Pre-Conference Workshops

Building A Strong Compliance Function in Italy: How the Compliance Department Should Engage with the Business to Obtain Crucial Internal Support

Nov 7, 2016 10:00am – 1:00pm

Speakers

Antonio Buonafine
Regional Compliance Officer Corporate Function Compliance
Thyssenkrupp Group

Fosca Camatta
Lead Country Compliance Officer
Siemens (Italy & Greece)

Francesca Boccia
Consultant
Thomson Reuters

A Roadmap for Third Parties Due Diligence, Vetting and Monitoring

Nov 7, 2016 2:00pm – 5:00pm

Speakers

Erica Vasini
Head of Internal Audit
Tesmec

Day 1 - Tuesday, November 8, 2016

8:30
Registration and Welcome Coffee
9:20
Welcome Remarks from EY
9:30
Opening Remarks from the Co-Chairs
9:45
Self Laundering and its Relationship with Corruption: Detecting, Assessing and Addressing Self Money LaunderingOffences in the 231 Model
10:45
Networking Coffee Break
11:00
Keynote Address OECD/FATF guidelines on mandatory fiscal and tax audits to fight corruption and money laundering
11:30
Prosecutors’ Panel: Prosecutors Expectations on Evidences and Internal Controls in Light of Recent Enforcement Actions in Italy
12:00
The Tightened Anti-Corruption Enforcement in the United Kingdom: How This Impacts on Your Operations and What You Need to Know
12:45
Networking Lunch
2:30
False Statements in the Balance Sheet and Corruption in Light of the Latest Supreme Court Interpretation: How Is This Offence Now Regulated and What Risks’ Indicators You Must Look Out For
3:00
Audience Polling: Vetting and Managing Third Parties with Particular Reference to Intermediaries: Red Flags, Solutions and Best Practices
4:00
Networking Coffee Break
4:30
Beyond Compliance: How Does an Efficient and Ethical Company Look Like
6:00
Networking Drinks

Day 2 - Wednesday, November 9, 2016

8:30
Registration and Welcome Coffee
9:00
Opening Remarks from Co-Chairs
9:15
An Update on Italian and International Corruption Cases. Substantial and procedural Aspects Pursuant to D. Lgs. 231/2001
10:00
STREAM A COMPLIANCE FOCUS: A Day in the Life of a Compliance Officer
10:01
STREAM B LEGAL FOCUS: Domestic and International Crucial Updates Your Legal Department Must Know
1:30
Networking Lunch
2:50
Internal Controls and Compliance within the Public Sector Coordinating between Different Control Centres in Public and Public-Participated Enterprises
3:45
Closing Remarks from the Co-Chairs

Day 1 - Tuesday, November 8, 2016

8:30
Registration and Welcome Coffee
9:20
Welcome Remarks from EY

Fabrizio Santaloia
Partner, Fraud Investigation and Dispute Services
EY (Italy)

9:30
Opening Remarks from the Co-Chairs

Lorenzo Bertola
Legal, Corporate Affairs and Compliance. Head of Contracts - Helicopter Division,
Leonardo S.p.a.

Alessandra Ferrari
General Counsel
A2A

9:45
Self Laundering and its Relationship with Corruption: Detecting, Assessing and Addressing Self Money LaunderingOffences in the 231 Model

Ilaria Brioschi
Head of 231 Supervisory Body Support & Anti-corruption – Compliance Italy
Unicredit

Maurizio Arena
Avvocato ed esperto 231
Milano

  • What pre-requisite crimes trigger self-money laundering?
  • Conducting a thorough risk assessment: what measures and tools are available to detect, assess and prevent self-money laundering?
  • How existing anti-money laundering controls can be utilised to map this different offence
  • What level of control is expected by enforcement agencies and the prosecutors?
  • How to keep track of these controls for the future benefit of prosecutors without burdening business activity
  • Addressing the challenge of monitoring this crime when the power of attorney gives unlimited power to approve expenses, costs or payments
  • Communicating this new offence internally to all employees and providing effective training on do’s and don’ts when operating

