Co-Chairs’ Opening Remarks

Steve Young
Group Compliance Head of Fraud and Investigations
Bank Lombard Odier & Co Ltd.

Sandra Middel
Group Compliance Officer
Clariant International Ltd

KEYNOTE & INTERVIEW

How the Swiss Government Works with Industry to Fight Corruption Post-UN, OECD and Council of Europe Conventions

Olivier Bovet
Senior Advisor
State Secretariat of Economic Affairs

Moderator:

Daniel Buhr
Partner
Lalive

Switzerland’s ratification of three major anticorruption conventions (UN, OECD, Council of Europe) has repercussions for the Swiss government and companies. The aim of the presentation is to describe the effects of these conventions in Switzerland and outline the way government assists companies in fighting international corruption.

What It Now Takes to Uncover Bribery and Money Laundering Post-PDVSA: Cross-Industry Lessons for How to Identify a “Financial Intermediary”

Thomas J. Koffer
Global Head – Anti-Bribery/Corruption & Sanctions
Credit Suisse

Selma Della Santina
Director
Forensic Risk Alliance

In the wake of the Petróleos de Venezuela, S.A. (PDVSA) bribery case, the Swiss Attorney General offices and FINMA are currently conducting investigations of suspected misconduct and legal violations.

• Evolution of ABC and AML compliance in banking
• Recent cases and lessons learned
• Defining the role of a financial intermediary
• Implementing internal controls that can meet regulator expectations
• The scope of due diligence and controls to mitigate the risk of bribery involving an intermediary and/or professional enabler
• Scope of in-house legal and compliance officers’ obligations to investigate potential red flags and monitor suspicious activity

Networking Break

The Evolving Roles of Chief Compliance Officers and General Counsel: Perspectives on What It Takes to Create Cross-Departmental Synergy, and Delineate Roles and Responsibilities

Alexander Lacher
General Counsel
Generali

Daniel Gysel
Chief Compliance Officer
Zurich Insurance

Flavio de Souza
Chief Compliance Officer
Nestle Group

New for 2020, General Counsel and Chief Compliance Officers will discuss their evolving roles, and how to create synergy for optimal compliance and risk management:

• CCO vs. GC: To what extent the roles and responsibilities overlap
• Should compliance be considered a separate function from legal?
• Structuring your GC and CCO job descriptions based on key factors, including:
  • Company size?
  • Industry sectors?
• Creating synergy and collaboration between legal and compliance:
  • Policymaking
  • Training
  • Legal and image of the company?
• Varying GC and CCO approaches to investigations policies

Networking Luncheon

The Realities of FCPA Compliance in Switzerland: What Every Swiss Multinational Should Know About the Latest DOJ Guidance and Expectations

Dr. Klaus Moosmayer
Member of the Executive Committee and Chief Ethics, Risk and Compliance Officer
Novartis

Sandra Middel
Group Compliance Officer
Clariant International Ltd

Matthew Herrington
Partner
Paul Hastings (U.S.)

Matthias Gstoehl
Partner
LALIVE

Moderator:

Nic Carrington
Partner
Deloitte

• What is expected under the DOJ Guidance on the Evaluation of Corporate Compliance Programmes
• What is now required for self-disclosure, cooperation credit and remediation
• Practical impact of DoJ’s guidance on:
  • internal investigations
  • Compliance training and re-training, including for senior management

U.S. and EU Economic Sanctions Compliance in Practice: How Multinationals are Reconciling Varying Requirements and Agency Expectations

Gerard Kreijen
Attorney-at-Law, Co-Head International Trade & Customs
Loyens & Loeff

Brian J. Fleming
Member
Miller & Chevalier Chartered

• How the EU is taking a tougher stance on sanctions enforcement
• Reconciling conflicts between EU and U.S. Sanctions
• Industry compliance dilemmas: What to do in the event of persisting conflicts of law
• Special considerations for Venezuela, Iran, and Russia sanctions
• Practical strategies for managing increasing, cross-border enforcement risks

Networking Break

“Stories from the Trenches”- GDPR and the Swiss Data Protection Act in Real Life: Concrete Examples of Compliance and Integration by Swiss Multinationals and Subsidiaries

Angela Mazzonetto
Chief Privacy Officer
Bruker

Sally Keppmann
Compliance Manager & Data Privacy Lead EMEA
Archer Daniels Midland

• The finer points of managing data transfers between Switzerland and EU countries
• Real-world examples of successful GDPR implementation and cost-efficiency
• The pros and cons of using the same data transfer service provider in a different country
• Assessing the interplay between the Swiss Data Protection Act and GDPR

The Changing Face of Third-Party Management and Liability Risks: How Industry is Revisiting and Upgrading Due Diligence, Onboarding, and Monitoring

Paolo Basarri
Compliance Officer
Federation Internationale de l'Automobile (FIA)

Luis Cuevas
Global Ethics & Compliance Director
Reckitt Benckiser

Moderator:

William Barry
Member
Miller & Chevalier

Part I: Best Practices

• Best practices for implementing a risk-ranking and classification methodology for different types of risk (legal, operational, reputational) and third parties (agents, distributors)
• Understanding the local business environment, customs and practices and their impact on your third-party vetting and monitoring
• How companies are updating their risk-based programs and tailoring them 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 and auditing third parties, including distribution and sub-distribution networks

Part II: Africa, Cyprus and the Middle East

• Concrete Examples of Effective Third-Party Management

Compliance Benchmarking & Networking Roundtables

Steve Young
Group Compliance Head of Fraud and Investigations
Bank Lombard Odier & Co Ltd.

