Day 1 - Tuesday, June 18, 2019

7:45
Registration & Welcome Coffee
8:45
Opening Remarks from the Co-Chairs
9:00
Enforcement Year in Review: The Most Significant Developments and Upcoming Priorities Affecting Industry
10:00
Defending Your Anti-Corruption Compliance Programme to the SFO and the DOJ: Practitioners Discuss Their Experiences with Preparing for a Meeting and What to Expect
11:00
Morning Networking Break

Country Risk & Compliance Exchange – China
11:30
KEYNOTE ADDRESS
12:00
COMPLIANCE DRILL #1-What is Missing in Your Internal Controls? The Top 5 Most Critical Decisions to Get Right-From Artificial Intelligence to Advanced Data Analytics
1:00
Networking Luncheon for Main Conference

In-House Executive Boardroom Luncheon (by invitation only)
2:00

SFO Q & A

SFO Enforcement Status Report
3:00
EXCLUSIVE SFO, DOJ & SEC ALUMNI PANEL
3:45
INTERVIEW WITH
4:15
Afternoon Networking Break

Country Risk & Compliance Exchange – Brazil
4:45
MAIN CONFERENCE ROOM & BREAKOUT BOARDROOM SESSION
5:45
The FCPA Year in Review: What Every Multinational in the UK Should Know About Extra-Territorial Enforcement and Priorities
6:45
Conference Adjourns

Networking Cocktail Reception

Day 2 - Wednesday, June 19, 2019

8:00
Registration & Welcome Coffee
8:45
Opening Remarks from the Co-Chairs
9:00

INTERNATIONAL PROSECUTORS ROUNDTABLE

The Reality of Anti-Corruption Investigations and Enforcement Involving Global Companies
10:00
MAIN CONFERENCE ROOM & BREAKOUT BOARDROOM SESSIONS
11:00
Morning Networking Break

Country Risk & Compliance Exchange – Nigeria & Kenya
11:30

THE DEBATE

Is Enforcement Driving Compliance? “Aye” or “Nay”?
12:30
GLOBAL COMPLIANCE PROGRAMME BENCHMARKING: How Industry is Revisiting Budgets, Resources, Policies, Procedures and Controls
1:30
Networking Luncheon
2:30
Interview with
3:15
MAIN CONFERENCE ROOM & BREAKOUT BOARDROOM SESSION
4:15
Afternoon Networking Break

Country Risk & Compliance Exchange – India
4:45
MAIN CONFERENCE ROOM & BREAKOUT BOARDROOM SESSION
5:45
BRIBERY & FRAUD STORIES: The Latest Bribery Schemes, Top Issues Confronting Multinationals. How They Were Uncovered and Lessons for Staying Ahead of the Game
6:00
Conference Concludes

Day 1 - Tuesday, June 18, 2019

7:45
Registration & Welcome Coffee
8:45
Opening Remarks from the Co-Chairs
Gonzalo Guzman

Gonzalo Guzman
General Counsel | Anti-Corruption & Third-Party Compliance Business Integrity Officer | Latin America
Unilever Legal Group

Gaon Hart

Gaon Hart
Global Anti-Bribery & Corruption Policy & Education Lead
HSBC (UK)

Jacqueline Conway

Jacqueline Conway
Group Risk & Compliance Director – Group Legal & Corporate Secretariat
Vodafone Group Services Limited (UK)

9:00
Enforcement Year in Review: The Most Significant Developments and Upcoming Priorities Affecting Industry

Senior representatives of the FCA, NCA, HMRC and the SFO will discuss the most significant developments over the last twelve months, and the evolving UK Bribery Act enforcement landscape. The panel will discuss priorities moving forward in improving the UK’s response to economic crime.