10:45
Networking Coffee Break
11:00
Keynote Address OECD/FATF guidelines on mandatory fiscal and tax audits to fight corruption and money laundering

Francesco Greco
Head of Economic crimes prosecution
Court of Milan

11:30
Prosecutors’ Panel: Prosecutors Expectations on Evidences and Internal Controls in Light of Recent Enforcement Actions in Italy

Adriano Scudieri
Public Prosecutor
Court of Milan

Isidoro Palma
Public Prosecutor
Court of Milan

Donata Costa
Public Prosecutor
Court of Monza

  • How do prosecutors interpret and attribute corporate criminal liability for corruption allegations?
  • What does an acceptable level of internal controls look like for the prosecution?
  • To what extent the control of the third party shall be considered enough
  • How do prosecutors interpret the standard of due diligence on third parties?
  • What prosecutors are looking for when assessing and scrutinising a 231 model
  • The role of defence lawyers, in-house counsels and internal auditors in dealing with prosecutors during investigations

12:00
The Tightened Anti-Corruption Enforcement in the United Kingdom: How This Impacts on Your Operations and What You Need to Know

Sarah Klein
Partner
Kirkland & Ellis International LLP

Louise Delahunty
Partner
Cooley LLP (United Kingdom)

  • What is of the new International Cooperation Unit (ICU) mandate and what investigation powers does the Unit has?
  • How will ICU work with foreign anti-corruption enforcers?
  • What are the main differences between the ICU and the SFO?
  • The Serious Fraud Office’s first Deferred Prosecution Agreement with ICBC Standard Bank: the role of self-reporting
  • What additional compliance monitors you need to put in place following ICU’s launch

12:45
Networking Lunch
2:30
False Statements in the Balance Sheet and Corruption in Light of the Latest Supreme Court Interpretation: How Is This Offence Now Regulated and What Risks’ Indicators You Must Look Out For

Giancarlo Avenati Bassi
Public Prosecutor
Court of Turin

  • Update on the final Supreme Court’s interpretation of inaccurate evaluation of the balance entries
  • How to update the model to detect and manage the risk of false statement in the balance sheet
  • What are the expectations of your internal controls to capture and control internal fraud risks?
  • What is the individual legal liability for this offence: the personal liability of Directors, Officers, Internal Auditors following false statements’ offences?
  • How is the operability of this crime linked to corruption risks?
  • How will pre-2015 balance sheets be legally assessed when investigated?

3:00
Audience Polling: Vetting and Managing Third Parties with Particular Reference to Intermediaries: Red Flags, Solutions and Best Practices

Palma Scardaccione
Legal & Compliance Specialist
Vodafone Italy

Fabrizio Santaloia
Partner, Fraud Investigation and Dispute Services
EY (Italy)

Nicola Galtieri
Senior Compliance Manager
Dompe’ Farmaceutici

  • A 360° overview of the relationship with the third party: risks, obligations and what you need to know with particular reference to the most critical business partners
  • How to monitor agents thoroughly but without falling into the treatment of employees according to employment law
  • How to choose Italian and international third parties: key risks indicators to look out for
  • How to use public information creatively in order to manage third parties’ risks
  • How to educate foreign third parties in emerging markets and obtaining their buy-in of your 231 model
  • Audit clauses: how to apply them in practice? Devising and implementing a private enforcement mechanism to educate business partners
  • How to prevent, monitor and mitigate reputation risks

4:00
Networking Coffee Break
4:30
Beyond Compliance: How Does an Efficient and Ethical Company Look Like

Marco Reggiani
General Counsel
Snam S.p.A.