Sandra Middel
Group Compliance Officer
Clariant International Ltd

Select one of two tables to benefit from smaller-group networking and professional development. Take this unique opportunity to ask questions and hear stories from experts who have “seen it all”.

a) WAR STORIES: When Your Bad News is Big News: Critical Lessons on How to Put Out Simultaneous Legal and PR Fires

b) RISK ASSESSMENTS IN REALITY: Concrete Examples of “Value-Add” Takeaways for Your Analysis, Global Program, Operations and Business

End of Day 1

Co-Chairs’ Opening Remarks

Steve Young
Group Compliance Head of Fraud and Investigations
Bank Lombard Odier & Co Ltd.

Sandra Middel
Group Compliance Officer
Clariant International Ltd

FBI Special Update: The Latest on Investigative Priorities, and Cooperation with Swiss and International Authorities

SSA William L. Peterson
Legal Attache
Federal Bureau of Investigation

As multi-jurisdictional enforcement continues to rise, audience members will benefit from in-person updates from the only FBI Legal Attaché based in Switzerland.

Topics will include:

• To what extent does the FBI cooperate with Swiss enforcement authorities in tackling corruption, AML and bribery
• Update on cross-agency information sharing, self-reporting, cooperation and global settlements.
• How the FBI in Switzerland works with the DOJ and other U.S. enforcement agencies.

Special Update: The EU and Switzerland’s Advancement of Whistleblower Protection Law

Christel Mercade
Policy Officer
European Commission

Daniel Weber
Counsel
Wenger & Vieli Attorneys-at-Law
(former Deputy Head Investigations Switzerland at UBS)

Mortiz Homann
Managing Director Corporate Compliance
EQS Group

Moderator:

Yuet Ming Tham
Global Co-Head of the White Collar: Govt. Litigation & Investigations Group
Sidley Austin

Part I: Global Whistleblowing Update: Status and Impact of New Whistleblower Protections

• EU’s Whistleblowing Directive
• Swiss Government’s anticipated plans to update whistleblower laws

Part II: Practical Implementation

• Concrete examples of how to handle a whistleblower complaint for Examining whistleblowing framework of a major Swiss bank
• Incorporating whistleblowing laws into corporate policies and procedures
• Discover how acting in the “first instance” will help corporate organisations to reduce the risks of enforcement and reputational damage

Networking Break

Anti-Trust and Competition in Public Bidding: The Newest, Emerging Risk Factors That Can Derail Your Compliance Status, Reputation and Business Growth

Dr Hubert Orso Gillieron
Partner
FRORIEP

Rafael Merencio
Legal Counsel
KBA-NotaSys SA

• The latest approaches to managing the most critical, newfound risks, including exaction and extortions
• Managing the involvement of middlemen and brokers to win a contract: How to avoid commissions that could be considered a bribe
• Risks to fair competition and corruption inherent in cartel formation and public tenders
• Updates on the EU Commission’s anonymous leniency program 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?

Networking Luncheon

Fireside Chat

FCPA Penalties and Their Hidden Lessons: The Most Critical, Lesser-Known Takeaways from Recent Settlements

Cornelis van Ophem
Global General Counsel & EVP
Fresenius Medical Care

Enforcement Actions

• Analysing DOJ and SEC developments:
  • check-to-cash, charities and travel/gifts/entertainment and customs payments
  • Warehousing/storage, consultancy & commission payments
  • Direct commission payments, agency and distribution
  • Employee bonus payments and services company
• Quantifying the direct and intangible impact of misbehaviour to an organisation

DPAs, NPAs, Settlements and Remediation

• Key lessons learned in respect to:
  • DOJ and SEC standards of proof
  • Timing of disclosure
  • Selecting outside counsel
• Strengthening corporate culture at all levels of your organisation.

CROSS-BORDER RISK MANAGEMENT & PROSECUTIONS THINK TANK

The Interplay of SAPIN II, UKBA, Strafgesetzbuch, FCPA & Swiss Enforcement: Cross-Agency Cooperation — and What It Means for Your Individual and Corporate Exposure

Satnam Tumani
Partner
Kirkland & Ellis International

Robertson Park
Partner
Murphy & McGonigle (U.S)
(Former Assistant Chief Criminal Division, Fraud Section, U.S. Department of Justice)

Astrid Mignon Colombet
Partner
August Debouzy

Attend this critical, closing session for strategic insights on the cross-border enforcement landscape, and mitigating new individual and corporate liability risks. Expert practitioners and former prosecutors will address important, new trends and pressing issues to flag now.

Topics of discussion will include:

• Contrasting U.S. and UK approaches to individual liability: DoJ, SEC vs. SFO
  » Takeaways from recent Serious Fraud Office cases
  » The UK’s new Senior Managers and Certification Regime
  » U.S. emphasis on the naming of wrongdoers
• Examples of successful defence strategies and settlements
• In-house and outside counsel, compliance officers and financial executives under the microscope: Defence counsel perspectives on emerging new liability trends
• The move toward prosecutions of corporate gatekeepers, including general counsel, chief compliance officers, and accountants
• Recent enforcement actions against individual executives and key takeaways
• Strafgesetzbuch:
  • Getting updates on the latest enforcement scenarios
  • The latest standard and framework for prosecution
• SAPIN II:
  • How companies are mitigating exposure
  • How are companies integrating SAPIN II into their current compliance programs
• Contrasting penalty trends for individuals vs. corporations

Conference Concludes