Third Party Risk Assessment and Management: How to Apply the Right Level of Due Diligence, Audit and Monitor Your Contractors, Intermediaries, Distributors and Agents

May 27, 2015 1:00pm -

Speakers

Franz D’Lima
General Counsel
NPS MedicineWise

Emily Peters
Group General Counsel - Asia Pacific
The Weir Group

Caitlin Barrah
Legal Counsel
Rockwell Automation

Adam Hing
Senior Ethics & Compliance Officer
Parsons Brinckerhoff

How to Update and Localise your Global Anti-Corruption Programme to Protect Against the Unique Pitfalls and Risks of Operating in China

May 27, 2015 5:30pm -

Speakers

Graham Wladimiroff
Assistant General Counsel, Legal Director Asia Pacific
Akzo Nobel (China) Investment Co (Shanghai)

Kim Nemirow
Partner
Ropes & Gray (Hong Kong)

Li Chian See
Senior Vice President
Blackstone (Hong Kong)

Day 1 - Thursday, May 28, 2015

8:00
Registration and Coffee
8:30
Opening Remarks from the Chairs
8:45
Enforcement and Prosecution Roundtable: Whatthe Latest Investigations Reveal About How YourCompany Should Prepare to Meet Rising GovernmentExpectations
10:00
Morning Refreshments
10:30
Thorough and Effective Risk Assessments:What Your Process Should Look Like to IdentifyDiverse and Interconnected Local & InternationalRisks From Anti-Corruption to Anti-Trust
11:30
Controlling Bribery Risks When Interacting withInfluential Local Decision-Makers: Risk ManagementStrategies for Obtaining Market Access Rights, Pricingand Other Regulatory Approvals
12:15
Compliance Programme Benchmarking – PollingQuestions and Audience Participation
12:30
Networking Lunch
1:30
BREAKOUT SESSION A
2:20
BREAKOUT SESSION B
3:10
Afternoon Refreshments
3:30
BREAKOUT SESSION C
4:20
Foreign Bribery Focus: Inside Australian Policy and Enforcement Abroad
5:00
The Art of Conducting Effective Internal Investigations: How to Manage Investigative Approach, Evidence Preservation, Voluntary Disclosures and Local Law Pitfalls
6:00
Chairs’ Closing Remarks

Day 2 - Friday, May 29, 2015

8:45
Opening Remarks from the Chairs
9:00
Compliance Programme Benchmarking: How Global Compliance Programmes are Evolving and How to Select the Ideal Structure for your Company’s Greatest Risks
10:30
Morning Refreshments
11:00
Developing Protocols to Handle A Dawn Raid & Protect Individuals: What Would You Do if the Authorities Knocked Tomorrow?
11:45
PSB and SAIC’s Corruption Crackdown in China: Status Report on Enforcement of Chinese Pricing,Competition and Anti-Corruption Laws
12:30
Chairs’ Adjourning Remarks followed by Networking Lunch

Day 1 - Thursday, May 28, 2015

8:00
Registration and Coffee
8:30
Opening Remarks from the Chairs

Mini vandePol
Partner
Baker & McKenzie

Michelle Wagner
Health Care Compliance Sector Lead, Medical Devices Asia Pacific
Johnson & Johnson

8:45
Enforcement and Prosecution Roundtable: Whatthe Latest Investigations Reveal About How YourCompany Should Prepare to Meet Rising GovernmentExpectations

Marcus Bezzi
Executive General Manager, Competition Enforcement
Australian Competition and Consumer Commission

Chris Savundra
Senior Executive Leader, Markets Enforcement
Australian Securities & Investments Commission

Shane Kirne
Deputy Director, Practice Group Commercial, Financial and Corruption
Commonwealth Director of Public Prosecutions

Commander Linda Champion
Manager, Fraud and Anti-Corruption
Australian Federal Police

Panel Moderator:

Steven Fleming
Partner
Jones Day

In this direct and uncompromising roundtable discussion, senior prosecution and enforcement agencies come together to discuss the latest investigations against corporations and individuals, while looking at prosecution guidelines, how they choose who to prosecute, and how they decide on penalties.