Francesca Boccia
Consultant
Thomson Reuters

Francesca Rolla
Partner
Hogan Lovells

Gabriella Porcelli
Senior Legal Counsel
Philip Morris International

  • Why wrongdoings happen notwithstanding the functioning of a compliance programme?
  • What are the alternatives to a 231 model and compliance programme for an ethical business?
  • Achieving anticorruption compliance through a corporate ethic programme
  • Embarking in the challenge to change the corporate mind-set: the true compliance officer’s mission

6:00
Networking Drinks

Day 2 - Wednesday, November 9, 2016

8:30
Registration and Welcome Coffee
9:00
Opening Remarks from Co-Chairs

Alessandra Ferrari
General Counsel
A2A

Lorenzo Bertola
Legal, Corporate Affairs and Compliance. Head of Contracts - Helicopter Division,
Leonardo S.p.a.

9:15
An Update on Italian and International Corruption Cases. Substantial and procedural Aspects Pursuant to D. Lgs. 231/2001

Enrico Maria Giarda
Lawyer
Studio Legale Giarda

Prof. Avv. Angelo Giarda
Lawyer and Professor of Criminal Procedure
Catholic University of Milan, Italy

  • Rome Council and Cooperatives: where are the investigations now?
  • Lombardia healthcare and the private sector: what are the legal limits and interpretation of political parties support?
  • EXPO a year later: what lessons to learn?
  • Shell, ENI, Total in Basilicata: understanding the legality of corporations’ involvement in public events and the boundaries of lobbying in the public prosecution’s eye
  • Saipem and Techint in the Brazilian Petrobras saga: involvement, risks, liabilities
  • 231 and extraterritoriality: Saipem in Nigeria and the specific corporate liability affirmed by the Supreme Court
  • How did the Supreme Court evaluate the 231 model: what was the element which determined the company’s liability?
  • Shell in Nigeria: a foreign company giving bribes outside Italy. How the Italian jurisdiction and extraterritorial enforcement have been affirmed?

10:00
STREAM A COMPLIANCE FOCUS: A Day in the Life of a Compliance Officer

Rossana Buzzi
Assistant General Counsel & Ethics and Compliance Leader South Europe
Invensys

Paolo Orioli
Head of Corporate Compliance & Ethics
Edison

Iole Anna Savini
Lawyer and Board Member of
Transparency International Italy

Carmine Pirozzoli
Director of Criminal Justice Division
Ministry of Justice

Andrea Chiusani
Partner, Fraud Investigation & Dispute Services
EY (Italy)

Roberto Giambelli
Global Compliance Manager
Magneti Marelli

Giorgio Martellino
Legal and Compliance Director
Acquedotto Pugliese S.p.A.

