Agenda
Day 1 — Main Conference
September 23, 2020
KEYNOTE & INTERVIEW
How the Swiss Government Works with Industry to Fight Corruption Post-UN, OECD and Council of Europe Conventions
Olivier BovetSenior AdvisorState Secretariat of Economic Affairs
Daniel BuhrPartnerLalive
What It Now Takes to Uncover Bribery and Money Laundering Post-PDVSA: Cross-Industry Lessons for How to Identify a “Financial Intermediary”
Thomas J. KofferGlobal Head – Anti-Bribery/Corruption & SanctionsCredit Suisse
Selma Della SantinaDirectorForensic 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 LacherGeneral CounselGenerali
Daniel GyselChief Compliance OfficerZurich Insurance
Flavio de SouzaChief Compliance OfficerNestle 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 MoosmayerMember of the Executive Committee and Chief Ethics, Risk and Compliance OfficerNovartis
Sandra MiddelGroup Compliance OfficerClariant International Ltd
Matthew HerringtonPartnerPaul Hastings (U.S.)
Matthias GstoehlPartnerLALIVE
Nic CarringtonPartnerDeloitte
- 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 KreijenAttorney-at-Law, Co-Head International Trade & CustomsLoyens & Loeff
Brian J. FlemingMemberMiller & 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 MazzonettoChief Privacy OfficerBruker
Sally KeppmannCompliance Manager & Data Privacy Lead EMEAArcher 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 BasarriCompliance OfficerFederation Internationale de l'Automobile (FIA)
Luis CuevasGlobal Ethics & Compliance DirectorReckitt Benckiser
William BarryMemberMiller & 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
Steve YoungGroup Compliance Head of Fraud and InvestigationsBank Lombard Odier & Co Ltd.
Sandra MiddelGroup Compliance OfficerClariant 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
Day 2 — Main Conference
September 24, 2020
FBI Special Update: The Latest on Investigative Priorities, and Cooperation with Swiss and International Authorities
SSA William L. PetersonLegal AttacheFederal 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.
Christel MercadePolicy OfficerEuropean Commission
Daniel WeberCounselWenger & Vieli Attorneys-at-Law
(former Deputy Head Investigations Switzerland at UBS)
Mortiz HomannManaging Director Corporate ComplianceEQS Group
Yuet Ming ThamGlobal Co-Head of the White Collar: Govt. Litigation & Investigations GroupSidley 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 GillieronPartnerFRORIEP
Rafael MerencioLegal CounselKBA-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 OphemGlobal General Counsel & EVPFresenius 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 TumaniPartnerKirkland & Ellis International
Robertson ParkPartnerMurphy & McGonigle (U.S)
(Former Assistant Chief Criminal Division, Fraud Section, U.S. Department of Justice)
Astrid Mignon ColombetPartnerAugust 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