Part 1

  • Status report on the UK’s response to economic crime and the coordination among agencies
  • How the identification and prioritisation of the most appropriate type of investigations are made – whether criminal, civil or regulatory
  • How the agencies have used the new powers for UWO and AFO
  • Successes in investigating offenders, identifying the proceeds of bribery and corruption, tracing and recovering assets for the victims
  • What the last DPA reveals and lessons learned from the successful end to the first DPA
  • What is an effective self-reporting and for what credit?
  • How the agencies have been collaborating and cooperating on enforcement matters
  • The connection between anti-corruption and money laundering
  • How the acts of corruption by politically exposed persons are investigated and prosecuted

 

Part 2

  • The impact of Brexit on the future of cross-border data sharing and coordination with foreign governments moving forward
  • The interplay of GDPR during investigation

10:00
Defending Your Anti-Corruption Compliance Programme to the SFO and the DOJ: Practitioners Discuss Their Experiences with Preparing for a Meeting and What to Expect

This new session will navigate how to prepare for meetings with the SFO and DOJ and walk government decision-makers through your programme. Expert speakers will impart their experiences in what the agencies are looking for with respect to key programme elements and improvements, and best practices for cultivating a positive working relationship.

Benefit from an opportunity to hear from seasoned practitioners with extensive first-hand experience and ask them your questions. Amid new, evolving compliance and enforcement priorities, take away important lessons learned and helpful insights for your organisation.

11:00
Morning Networking Break

Country Risk & Compliance Exchange – China
11:30
KEYNOTE ADDRESS
Robert Buckland

Robert Buckland QC MP
HM Solicitor General for England and Wales
Attorney General's Office

12:00
COMPLIANCE DRILL #1-What is Missing in Your Internal Controls? The Top 5 Most Critical Decisions to Get Right-From Artificial Intelligence to Advanced Data Analytics

  • What your company internal controls should look like and deliver: right-sizing your company’s needs
  • How can artificial intelligence and advanced data analytics strengthen your controls?
  • How can you achieve real-time detection and monitoring attempts to subvert the systems?
  • Who are the parties involved, how roles and responsibilities are assigned and the reporting structure?
  • Creating standards, manuals, policies, operating procedures for the team
  • Budget: How much you need to spend and mitigating the risk of rise costs
  • Best practices for ongoing monitoring effectiveness of your controls and spot weaknesses before it’s too late

1:00
Networking Luncheon for Main Conference

In-House Executive Boardroom Luncheon (by invitation only)
2:00

SFO Q & A

SFO Enforcement Status Report
Lisa Osofsky

Lisa Osofsky
Director
UK Serious Fraud Office (SFO)

3:00
EXCLUSIVE SFO, DOJ & SEC ALUMNI PANEL

Former Prosecutors Offer a Practical Commentary on the SFO Director’s Insights and the Realities of Cross-Border Investigations

3:45
INTERVIEW WITH
Edward Hanover

Edward Hanover
Chief Compliance Officer
FIFA

4:15
Afternoon Networking Break

Country Risk & Compliance Exchange – Brazil
4:45
MAIN CONFERENCE ROOM & BREAKOUT BOARDROOM SESSION

INTERNAL INVESTIGATIONS THINK TANK:
What’s Missing in Your Internal Investigations Programme? The Top 10 Most Critical Decisions

  • Setting up an investigations plan in your company, including reporting structure, and assignment of roles and responsibilities
  • Creating standards, manuals, policies, operating procedures for the team
  • Budget: How much you need to spend and mitigating the risk of spiralling costs
  • Delivering effective training to team members
  • When Attorney-Client privilege may not apply
  • When to involve outside counsel
  • Right-sizing internal investigations: Lessons from recent investigations, enforcement actions and settlements
  • When and when not to investigate new or peripheral red flags
  • When to stop: How to know when to conclude the investigation
  • Governance issues: What types of matters to report to your Audit and the Board

BREAKOUT BOARDROOM #1
NEW Chief Compliance Officer Meet & Greet: Candid Discussion on New Individual Enforcement Risks and the Evolving Compliance Function

  • Current scope of the CCO’s obligations to investigate potential red flags and monitor suspicious activity
  • Recent enforcement actions against individual executives and key takeaways
  • Approaches to the CCO role amid developments in the UK, Europe, the U.S. and globally, and in response to corporate
    and industry pressures
  • Varied approaches in incentivising compliance today
  • Corporate governance — what matters for your Board and Audit Committee
  • How economic trends are affecting global business and the compliance function
  • The New role of compliance in cybersecurity
  • The knowns and unknowns of GDPR compliance: What to learn from the recent Google settlement

5:45
The FCPA Year in Review: What Every Multinational in the UK Should Know About Extra-Territorial Enforcement and Priorities

U.S. authorities will provide updates and insights on the most significant developments affecting industry in the UK, as well as multinationals across Europe.

