & ESG
American Express Global Business Travel

Wassila Messaoudi
Regional Compliance Officer for Middle East and Africa Region
LafargeHolcim

Gonzalo Guzman
General Counsel | Anti-Corruption & Business Integrity Officer | Latin America
UNILEVER

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
Break
2:00
SPECIAL INTERVIEW with Airbus Group General Counsel

John Harrison
Group General Counsel and Member of the Executive Committee
Airbus

Moderator:

Caroline Black
Partner
Dechert LLP

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
Former Group Chief Ethics & Compliance Officer, VEON

Giovanni Paolo Falcetta
Partner
TozziniFreire (Brazil)

Satnam Tumani
Partner
Kirkland & Ellis LLP

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.

  • 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 vs. keep it in-house
  • Efficiency in staffing, discovery, technology and more
  • 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 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

3:30
Extra-Territorial FCPA and Fraud Enforcement: Clarifying “Agency,” and DOJ and SEC Compliance Programme and Internal Controls Expectations

Vanessa Sisti
Assistant Chief, FCPA Unit
Fraud Section, Criminal Division U.S. Department of Justice

Leslie R. Backschies
Chief, International Corruption Unit
Federal Bureau of Investigation

Moderator:

William J. Stuckwisch
Partner
Kirkland & Ellis LLP

  • Update on investigations and prosecutions amid Covid-19
  • “Agency” post-Hoskins: The scope of individual liability risks for non-US citizens or entities
  • 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 Guidance
  • Monitorships: Expectations of the agencies and application of DoJ’s policy
  • Voluntary Disclosures: Is DoJ continuing to see an increase in self-disclosures post-Pilot Program?
  • Insights on privilege and disgorgement
  • How the SEC and DOJ coordinate with foreign governments

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
Prime Minister's Anti-Corruption Champion

9:35
AML AND POCA ENFORCEMENT POST-BREXIT: Status Report on Agency Expectations, Priorities, Cooperation, and More

Elizabeth Baker
Head of the Proceeds of Crime and International Assistance Division
Serious Fraud Office (SFO)

Gary Miles
Head of Economic Crime
Metropolitan Police

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Debbie Price
Deputy Director
National Economic Crime Centre, NCA

Moderator:

Stuart Alford

Stuart Alford QC
Partner
Latham & Watkins LLP

  • 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

10:30
Morning Break
11:00
WORLD BANK AND MDB DEBARMENT: Where Industry is Falling Short of the Integrity Compliance Expectations: World Bank, Asian Development Bank, EBRD, and African Development Bank Perspectives

Chiawen Kiew
Associate Director, Investigations
European Bank for Reconstruction and Development (EBRD)

Alexandra Malina Manea
Legal Counsel, Office of Suspension and Debarment
The World Bank

Duncan Smith
Deputy Head of Fraud Investigations
The European Investment Bank (EIB)

Moderator:

Barry Vitou
Shareholder
Greenberg Traurig, LLP

  • Recent activities and investigations conducted by multilateral development banks for corruption allegations
  • How do the banks define risk factors?
  • What do recent investigations reveal, and what new 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

12:00
Achieving Programme Effectiveness and Efficiencies: How Companies and Financial Institutions Are Strengthening AML, Fraud, Sanctions and More Compliance Risks
Joe Smith

Joe Smith
Director, Global Financial Crime Counsel
Barclays Bank PLC

DovastonTracey

Tracey Dovaston
Partner
Boies Schiller Flexner LLP

  • Internal Controls: What recent investigations and prosecutions have revealed about areas of risks and weak spots, and how they have affected overall industry compliance efforts
  • How have companies been conducting risk assessments, and what types of risks have been identified?
  • Where anti-corruption, AML, KYC, FCA reporting obligations overlap and how to establish an adequate defence
  • How companies are ranking and managing interrelated risk factors
  • When corporate vehicles, non-disclosed schemes, or hidden structures become illegal and risky for the organisation?
  • Strengthening compliance controls processes towards addressing a variety of risks and ensure that it delivers

1:00
Break
2:00
Corporate Governance Corner
Lucy Cox

Lucy Cox
European Legal Counsel
KKR Credit

Helen Croke

Helen Croke
Partner
Ropes & Gray

Gaon Hart
Global Anti-Bribery & Corruption Policy & Education Lead
HSBC

  • 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

 

3:00
GDPR “NAIL BITERS”

William Long
Partner
Sidley Austin LLP

During this interactive session, participants will learn how the anti-corruption community 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

4:00
Conference Concludes