Pre-Conference Workshops — 5 November 2019

Workshop A (9:00—12:30) Third Party Due Diligence Dilemmas on the Ground: A Step-By-Step Roadmap to Making Tough Legal and Compliance Calls, and Addressing “Red Flags”  

Pedro Montoya
Chief Compliance and Risk Officer

María Hernández
Partner, Head of Compliance
Eversheds Sutherland Nicea


Whether you are new to the area of third party due diligence or a seasoned professional, the tools required for effective third party management continue to change. Added to this is the reality that certain jurisdictions present unique, heightened risks and obstacles to tailoring your programme to each specific context. With evolving legal, compliance and geopolitical realities, take advantage of this unique opportunity for a smaller-group, candid discussion of lessons learned. Ample time will be left for Q&A, so please bring your questions! Topics will include:

  • The newest triggers for investigations, prosecutions and penalties for third party misconduct
  • Strengthening your due diligence risk flagging process and procedures
  • KYC, beneficial ownership and increased transparency: Why it has become ever more important and how it is interpreted differently in the EU vs. other jurisdictions
  • Best practices for implementing a risk-ranking and classification methodology for different types of risk (legal, operational, reputational) and third parties (agents, distributors)
  • Deciding whether or not to on-board a third party: Unspoken lessons for making the tough call
  • Understanding the local business environment, customs and practices and their impact on your third party vetting and monitoring
  • How companies are changing their best practices for a risk-based programme tailored to a specific country and/or region
  • When and how much to train third parties, and how much is “too much”
  • On the ground obstacles to monitoring third party conduct, including distribution and sub-distribution networks
  • Knowing how far down the supply chain to go: How to know when to stop
  • Designing a questionnaire for third parties: What type of information to include
  • Concrete examples of addressing resistance to follow-up questions after an initial questionnaire
Workshop B (13:30—17:00) A Practical Guide to Resolving Complex Gifts, Travel, Entertainment and Hospitality Challenges: How to Support your Business Development, Sales and Marketing Teams within Compliance Parameters  

Pedro Montoya
Chief Compliance and Risk Officer

Rocío Gil Robles
Director, Criminal Law & Corporate Compliance
Andersen Tax & Legal, Spain

  This special workshop will feature experts presenting and facilitating a lively exchange with delegates – via interactive exercises, case studies and hypotheticals –on the greatest risks regarding gifts, travel, entertainment and hospitality. Following a discussion of the above, panel experts will examine and propose practical solutions to complex common relationship-building scenarios, which can result in a corruption investigation.
  • Sponsorship, donation, travel arrangement, conferences, advisory boards and other entertainment offerings under the microscope:
  • What unique risks gifts, travel, entertainment & hospitality present to Spanish and international companies with operations in Spain, and how to set up controls to flag them early
  • Who determines what is a “reasonable” gift, entertainment or hospitality request? What are the factors you need to consider and how do you do it?
  • How to apply the analytical tools available to assure appropriate oversight of your corporate policy regarding gifts, entertainment & hospitality
  • How to manage the risks of inviting government officials to events and offering travel
  • What evidence is sufficient to prove the commercial purpose vs. public interests of sponsorship and donations
  • How to make your marketing and sales managers aware of potential bribery and corruption issues
  • Best practices for ongoing training, programme stress-testing, action plan building, employee hotline reporting

Main Conference Day 1 — 6 November 2019

Registration and Continental Breakfast
Conference Co-Chairs’ Opening Remarks  

Teresa Serrano Sordo
Spain Chief Compliance Officer
American Express

Carlos López Agudo
Chief Compliance Officer

Óscar Morales
Partner Responsible for the Criminal Area of UM in Barcelona, Doctor in Law and Professor of Criminal Law
Uría Menéndez

KEYNOTE INTERVIEW: Status Quo of Corporate Criminal Liability Case Law  

Antonio del Moral
Magistrado del Tribunal Supremo

Moderator: Óscar Morales
Partner Responsible for the Criminal Area of UM in Barcelona, Doctor in Law and Professor of Criminal Law
Uría Menéndez

Article 130.2 of the Spanish Criminal Code and the Expected Impact on Liability in M&A Deals  

Óscar Morales
Partner Responsible for the Criminal Area of UM in Barcelona, Doctor in Law and Professor of Criminal Law
Uría Menéndez

Coffee & Networking Break
CHIEF COMPLIANCE OFFICER THINK THANK & OPEN AUDIENCE Q&A Optimizing Your Global Anti-Corruption Compliance Program: Recent Innovations, Successes and Lessons Learned  