  • Intersection between FCPA and AML
  • Aggressive SEC liability theories, conspiracy and accomplice liability
  • Selection of corporate monitors, individual enforcement

 

The interview will be followed by open Q & A.
Bring your questions or submit them in advance to ACquestions@C5-Online.com. Questions can be posed on an anonymous basis.

6:45
Conference Adjourns

Networking Cocktail Reception

Day 2 - Wednesday, June 19, 2019

8:00
Registration & Welcome Coffee
8:45
Opening Remarks from the Co-Chairs
9:00

INTERNATIONAL PROSECUTORS ROUNDTABLE

The Reality of Anti-Corruption Investigations and Enforcement Involving Global Companies

This new panel will bring together anti-corruption senior prosecutors and investigators to talk about the latest investigative techniques utilised to pursue corruption and bribery offences in their respective jurisdiction. The discussions will focus on connected risks such as fraud and money laundering cases and how increase cooperation is improving their outcomes. Topics include:

  • What the latest investigations and prosecution of high profile corruption cases have revealed about the scale of the violations
  • The use of “traditional” means vs. pro-active intelligence-led  detection and investigation of corruption — what are the most effective tools?
  • Coordination of multi-jurisdictional investigations of foreign bribery
  • Lessons learned from ING & Société Générale settlements and Dansk Bank investigation: How would they shape future enforcement priorities
  • Interplay between anti-money laundering laws and the quantification of the proceeds of bribery for effectively tracing, freezing and confiscating criminal assets
  • What are the most effective sources of information triggering a corruption case?
  • Evidence-gathering and how prosecutors build the case — use of direct and indirect evidence and what restrictions are they subject to?
  • What is the role of the technology and data analytics in investigations by agencies today?
  • Challenges in investigating corruption cases involving high level officials — what has been done so far to improve that?
  • Status report on corporate liability in addition to individual liability and resulting consequences
  • Elements of corruption crimes and qualification of crimes: how do they differ in various countries?
  • Coordination amongst prosecutors: where and how double jeopardy applies
  • The prospect of addressing the demand side of the bribe

10:00
MAIN CONFERENCE ROOM & BREAKOUT BOARDROOM SESSIONS

A CONVERSATION WITH CFOs:
How Business
and Finance are Re-Evaluating and Quantifying Global
Risk Factors and Compliance Priorities

This new session offers you a rare opportunity to hear from highly respected Chief Finance Officers. They will share their insights and perspectives of compliance, what are their expectations of the compliance function in demonstrating value and return to get their buy-in. They will discuss their views on what are the risks and what adequate procedures look like.

BREAKOUT BOARDROOM #2
THE “HUMAN” SIDE OF ABAC COMPLIANCE: Dealing with Roadblocks in Embedding a Corporate Culture of Compliance and Sensitive Issues Affecting Employment and Dismissal Decisions

  • When employing relatives of senior government officials could be considered a “benefit” by the agencies
    •• Working with HR to mitigate risk and flag issues
  • What to look for and ask at the employee recruitment and selection phases
  • Implementing effective employee training and internal controls
  • What to do if you detect an issue after hiring the individual
  • Under what circumstances might you be required to continue the individual’s employment notwithstanding their conduct, and how to manage the associated risks
  • Complying with foreign labour laws when deciding to terminate the individual’s employment
  • Working with your HR Department on “issue spotting”

11:00
Morning Networking Break

Country Risk & Compliance Exchange – Nigeria & Kenya
11:30

THE DEBATE

Is Enforcement Driving Compliance? “Aye” or “Nay”?

An Interactive Debate on Anti-Corruption Enforcement and Effective Compliance Policies for Global Businesses

12:30
GLOBAL COMPLIANCE PROGRAMME BENCHMARKING: How Industry is Revisiting Budgets, Resources, Policies, Procedures and Controls

Take the pulse of the audience on how compliance programmes are increasingly evolving to deal with multiple risks. The polling results will be shared in real-time and the panel of experts will provide practical comments.