  • What is driving recent enforcement actions and investigative trends?
  • Forms of cooperation amongst investigators and prosecutors and their limits: how parallel investigations between countries and regulators are changing the enforcement landscape
  • Common triggers for the commencement of an investigation: what sources of information are most commonly used and relied upon?
  • Prosecution and sanction of employee as well as company: pros and cons
  • Investigative tools and resources: how violations are discovered
  • Prosecutors’ view of the cornerstones of anti-corruption compliance programmes
  • Prioritising investigations: how prosecutors assess the seriousness of a violation
  • How would the willingness of companies to cooperate with prosecutors at the very early stage of the investigation affect its outcome?

10:00
Morning Refreshments
10:30
Thorough and Effective Risk Assessments:What Your Process Should Look Like to IdentifyDiverse and Interconnected Local & InternationalRisks From Anti-Corruption to Anti-Trust

Rob Locke
Oceania Managing Partner, Fraud Investigation & Dispute Services
EY

Patrick Christian
Senior Business Risk Analyst
General Motors Holden

Glynn Mayne
Corporate Compliance Manager, Australasia
GSK

Liz Hardwick
Legal Counsel Asia Pacific
DOF Subsea

A robust compliance risk assessment conducted as part of an enterprisewide risk management system forms the basis of establishing a comprehensive compliance programme. Accounting for a broad range of interconnected risks, it is absolutely business critical that you get it right. Requiring a business-specific tailored approach, but with limited resources and budget, how can you efficiently conduct a risk assessment without sacrificing any efficiency?

  • Setting the scene for effective and efficient risk assessments: identifying key risk centres, establishing ownership and setting parameters
  • Executing the risk assessment:
    • Assessing the risks faced by your company based on geographic scope, business model, business sector and other factors
  • Common challenges encountered in risk assessments
  • Structuring creative risk assessments to detect new trends and remain a step ahead of new developments

11:30
Controlling Bribery Risks When Interacting withInfluential Local Decision-Makers: Risk ManagementStrategies for Obtaining Market Access Rights, Pricingand Other Regulatory Approvals

Josephine Hadikusumo
Legal Counsel – Regional
Texas Instruments

Jessie Yap
Chief Compliance Counsel, Asia Pacific and General Counsel, ANZ
Covidien

Ronald Goon
Senior Director, Business Practices & Compliance
Johnson & Johnson

Panel Moderator:

Georgie Farrant
Partner
Baker & McKenzie

This highly practical session will discuss how to overcome critical corruption risk factors that arise when trying to obtain foreign regulatory approvals and grow your business in high risk markets. Through a review of real-life and hypothetical scenarios, you will take away best practices for fine tuning your approach to interacting with local government decision-makers while maintaining anti-corruption compliance.

  • Understanding which licenses, permits or certifications are legally required in order to identify fabricated requests for payment
  • What role can/should third parties play to assist in obtaining approvals and what is the liability for third party actions
  • How to handle requests for donations and political contributions
    • What role should your government affairs play in vetting requests for political contributions
  • Responding to and addressing competitor allegations of bribery in the context of a large government contract bidding process
  • Resolving anti-corruption compliance challenges in local community development projects

12:15
Compliance Programme Benchmarking – PollingQuestions and Audience Participation

The conference features a panel dedicated to best practices in anticorruption compliance programmes. In preparation for the discussion of May 29, the panel moderator will ask the audience 15 questions specific to compliance programmes, covering areas such as structure, resource allocation, training, reporting, governance and metrics. Polling results will be used as part of the panel discussion the next day and shared on the forum website.

12:30
Networking Lunch

BREAKOUT SESSIONS

Introduced for the first time on the Sydney programme, and designed to reflect the realities of the modern compliance and legal role, breakout sessions have been constructed to allow you to tailor your Summit experience to your most urgent and pressing needs. Attendees are encouraged to move between streams, allowing you to identify the key red flags to report to the board specific to your company’s specific risk matrix.

1:30
BREAKOUT SESSION A
2:20
BREAKOUT SESSION B
3:10
Afternoon Refreshments
3:30
BREAKOUT SESSION C
4:20
Foreign Bribery Focus: Inside Australian Policy and Enforcement Abroad

Anthony Coles
Assistant Secretary, Criminal Law and Law Enforcement Branch
Attorney-General’s Department

Commander Linda Champion
Manager, Fraud and Anti-Corruption
Australian Federal Police

The bribery of foreign public officials (foreign bribery) poses a significant risk to Australian companies doing business overseas. There are serious criminal implications for individuals and corporations, both under Australian and foreign laws. Businesses need to be aware of the risks and take appropriate steps to minimise them. This session will cover the Australian Government’s foreign bribery policy and enforcement efforts, with a focus on our compliance with the OECD Anti-Bribery Convention and our engagement with the OECD Working Group on Bribery.