Manuel Crespo de la Mata
Chief Compliance Officer

Fernando Fraile González
Chief Compliance Officer
Iberdrola España

Pedro Montoya
Chief Compliance and Risk Officer

Javier Prados
General Counsel & Board Secretary

  This unique panel brings together Chief Compliance Officers from various key industries for a candid conversation and exchange of viewpoints regarding highly complex issues surrounding anti-corruption, risk-ranking of compliance priorities, and the evolving role of the CCO in Spain and abroad. Importantly, speakers will address the challenge of tailoring compliance strategies to the unique Spanish context, while also taking into account global developments regarding the FCPA and other international anti-corruption legislations. Topics will include:
  • Personal liability: Perspectives on the evolving compliance function and new individual enforcement risks
  • Compliance programme implementation: Focus on budget, resources and certification
  • Corporate governance: What matters to the board: how to craft your message and resonate amid new corporate governance priorities and pressures
  • Cybersecurity: The evolving role of compliance in managing breach response and the internet of things: how CCOs can become integral to combatting internal and third party security risks
  • Global compliance programme testing: How to know if you are “localizing” your risk-based programme: key metrics, risk and performance indicators
  • What’s not coming across your desk: How to know if you have put out fires and covered all compliance bases
  • Effectiveness and efficiency in Spain vs. the EU vs. USA: How to determine whether your compliance programme is working
  • Effective, ongoing training for clients and employees at all levels of your company: How to communicate the value of the compliance programme to your clients
  • How to protect your company’s reputation
ROUNDTABLE AND OPEN Q&A WITH FORMER U.S. AND U.K. PROSECUTORS FCPA and UKBA Enforcement Priorities, and What They Mean for Spanish Multinationals  

Tarek Helou
Wilson Sonsini Goodrich & Rosati (USA) (Former Assistant Chief, FCPA Unit Fraud Section, Criminal Division U.S. Department of Justice, 2014-2019)

John W. Gibson
Cohen & Gresser LLP (Reino Unido) (Former Senior Prosecutor, Serious Fraud Office, 2014-2018)

  Amid a major Spanish multinational being fined for FCPA-related violations, the long arm of U.S. enforcement has taken on heightened relevance – and Spanish companies are feeling the urgency. During this special panel, compliance and anti-corruption officers will have an opportunity to ask their most pressing questions directly to FCPA and UKBA experts, who previously served as U.S. and UK prosecutors. Don’t miss this opportunity to join a candid session on critical issues coming across your desk.
COMPLIANCE IN PUBLIC ADMINISTRATION AND LIABILITY OF POLITICAL PARTIES Anti-Corruption Compliance at All Levels of State and Local Government, and Comunidades Autónomas  

María Belén López Donaire
Letrada Coordinadora del Gabinete Jurídico de Castilla-La Mancha
Gobierno de Castilla-La Mancha

Jordi Gimeno Bevia
Doctor en Derecho, Prof. Derecho Procesal UCLM. Director Académico de Internacionalización
Universidad de Castilla-La Manch (UCLM)

Esther Moratiel Pellitero
Secretaria General
Gicaman SA

  • Can Italy’s Autorità Nazionale Anticorruzione (ANAC) be a model for keeping Spain’s public administriation clear of corruption?
  • How the case and ruling Spain’s Partido Popular (PP) on charges of illegal kickbacks, fraud and money laundering has changed the perception of public parties, and what it mean for companies
  • Corporate liability of political parties and the Ley de Contratos del Sector Público
  • Financing of political parties in Spain, where they have “fallen short” in the past, and how to mitigate risks faced by public servants at all levels of government
  • Practical examples of working with state-owned companies connected to (and financed with) public funds
Networking Lunch
KEYNOTE The European Union’s New Law on the Protection for Whistleblowers  

Virginie Rozière
Miembro del Parlamento Europeo (2014-2019) y negociador de la ley de 2019 sobre la protección de los delatores en la UE

WHISTLEBLOWING STRATEGY SESSION How Companies Can Nurture an Effective “Speak-Up” Culture and Scope an Appropriate Action Plan After Internal Reporting  

Juan Verdú Lázaro
General Counsel, Compliance Officer & Board Secretary
LafargeHolcim España

Camilo Alberto Enciso Vanegas
Former Secretario de Transparencia –“Zar Anticorrupción”
Presidencia de la República de Colombia

Christian Laveau
Chief Audit – Risk Management – Compliance & Quality Officer
ADP International (ADP Group)