  • Structuring/Re-Structuring a Compliance Department: Successful Approaches to Reporting, Outsourcing, Staffing and Resource Allocation
  • ROI Case Study-Quantifying the Compliance Effort: How Investing in a Global Compliance Program Sparked Tangible Cost-Savings for a Company
  • The Verdict on Becoming ISO 37001 Certified-Should You or Shouldn’t You Make the Investment?

1:30
Networking Luncheon
2:30
Interview with
Klaus Moosmayer

Dr. Klaus Moosmayer
Chief Ethics Risk and Compliance Officer
Novartis (ECN)

3:15
MAIN CONFERENCE ROOM & BREAKOUT BOARDROOM SESSION

MULTI-JURISDICTIONAL COORDINATION IN ACTION:
Defence Counsel Discuss the Newest Realities of Increased, Cross-Agency Information Sharing and Intensifying Risks of “Follow-On” Cases

At this highly anticipated session, expert practitioners will discuss what multi-jurisdictional enforcement truly looks like
on the ground-and how best to manage increasing, overlapping and uncertain risk factors:

  • The risk of “follow-on” cases: When a resolved or settled case in one jurisdiction could trigger new bribery investigations in other countries
  • The challenges of coordinating with multiple agencies:
    Best practices for communicating with foreign authorities
  • Managing the uncertain risks posed by the enforcement of a new or amended anti-bribery law
  • How a settlement in one jurisdiction could affect a company’s business operations in other key markets
  • Local laws affecting your internal investigation and ability to cooperate with authorities: Data privacy, State Secret Law, privilege, evidence-gathering procedures and more
  • When a DPA with the DOJ/SFO and/or a press release
    could “tip off” foreign authorities of bribery in their respective jurisdictions
  • When multi-jurisdictional bribery enforcement could spark investigations of other potential crimes, including fraud,
    money laundering and privacy violations-and vice versa
  • Impact of multi-jurisdictional enforcement risks on your decision to disclose or cooperate

 

BREAKOUT BOARDROOM #3
COMPLIANCE DRILL #2: What’s Keeping You
Up at Night? The Most Pressing Third Party Due Diligence Dilemma

The facilitators will walk you through 3 comprehensive case studies specific compliance dilemmas, covering areas such as to third party due diligence, M&As, JVs compliance. The group will resolve and discuss the cases. The facilitators will provide practical comments and advice you can implement back in
your desk.

4:15
Afternoon Networking Break

Country Risk & Compliance Exchange – India
4:45
MAIN CONFERENCE ROOM & BREAKOUT BOARDROOM SESSION

ABC TECH:
In-House Perspectives on Data Analytics, Due Diligence Reports, Selecting the Right Vendor and How Much to Spend

  • The latest automated controls that companies are using to identify suspicious payments and other risk factors
  • How to select vendors: Understanding your organisation-size, risk profile, budget and more
  • When a manual review and approval process is still preferable
  • Evaluating capabilities of solutions and your company’s needs
  • How much to spend-and how much is too much?
  • Conducting a cost-benefit analysis of available solutions
  • Due diligence reports: How to select the right provider for your company
  • Crafting your business case to senior management
  • Justifying the cost and value-add to senior management and the Audit Committee

 

BREAKOUT BOARDROOM #4
REAL-LIFE STORIES FROM THE GROUND — NIGERIA & KENYA

Do’s and Don’ts When Conducting Internal Investigations in Nigeria and Kenya: The Perspectives of Local Defence Lawyers Acting on Behalf of Parent Company

  • When you need to involve external counsel and what you should outsource
  • How to identify when your standard procedures are inadequate
  • Common mistakes to avoid when securing evidence
  • The importance of managing communications
  • How to deal with multiple regulators and conflicting laws
  • Security and other local issues

5:45
BRIBERY & FRAUD STORIES: The Latest Bribery Schemes, Top Issues Confronting Multinationals. How They Were Uncovered and Lessons for Staying Ahead of the Game

Participants will benefit from a unique opportunity to hear critical updates on the rapid evolution of bribery and fraud schemes that areaffecting industries of all kinds. Gain insights from experts who have “seen it all”, and take away best practices for cutting-edge risk detection and mitigation.

