Day 1 - Wednesday, April 1, 2020

8:00
Registration and Morning Refreshments
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
Special Update: The EU and Switzerland’s Advancement of Whistleblower Protection Law
11:40
Part 2: Practical Implementation
12:15
Networking Lunch
1:15
The Realities of FCPA Compliance in Switzerland: What Every Swiss Multinational Should Know About the Latest DOJ Guidance and Expectations
2:15
Anti-Trust and Competition in Public Bidding: The Newest, Emerging Risk Factors That Can Derail Your Compliance Status, Reputation and Business Growth
3:00
Networking Break
3:15
“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
4:00
The Changing Face of Third-Party Management and Liability Risks: How Industry is Revisiting and Upgrading Due Diligence, Onboarding, and Monitoring
5:00
Compliance Benchmarking & Networking Roundtables
6:00
End of Day 1
Networking Drinks Reception hosted by PIT-logo

Day 2 - Thursday, April 2, 2020

8:30
Special Breakfast Briefing – The Present and Future of the Gold Market for Financial Institutions
9:00
Co-Chairs’ Opening Remarks
9:10
FBI Special Update: Latest International Law Enforcement Cooperation for Corruption Investigations
9:50
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
10:45
Networking Break
11:15
U.S. and EU Economic Sanctions Compliance in Practice: How Multinationals are Reconciling Varying Requirements and Agency Expectations
12:00
The New Standard for Innovation in Anti-Corruption Compliance Training: A Survey of Recent Videos and What They Reveal about How (and How Not) to Resonate
12:45
Networking Lunch
1:45
Fireside Chat – FCPA Penalties and Their Hidden Lessons: The Most Critical, Lesser-Known Takeaways from Recent Settlements
2:15
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
3:15
Conference Concludes

Day 1 - Wednesday, April 1, 2020

8:00
Registration and Morning Refreshments
9:00
Co-Chairs’ Opening Remarks

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

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 with SECO
Federal 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”

Sterling Daines
Global Head Financial Crime Compliance
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.

  • Scope of in-house legal and compliance officers’ obligations to investigate potential red flags and monitor suspicious activity
  • Defining the role of professional facilitators
  • Implementing anti-money laundering and internal controls that can meet FINMA expectations
  • Focus on external asset managers:
    • The scope of due diligence and controls to mitigate the risk of bribery involving an intermediary and/or professional enabler
  • Evaluating the ROI of AML software compliance solutions: Their lengths and limits

10:45
Networking Break
11:15
Special Update: The EU and Switzerland’s Advancement of Whistleblower Protection Law

Maria R. Mollica
Policy Officer
European Commission

Part 1: Global Whistleblowing Update:

Status and impact of new whistleblower protections:

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

11:40
Part 2: Practical Implementation

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

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

  • Concrete examples of how to handle a whistle-blower complaint
  • 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

12:15
Networking Lunch
1:15
The Realities of FCPA Compliance in Switzerland: What Every Swiss Multinational Should Know About the Latest DOJ Guidance and Expectations

Matthew Herrington
Partner
Paul Hastings (U.S.)

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
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?

3:00
Networking Break
3:15
“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

  • 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

4:00
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)

Robert Fairless
Assistant General Counsel, Asia and Africa Region
Bayer Pharmaceuticals

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: Special Focus on Africa, Cyprus and the Middle East: Concrete examples of effective third-party management

  • Concrete Examples of Effective Third-Party Management

5:00
Compliance Benchmarking & Networking Roundtables

Raimund Roehrich
Global Head FCC
Bank Julius Baer & Co. Ltd.

Steve Young
Group Compliance Head of Fraud and Investigations
Banque Lombard Odier & Cie SA.

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
Networking Drinks Reception hosted by PIT-logo

Day 2 - Thursday, April 2, 2020

8:30
Special Breakfast Briefing – The Present and Future of the Gold Market for Financial Institutions

New for this year, this breakfast briefing focuses on the challenges of the current gold market for the Swiss banking and financial sectors. Discover what is keeping your peers up at night, the latest trading standards and new, emerging money laundering risks.

9:00
Co-Chairs’ Opening Remarks
9:10
FBI Special Update: Latest International Law Enforcement Cooperation for Corruption Investigations

SSA William L. Peterson
Speaker Guest Speaker
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
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

Daniel Gysel
Chief Compliance Officer
Zurich Insurance

Alexander Lacher
General Counsel
Generali

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

10:45
Networking Break
11:15
U.S. and EU Economic Sanctions Compliance in Practice: How Multinationals are Reconciling Varying Requirements and Agency Expectations

Brian Fleming
Partner
Miller & Chevalier

  • 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

12:00
The New Standard for Innovation in Anti-Corruption Compliance Training: A Survey of Recent Videos and What They Reveal about How (and How Not) to Resonate

Svetlana Makarova
Market Compliance Leader, Europe
Nokia

Kerstin Waltenberg
Group Compliance Head of CoC Strategic Business Units
Volkswagen AG

Aneta Wierzynska
Senior Specialist Anti-Corruption and Impact, The Global Fund to Fight AIDS
Tuberculosis and Malaria

Kaisa Karvonen
Director
Forensic Risk Alliance

  • Contrasting in-person vs. online training: Pros and cons
  • What works and what doesn’t: Examples of the most effective training programs
  • How to leverage HR as a gatekeeper for training implementation
  • Best practices to monitoring staff and detecting suspected or actual wrong doing
  • Control points within an organization, determine the effectiveness of control risks?
  • Effective training approaches for:
    • General management
    • Sales
    • Procurement

12:45
Networking Lunch
1:45
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.

2:15
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

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

Astrid Mignon Colombet
Partner
Cabinet Soulez Larivière & Associés (FRA)

Satnam Tumani
Partner
Kirkland & Ellis International (U.K)

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

3:15
Conference Concludes

Workshop A – 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

Mar 31, 2020 9:00am – 12:30pm

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 captured
  • 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
  • The Lengths and Limits of Individual Liability: Prosecutions of individuals, including General Counsel, CCOs, VPs, Compliance Directors and more

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

Mar 31, 2020 1:30pm – 5:00pm

Alexander Ghazvinian
Chief Compliance Officer
SCIPA

Dr. Thomas Werlen
Managing Partner Switzerland
Quinn Emanuel Urquhart & Sullivan (Schweiz) GmbH

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