10:00
New Legal Requirements vs. Italian Culture: How to Implement a Whistleblowing Hotline in Your Organisation
  • What are the new compulsory requirements of whistleblowing hotlines in Italy?
  • What level of protection the whistle-blower shall enjoy following the Italian Data Privacy Authority’s recommendations
  • How to encourage employees to speak up and how to obtain their trust
  • What is the optimum internal roadmap and reporting structure following a blow in the whistle?
  • What the governance structure of a hotline looks like: how to design information channels and how often it should be reported to the Supervision Body
  • What technical and IT support you need, which is also data protection compliant
  • What and how to correctly report to prosecutors following a positive finding
10:45
How to Ensure Compliance when Participating in a Public Tender: Main Risks and Legal Requirements in Light of the Reformed Public Tender Code
  • Dealing with the person responsible for anticorruption and transparency in the public company: crucial considerations
  • The reform of public tenders code: key elements for your daily job. What do you need to look out for?
  • Public tenders and debarment from dealing with the public administration: knowing your risks in order to enable the business to operate
  • How to identify, detect and report conflicts of interest between public and private sector: what are your responsibilities?
  • Understanding, identifying and detecting revolving doors risks pursuant to law 190/2012: the limits of this requirement and how to interpret and apply it in practice
  • Best practices in educating employees dealing with the public administration
11:30
Networking Coffee Break
12:00
Tackling the Compliance Officer’s Challenge: How to Devise and Implement a Smooth Internal Controls Procedural Activity
Compliance officers play an important and crucial role in fostering integrity and creating a culture of compliance throughout the business and they will take on a broader role across the organisation. Their role has become a delicate balancing act between business interests, increasing cost pressure, due diligence monitoring, surveillance and increased regulatory demands. It’s fair to expect that compliance will continue to thrive and compliance officers must devise and implement smooth internal controls processes using methodologies and better tools of analysis and monitoring to integrate compliance activities and mitigate the risks.
  • How to prioritise compliance activities and integrate in business processes and daily activities
  • Strengthening the model 231 through a process-oriented system
  • Internal controls: which ones, how often and how to make sure that different control centres talk to each other
  • Putting in place a solid but lean reporting structure
  • Challenges of an integrated risk assessment practice and how to overcome them
  • How to implement and monitor group compliance activities
  • What are the aggregated risk indicators the compliance officer must report?
  • What is the ideal timeline of internal controls and the principle of continuous monitoring?
  • Ensuring thorough controls without overburdening the operation with too many signatures: best practises
  • Making compliance a real support to the Supervision Body
1:00
Anti-Bribery Standards, Certifications and Industry Guidelines: How Relevant Are They in Minimising Risks and Maintaining Assurance of Regulatory Compliance?
  • The Government activity in developing industry standards and guidelines
  • The proliferation of certifications and standards requirements: effects on companies compliance efforts to address the risks
  • Ratings by Competition Authority: what’s in it for the business?
  • Making your case for an anti-bribery certification: why should you care?
  • To what extent ISO 37001 is capable of reducing corporate liability? What to learn from The Alstom Case in Switzerland
  • How to measure the value of these standards and certifications: how do they score against the company’s defence mechanism and risk detection and prevention?

10:01
STREAM B LEGAL FOCUS: Domestic and International Crucial Updates Your Legal Department Must Know

Livia Panozzo
Anticorruption and Transparency Responsible
Consip

Massimo Proietti
Head of Internal Audit
Istituto Poligrafico Zecca dello Stato

Michele Tagliaferri
Partner
Sidley Austin LLP (Belgium)

Giovanni Monteverde
Vice President Legal & Compliance Middle East & Africa
Alstom Transport

Lorenzo Maria Di Vecchio
Global Compliance Counsel
Fendi

Jean Paule Castagno
Counsel
Clifford Chance

Vittorio Colombo
Partner, Fraud Investigation & Dispute Services
EY (Italy)

Bruno Cova
Partner
Paul Hastings LLP

Facilitated by:

Andrea Parrella
Leonardo
Finmeccanica

10:00
231 Sentencing System: How to Provide to the Board of Directors with a Legal Risk Assessment for Preemptive Measures, Requisition and Other Sanctions
  • Understanding pre-emptive measures for risks in order to provide advice to the BoD
  • The extraordinary management of the company decided by the Anticorruption Authority: what is its applicability and how to avoid it
  • How to calculate the risk of requisition in financial terms
  • What can requisition/confiscation target?
  • How to address the individual liabilities of directors, executives, legal and compliance/control functions for corruption allegations
  • When does the risk of debarment from doing business with the public sector arise and how to mitigate it
10:45
Economic Sanctions Risks: Screening Procedures and Protocols to Reduce Risk Exposure amid Rapidly Evolving Restrictions
  • What business transactions are currently allowed under the current US and EU sanctions regime?
  • What transactions and relevant licences are available? – Who can submit the licence application?
  • How to conduct comprehensive risk assessments to identify potential sanctions risks
  • Mapping relevant country-specific and transactions-specific risks in your industry
  • Where exporters and banks have more often gone wrong in assessing sanctions risks
  • Creating and maintaining tailored compliance risk assessment tools adapted to industry risk factors
  • Reporting findings to compliance officers, audit committees and legal counsels
  • Developing a risk based approach to compliance programme audits and monitoring of key controls
11:30
Networking Coffee Break
12:00
International Operations: How to Extend Your 231 Model to Foreign Branches and Subsidiaries in a Cost-Effective Way
  • What are the risks to monitor when expanding exports and sales operations?
  • Key challenges and best practices for an anti-corruption integrated group policy
  • Looking for aggregated red flags in an international context: how to integrate your organisation risk assessment procedures
  • What an international compliance standard and a global compliance programme should look like?
  • Confronting compliance models: centralised v. decentralised – where are the cost saving opportunities?
1:00
Whistleblowing and Self Reporting: Lessons Learned from International Experiences
  • The OCSE 2014 Foreign Bribery Report and the role of the corporation cooperation
  • The recent “US DoJ “pilot program” on credit for voluntary disclosure
  • Sanctions and mitigations for the cooperation and internal investigations
  • Does the Italian system in law 231 work?