5:00
The Art of Conducting Effective Internal Investigations: How to Manage Investigative Approach, Evidence Preservation, Voluntary Disclosures and Local Law Pitfalls

Campbell Jackson
Partner, Fraud Investigation & Dispute Services
EY

Chris McCann
Asia Pacific Chief Risk Officer
Chubb Insurance

Adam Bennett
Group Counsel, Investigations
Rio Tinto

Danielle Heatly
Principal Corruption Prevention Officer, Probity Assurance, Internal Audit
Sydney Trains

  • Best practice procedures for carrying out a thorough and meaningful internal investigation within an organisation once a potential violation is identified
  • Key issues to be addressed at the beginning of an investigation:
  • Different approaches to different types of compliance investigations: anti-trust, anti-corruption, money laundering
  • Conducting employee interviews: how to ensure you get the information you need without violating any local laws
  • Dealing with data privacy and trade secret legal requirements
  • Aftermath of the investigations and responding to the findings

6:00
Chairs’ Closing Remarks

Networking drinks reception sponsored by

Day 2 - Friday, May 29, 2015

8:45
Opening Remarks from the Chairs
9:00
Compliance Programme Benchmarking: How Global Compliance Programmes are Evolving and How to Select the Ideal Structure for your Company’s Greatest Risks

Craig Durham
General Counsel & Company Secretary
Intralot Australia Pty Ltd

Bob Ansell
Manager, Compliance, Cluster Leader - Indonesia, Australia & New Zealand
Philip Morris International

Jay Buckley
General Counsel - Australia & New Zealand
PepsiCo

Scott French
Compliance Leader
General Electric (Australia and New Zealand)

Audience Polling Results Revealed– Find out how your compliance program compares to other companies in the audience. The panel moderator will share the results of the compliance program polling done on the first day of the conference. With practical insight from the panel, gain a greater understanding of how to implement a compliance programme and walk away with a clear picture of what will work best for your organisation.

  • The components of an effective compliance programme: industry specific considerations and general best practices
  • Ensuring your compliance programme meets local and global compliance standards
  • Creating risk awareness throughout your entire organisation
  • Assigning ownership of the programme and setting the “tone at the top”
  • Conformity of compliance: to what extent do the methodologies for compliance with different risks (AML and anti-corruption for example) overlap, and how can you strengthen your programmes to account for the differences?

10:30
Morning Refreshments
11:00
Developing Protocols to Handle A Dawn Raid & Protect Individuals: What Would You Do if the Authorities Knocked Tomorrow?

Brett Johnson
Chairman
Helloworld (former General Counsel, Qantas)

Robert Wyld
Partner
Johnson Winter & Slattery (Australia)

  • Reacting to a dawn raid: what you can do now to prepare your team for a dawn raid before it occurs
  • Managing and responding to a multi-jurisdictional investigation: what current cases reveal about what and what not to do in the first 24 hours and 2 weeks
  • Structuring your response: the importance of a multi-disciplinary investigation team
  • What enforcement authorities will expect you to have on file
  • Educating your employees on critical aspects of the investigation (e.g. document preservation)
  • When to bring in external auditors
  • Working with authorities: best practices for remaining flexible during the investigation when focus and protocols shift focus

11:45
PSB and SAIC’s Corruption Crackdown in China: Status Report on Enforcement of Chinese Pricing,Competition and Anti-Corruption Laws

Helen Haixiao Zhang
Partner
Zhong Lun Law Firm (Shanghai)

Kelly Austin
Partner
Gibson, Dunn & Crutcher LLP

  • Focus on China’s commercial bribery crackdown:
    • Which companies and individuals are most at risk?
    • Who are PSB and SAIC’s next targets?
  • What recent bribery investigations led by Chinese authority reveal about risk areas for companies and individuals in China
  • How does new Chinese leadership affect the anti-bribery landscape
  • What are new channels for whistleblowers to come forward with bribery allegations
  • How China’s new consumer protection law affects the anticorruption landscape for multinationals operating in China
  • Investigative procedures used by SAIC, the Police, Party discipline Commission
  • What it means to “cooperate” in the Chinese landscape
  • Chinese state secret issues post Rio Tinto: how they can come up, and what is the best response

12:30
Chairs’ Adjourning Remarks followed by Networking Lunch