6:00
Conference Concludes

WORKSHOP A | Anti-Corruption Case Refresher: A Look Inside the Key Cases & Practical Compliance Lessons for Your Global Programme

Jun 17, 2019 9:00am - 12:30pm

£400

What is it about?

(Registration & Coffee Start at 08:30 am)

 

At this practical session, expert faculty members will delve into the complexities of key and recent enforcement matters toward imparting real-life lessons for industry moving forward. With an increasing global dimension of enforcement actions, this working group will provide helpful insights on the ins and outs of significant cases, and how to leverage the lessons learned to better enhance your compliance programme moving forward. Participants will benefit from smaller-group learning, enhanced Q & A and reference materials prepared by the expert speakers. Topics will include:

  • Recent cases impacting the future of FCPA and UK Bribery Act settlements to date
  • The “anatomy” of a bribe: What has triggered suspicion and a government investigation
  • A deep dive into key investigations and settlements, and what they reveal about DOJ, SEC, SFO’s expectations
  • DOJ changes to Yates Memo
  • Industries that are increasingly under the microscope in recent memory
  • Which cases have led to an SEC settlement, but a DOJ declination
  • Which circumstances have led to declinations, DPAs and NPAs
  • Trends in settlements, including penalty structures and remediation requirements
  • Insights on DOJ and SEC coordination with foreign enforcement agencies
  • The Scope of a global cooperation among agencies including UK, Brazil, Singapore, France, Switzerland, The Netherland, Cyprus, Ireland, Latvia, Luxembourg, Austria, Belgium, Norway, the Isle of Man, Turkey,
  • How agencies have interpreted “cooperation” in multiple government investigations
  • Lessons learned for mitigating enforcement risks and interfacing with the agencies
  • How to leverage the key lessons from settlements toward effecting compliance improvements in your organisation
  • New priorities for the US and UK enforcement investigations: the year of the individual?
  • Challenges in coordinating investigations and the defence in multiple jurisdictions; double jeopardy, privilege and privacy

WORKSHOP B | Third Party Management Think Tank: A Comprehensive Rundown of How (and How Not) to Vet and Monitor Contract Performance, Payment and Compliance

Jun 17, 2019 1:30pm - 5:00pm

£400

What is it about?

(Registration & Coffee Start at 1:00 pm)

 

Vetting and monitoring third parties remains a perennial compliance challenge for companies. The challenges start with the on-boarding process and continue throughout the life of the third-party relationship. Recent settlements have seen companies admitting payments to politically-connected individuals and falsifying books and records to conceal payments to vendors associated with politicians. With evolving risk factors and compliance obligations, this interactive working group will draw a comprehensive guide on lessons learned from previous cases, provide a catalogue of common mistakes when checking that the commissions paid are done in exchange of a real service and share tools and tactics that peer companies are using to on board.

 

  • What the latest investigations reveal about having a good due diligence report on third parties
  • How far you need to go in vetting your supply chain: 1st, 2nd, 3rd, 4th and lower tier supply chain members
  • What is missing in the questionnaire for third parties?
  • Who conducts and gets to see the due diligence?
  • What to do with information uncovered during the vetting process: How to evaluate red flags
  • Common mistakes that happen when making the decision regarding which parties to use/not use – and why?
  • Assigning responsibilities for the proposal and the business case for using third parties
  • What should be in the proposal and the business case?
  • Filtering and risk grading: what questions should you ask yourself?
    • does the business proposal make sense?
    • does the third party have the skills/resources to perform the contract?
    • any other payments/connections the third party (or any of its shareholders/employees) have to the company?
  • When should the relationship be approved and who should approve it?
  • Contract and administration management: what is the scope of services in the contract?
  • Contract performance and payments: the importance of the “proof of services”
  • Audit rights and compliance training for third parties – how often should they be performed?
  • Suspension of payments and services for suspected breach of compliance requirements
  • Where multinationals are most at risk and how to implement an effective global internal system of controls