Mark Kelleher
International Sales Director
NAVEX Global

  • PART I: Panel discussion
  • PART II: Case study – Hear from a company that has weathered a high-profile whistleblower incident
  • Anonymous whistleblowing under EU-wide GDPR vs. non-anonymous whistleblowing (Spanish national law) – are they compatible?
  • How to handle a whistleblower from inside your company versus one from the outside (such as a competitor) or from the government
  • Protecting a whistleblower who reports potential misconduct from retaliation and safeguard anonymity
  • How to handle whistleblower complaints and protect anonymity in the context of an internal investigation
  • Artículo 31 bis 5 del Código Penal
  • Implementing “whistleblowing guidelines” issued by various organizations, such as the Latin American Compliance Network
  • When to launch an internal investigation
  • Identifying the right action plan and protocols, including document collection, fact finding and interviewing
  • The extent to which whistleblowing is a leniency factor in the sentencing of corrupt behavior: Encouraging internal reporting
  • Extracting lessons from the anti-trust and competition area
  • Whistleblowing and Data Privacy: Ensuring compliance with GDPR, and the involvement of the human resources department
Coffee & Networking Break
GDPR: What Industry in Spain and Across the EU is Doing to Design Preventative and Detective Controls on Data Usage  

Paula Ortiz López
Director of Legal and Institutional Affairs
IAB Spain

Magdalena Costales Morgado
Senior Legal Counsel, Spain Device Business Department
Huawei Technologies España S.L

Berta Balanzategui Vidal
Senior European Privacy & Data Protection Counsel
GE Corporate, General Electric

  • Best practices for screening and due diligence of customer and consumer data
  • Data warehouse (dynamic) and data lake (static): Knowing the purpose of the data and how to put it to use for compliance
  • The role of the data protection officer in compliance
  • A question of resources: big vs. small companies
  • Knowledge, skills and other attributes required for a CPO (independence, free of conflict of interest, etc.)
  • Who does the CPO report to (board, audit department, ombudsman)?
  • An internal or external data protection officer?
  • Has GDPR changed the whistleblowing landscape?
THE LATEST TECHNOLOGY AND SOLUTIONS FOR COST SAVINGS AND INCREASED EFFICIENCY OF YOUR PROGRAMME: Data Analytics, Machine Learning and Artificial Intelligence for Compliance in Spain  

Alonso Hurtado Bueno
Partner IT, Risk & Compliance

Jesús Pindado Delgado
Compliance & Operational Risk Control Director, Secretary to the Board
UBS Securities España S.V, SA

Alvaro Saavedra López
Solutions & Business Dev. Leader, Banking & Financial Markets Spain, Portugal, Greece & Israel

Daniel Solís Portillo
Head of Legal
Havas Media Group Spain

  • Best practices for applying technology in a novel approach toward mitigating compliance risks
  • Determining which data mining and collection will fit your company’s needs, and determining which type of data actually serves your company’s needs
  • How much to spend on the right solution – and how much is too much? Conducting a cost-benefit analysis of available solutions
  • Using technology to monitor employee awareness and compliance
  • How technology can aid in the process of conducting an investigation
  • Lessons on the prominence of data in investigations, and how technology is aiding the uncovering of corrupt conduct
  Join a roundtable at day’s end to exchange views, debate questions and share experiences on current industry challenges. Each roundtable has a focus topic, a host facilitator, and is scheduled to last one hour.   ROUNDTABLE 1: Strategies on Promoting Implementation of Integrity Compliance Programs to Advance Integrity Principles and Deter Misconduct

Joseph C. Mauro
Integrity Compliance Specialist
Integrity Vice Presidency

The World Bank Group

  ROUNDTABLE 2: Implementing a Compliance Programme in a Public vs. Private Company

Marta Campomanes
Corporate Compliance Manager

  ROUNDTABLE 3: Anti-Corruption and Anti-Money Laundering

Jesús Pindado Delgado
Compliance & Operational Risk Control Director, Secretary to the Board
UBS Securities España S.V, SA

End of Day 1

Main Conference Day 2 — 7 November 2019

Continental Breakfast
Conference Co-Chairs’ Remarks
REFORM OF THE SPANISH CRIMINAL CODE (FEBRUARY 2019) New Risks for Individuals and Companies Bidding for Public Contracts: Status of Criminal Liability Resulting from Embezzlement (Malversación) in Public Tenders  

Francisco Bonatti Bonet
Managing Partner
Bonatti Penal & Compliance

Víctor M. Sunkel

  • Circular 1/2016 regarding the corporate criminal liability according to the 2015 criminal code amendment
  • From civil to criminal liability: What the reform of the Spanish Criminal Code reform of February 2019 means for executives (such as company directors and board members) and businesses operating in Spain
  • Potential fines for trying to influence a public authority for a public contract
ANTI-TRUST AND COMPETITION IN PUBLIC BIDDING: How to Address New, Emerging Risks That Can Derail Business Growth Opportunities  

Carlos Balmisa García-Serrano
Director Departamento Control Interno
Comisión Nacional de los Mercados y la Competencia (CNMC)

