Pre-Conference Workshops

Workshop A – Gifts, Travel, Entertainment and Hospitality in High-Risk Markets: A Practical Guide to Resolving Key Challenges-Aligning Compliance, Business Development, Sales and Marketing

Sep 22, 2020 9:00am – 12:30pm

Speakers

Sarah Klein
Partner
Kirkland & Ellis International LLP (UK)

Thomas Littlechild
EMEA Senior Counsel, Anti-Money Laundering, Sanctions, and Anti-Corruption (ASA)
Wells Fargo

Michael Casey
Partner
Kirkland & Ellis

Workshop B – ANTI-CORRUPTION CASE REVIEW: The Most Critical Updates on the Extra-Territorial Reach of the FCPA, UKBA, SAPIN II-and New Compliance Risks to Flag Now

Sep 22, 2020 1:30pm – 5:00pm

Speakers

Matthew Herrington
Partner
Paul Hastings (U.S.)

Hayley Ichilcik
Partner
Morrison & Foerster (International LLP)

Saqib Alam
Of Counsel
Morrison & Foerster LLP

Brady Cassis
Associate, Government Investigations and White Collar Defense
Paul Hastings

Day 1 - Wednesday, September 23, 2020

9:00
Co-Chairs’ Opening Remarks
9:10

KEYNOTE & INTERVIEW

How the Swiss Government Works with Industry to Fight Corruption Post-UN, OECD and Council of Europe Conventions
10:00
What It Now Takes to Uncover Bribery and Money Laundering Post-PDVSA: Cross-Industry Lessons for How to Identify a “Financial Intermediary”
10:45
Networking Break
11:15
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
12:15
Networking Luncheon
1:15
The Realities of FCPA Compliance in Switzerland: What Every Swiss Multinational Should Know About the Latest DOJ Guidance and Expectations
2:15
U.S. and EU Economic Sanctions Compliance in Practice: How Multinationals are Reconciling Varying Requirements and Agency Expectations
3:00
Networking Break
3:30
“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
4:15
The Changing Face of Third-Party Management and Liability Risks: How Industry is Revisiting and Upgrading Due Diligence, Onboarding, and Monitoring
5:15
Compliance Benchmarking & Networking Roundtables
6:00
End of Day 1

Day 2 - Thursday, September 24, 2020

9:00
Co-Chairs’ Opening Remarks
9:10
FBI Special Update: The Latest on Investigative Priorities, and Cooperation with Swiss and International Authorities
9:50
Special Update: The EU and Switzerland’s Advancement of Whistleblower Protection Law
10:50
Networking Break
11:15
Anti-Trust and Competition in Public Bidding: The Newest, Emerging Risk Factors That Can Derail Your Compliance Status, Reputation and Business Growth
12:00
Networking Luncheon
1:00

Fireside Chat

FCPA Penalties and Their Hidden Lessons: The Most Critical, Lesser-Known Takeaways from Recent Settlements
1:30

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
2:30
Conference Concludes

Day 1 - Wednesday, September 23, 2020

9:00
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

9:10

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.

10:00
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

10:45
Networking Break
11:15
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

12:15
Networking Luncheon
1:15
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

2:15
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

3:00
Networking Break
3:30
“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

4:15
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

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

5:15
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

6:00
End of Day 1

Day 2 - Thursday, September 24, 2020

9:00
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

9:10
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.

9:50
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

10:50
Networking Break
11:15
Anti-Trust and Competition in Public Bidding: The Newest, Emerging Risk Factors That Can Derail Your Compliance Status, Reputation and Business Growth

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?

12:00
Networking Luncheon
1:00

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.

1:30

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

2:30
Conference Concludes

Workshop A – Gifts, Travel, Entertainment and Hospitality in High-Risk Markets: A Practical Guide to Resolving Key Challenges-Aligning Compliance, Business Development, Sales and Marketing

Sep 22, 2020 9:00am – 12:30pm

Sarah Klein
Partner
Kirkland & Ellis International LLP (UK)

Thomas Littlechild
EMEA Senior Counsel, Anti-Money Laundering, Sanctions, and Anti-Corruption (ASA)
Wells Fargo

Michael Casey
Partner
Kirkland & Ellis

What is it about?

This special workshop will feature experts presenting and facilitating a lively exchange with delegates—via case studies and hypotheticals—on how to resolve the most vexing dilemmas regarding gifts, travel, entertainment and hospitality. Following an in-depth discussion of the above, panel experts will cover the gamut of practical solutions and lessons learned.

  • Sponsorship, donation, travel arrangements, conferences, advisory boards and other entertainment offerings under the microscope
  • Heightened risk factors confronting Swiss and international companies with operations in Switzerland, and how to set up controls to flag them early
  • How to determine what is a “reasonable” gift, entertainment or hospitality request
  • Leveraging analytical tools for robust oversight of corporate policies and proc
  • The finer points of inviting government officials to events and offering travel
  • What evidence is now required to prove the commercial purpose vs. public interest of sponsorship and donations
  • Fostering compliance awareness of marketing and sales managers: How to know if you are resonating
  • Best practices for ongoing training, programme stress-testing, internal controls, action plan building and employee hotline reporting

Workshop B – ANTI-CORRUPTION CASE REVIEW: The Most Critical Updates on the Extra-Territorial Reach of the FCPA, UKBA, SAPIN II-and New Compliance Risks to Flag Now

Sep 22, 2020 1:30pm – 5:00pm

Matthew Herrington
Partner
Paul Hastings (U.S.)

Hayley Ichilcik
Partner
Morrison & Foerster (International LLP)

Saqib Alam
Of Counsel
Morrison & Foerster LLP

Brady Cassis
Associate, Government Investigations and White Collar Defense
Paul Hastings

What is it about?

At this practical session, expert faculty members will take a deep dive into key Foreign Corrupt Practices Act, the UK Bribery Act and SAPIN II cases, with a special focus on their extra-territorial application and impact on multinationals. The speakers will then delve into the complexities of recent regulatory and enforcement matters toward imparting real-life lessons for industry moving forward. Gain helpful insights on the ins and outs of significant investigations and settlements, and how to leverage the lessons learned to better enhance your compliance status.

  • Who is covered by the FCPA, the UKBA and SAPIN II?
    • Companies and financial institutions
    • Individuals – what categories of persons who are covered by the Act
  • Key updates on the extra-territorial reach of the FCPA, UKBA and SAPIN II
  • Heightened risk factors post-Hoskins
  • Core elements of the FCPA: Key terms, requirements and common misconceptions
  • Inside the FCPA’s accounting provisions: Books and records, record keeping and internal controls requirements and standards
  • Permissible and impermissible payments: Contrasting varying, multi-jurisdictional provisions
  • Third party due diligence requirements: Agents, consultants and joint venture partners
  • Factors that trigger government investigations under the FCPA, UKBA and SAPIN II
  • What recent investigations and settlements reveal about DOJ, SEC, SFO and AFA expectations
  • Circumstances that have led to declinations, DPAs and NPAs
  • What does “cooperation” really mean for the authorities?
  • Critical takeaways from the DOJ’s Updated Guidance on The Evaluation of Corporate Compliance Programmes
  • Individual Liability: Prosecutions of individuals, including General Counsel, CCOs, VPs, Compliance Directors and more: The lengths and limits of personal liability exposure