1:30
Networking Lunch
2:50
Internal Controls and Compliance within the Public Sector Coordinating between Different Control Centres in Public and Public-Participated Enterprises

Livia Panozzo
Anticorruption and Transparency Responsible
Consip

Massimo Proietti
Head of Internal Audit
Istituto Poligrafico Zecca dello Stato

  • Differences and similarities between law decrees 231/2001 and 190/2012: National Anti-Corruption Plans and 231 models. Where do practical challenges arise? Do you need two separate compliance models?
  • Anti-corruption officer, transparency officer, compliance officer, Supervision Body, internal audit, external audit, OIV (Independent Evaluation Organism): how does the relationship between different control centres work in public companies?
  • How should a state-participated company carry out anti-bribery controls?
  • Law decree 33/2013: how state-participated companies implement new transparency requirements given their private company nature
  • Understanding and addressing cultural challenges within the public sector
  • How to protect the integrity of the anti-bribery officer in the workplace

3:45
Closing Remarks from the Co-Chairs

Building A Strong Compliance Function in Italy: How the Compliance Department Should Engage with the Business to Obtain Crucial Internal Support

Nov 7, 2016 10:00am – 1:00pm

Antonio Buonafine
Regional Compliance Officer Corporate Function Compliance
Thyssenkrupp Group

Fosca Camatta
Lead Country Compliance Officer
Siemens (Italy & Greece)

Francesca Boccia
Consultant
Thomson Reuters

What is it about?

The compliance function is now taking off in Italy, but businesses are often not fully prepared to put together the compliance department with the right set of skills to allow it to operate properly. Equally, the compliance function must learn to work in a way that facilitates rather than impedes the business activity while ensuring that there is compliance with laws and regulations across the organisation. Through scenarios and practical examples, the workshop will provide solutions for implementing a smooth, working and reliable compliance function that can provide a truly added value to the organisation.
  • What resources and structures are necessary?
  • How the compliance function’s responsibilities trickle down the organisation from the headquarters to the subsidiaries – pros and cons of designating a local compliance officer
  • How to define the reporting obligations and accountability of the compliance function
  • Common elements of the compliance officer’s potential liability
  • How the compliance function interacts with other functions in the organisation such as Legal, Internal Audit, Ethics, Finance and the business units
  • The supervision of the compliance programme by an executive or a supervisory body

A Roadmap for Third Parties Due Diligence, Vetting and Monitoring

Nov 7, 2016 2:00pm – 5:00pm

Erica Vasini
Head of Internal Audit
Tesmec

What is it about?

A step-by-step guide on how to implement and maintain a comprehensive due diligence system for new and existing partners. You will learn how to effectively conduct background and reputation checks in the Italian landscape. Learn how to create a cost-effective and reliable programme to evaluate risk factors for third party vendors, suppliers, contractors, brokers, intermediaries, agents or partners.
  • When to conduct an in-person meeting to verify representations and train third party employees
  • What government authorities expect you to document in your files
  • Ensuring that auditing rights are written into your contracts
  • Overcoming cultural and legal challenges unique to Italy
  • How to make decisions on whether to continue your relationship based on your findings
  • Developing a partner code of conduct
  • How often should you review your existing partners?

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