Antonio Guerra Fernández
Uría Menéndez

  • How to manage the biggest risks, identify red flags, safeguard against submitting to exaction and extortion
  • Managing the involvement of middlemen and brokers to win a contract: How to avoid commissions that could be interpreted as bribery
  • Risks to fair competition and corruption inherent in cartel formation and public tenders
  • Expectations for the EU Commission’s anonymous eLeniency programme for whistleblower companies that report anti-competitive practices online
  • Related AML risks: How to meet recent compliance requirements to prevent money laundering under the 4th European directive?
  • How to respond to a dawn raid by enforcement authorities
Coffee & Networking Break
CASE STUDIES INTERNAL INVESTIGATIONS: How to Overcome the Biggest Challenges, Including the Interplay of Data Privacy, Attorney-Client Privilege, and Labor Law  

Elena del Tiempo Matanzo
Chief Compliance Officer
Transfesa Logistics Group

Juan Ignacio Canosa Sevillano
Global Sustainability/Compliance, Compliance Director Spain
AstraZeneca Farmacéutica Spain SA

Alfredo Domínguez Ruiz-Huerta
Cuatrecasas, Gonçalves Pereira

  Panellists will explore the best practices of conducting internal investigations, to demonstrate effective investigation approaches – and what not to do. Topics will include:
  • Determining the sequence of appropriate actions that your company should follow, such as document collection, fact finding, and interviewing
  • How to decide which departments to involve in the process (e.g., audit, HR, sales, marketing)
  • How to deal with document holds and potentially relevant information: Instant messaging services, cell phone records, and texts
  • Corporate documents in possession of third parties: How to assess the importance of bank records in corruption investigations
  • Managing the review of overseas information: Data privacy and blocking statutes
  • How to reduce the risk of spiralling costs and knowing when to conclude an investigation: What regulators will expect you to have on file
  • Preservation of attorney-client privilege: Who should conduct preliminary interviews, when to bring in outside counsel, and how to communicate with corporate boards
SPECIAL CEO INTERVIEW The Bigger Picture: A CEO’s Perspective on Anti-Corruption Compliance and How it Fits Into a Multinational’s Broader Business Objectives  

Isidoro Miranda Fernandez
LafargeHolcim España Vice President of the Board and President of the Steering Committee
European Cement Association (CEMBUREAU)

Miguel Ángel López
CEO, Siemens España President, Siemens Gamesa Renewable Energy

  This special session will offer a glimpse into the mind of a leading CEO and how anti-corruption compliance ranks among priorities and is viewed at the C-suite level.
Networking Lunch
LEGAL EXPOSURE IN SPAIN & LATIN AMERICA: The Domino Effect of Cross-Border Investigations, and Your Self-Disclosure Calculus  

Camilo Alberto Enciso Vanegas
Former Secretario de Transparencia –“Zar Anticorrupción”
Presidencia de la República de Colombia

Luis Anibal Ceserani
Member of the Criminal Chamber of Appeals
Supreme Court of Rio Negro (Argentina)

Michel Sancovski
Tauil & Chequer Advogados en colaboración con Mayer Brown LLP (Brasil)


Matteson Ellis
Miller & Chevalier Chartered (EE. UU.)

Pedro Serrano Espelta
Marval, O’Farrell & Mairal (Argentina)

  • The domino effect: How and when an investigation in one country can easily “spill over” into others
  • When will multiple investigations be considered “piling on” as defined by the U.S. DOJ?
  • Disclosure calculus: How to decide whether and how much to disclose to local (and international) enforcement authorities
  • Main concerns when conducting an internal investigation in and between Spain and Latin America
  • Which Latin American government authorities have the powers of investigation, prosecution and enforcement in cases of bribery and corruption?
  • The extent of corporate and individual liability of Spanish law if a Spanish multinational falls afoul of compliance rules abroad
Coffee & Networking Break
COMPLIANCE VS. LEGAL / “HARD LAW” VS. “SOFT LAW” The Line Between “Legal” and Ethics & Culture: How to Optimize the Structure of Your Legal Department and Compliance Programme  

Isabel Salazar
Head of Integrity – Compliance Office
Telefónica, S.A.

Teresa Serrano Sordo
Spain Chief Compliance Officer
American Express

José F. Zamarriego
Member of Code Compliance Network (CCN) and Chairman of Code Complain Procedure Adjudication Group
International Federation of Pharmaceutical Manufacturers & Associations (IFPMA)

  On this panel, expert speakers will discuss how to analyze corruption risk by juxtaposing “hard” law and “soft” law. While the former generally refers to written regulations (approved by authorities and de facto signed into law, from criminal to administrative law), the latter denotes a company’s or organization’s code of conduct and general “intention” to comply. How and in what ways the two types differ, why it is important to treat them separately, and how compliance officers can practically address these challenges on a day-to-day level will be the focus of this panel.
IN-HOUSE COMPLIANCE OFFICER ROUNDTABLE What Is Keeping You Up at Night?   This special “closing” session is your opportunity to ask your remaining, pressing questions to a select group of in-house experts. Don’t miss the opportunity to directly engage with Spain’s foremost compliance leaders.
Conference Concludes