Day 1 - Tuesday, February 28, 2017

8:00
Registration
9:00
Welcome Note
9:10
Chair’s Opening Remarks
9:15
The Evolving Anti-Corruption and Financial Crime Regulatory and Enforcement Landscape: Prosecution, Cooperation, Expectations and the Liability of Individual
10:15
PANEL SESSION: Third Party Relationship Risks: Strategic Monitoring Processes to Avoid Wrongdoing and Maintain Compliance
11:15
Morning Refreshments
11:45
Creating a Robust Due Diligence Programme to Minimise Anti-Corruption and Bribery Risk Exposure
12:30
Networking Luncheon
1:45
Setting and Maintaining an Anti-Corruption Programme Capable of Meeting Multi-Jurisdictional Regulations
2:45
Conducting Effective Internal Investigations into Bribery and Corruption Allegations
3:45
Afternoon Refreshments
4:15
5:15
Anti-Corruption Collective Actions
5:45
Networking Drinks

Day 2 - Wednesday, March 1, 2017

8:30
Welcome Coffee
9:00
Chair’s Opening Remarks
9:15
ROUND TABLES: Conducting Risk Assessments When Entering and Operating in Challenging Markets: What Dangers Do Multinationals Face?
10:15
Morning Refreshments
10:45
PANEL SESSION: Enhancing the Evolving Role of Internal Audit to Better Detect Compliance Weaknesses and Strengthen Internal Controls
12:00
Implementing Effective Whistleblowing Hotlines
12:45
Networking Luncheon
1:45
Controlling Bribery Risks When Interacting With Influential Local Decision Makers: Market Access Rights, Pricing and Other Regulatory Approvals
2:30
Compliance Monitoring Systems and the “Broken Windows Theory”
3:00
Afternoon Refreshments
3:15
Utilizing Data Analytics to Improve the Overall Effectiveness of ABC Programmes
4:00
The New Anti-Bribery Management System (ABMS) Standard ISO 37001: What is in it for You?
4:45
Chair’s Summation & End of Conference

Day 1 - Tuesday, February 28, 2017

8:00
Registration
9:00
Welcome Note

Jim McCurry
EMEIA & UK Leader Fraud Investigation & Dispute Services
EY

9:10
Chair’s Opening Remarks

Gemma Aiolfi
Head of Compliance and Corporate Governance / Collective Action
Basel Institute on Governance

9:15
The Evolving Anti-Corruption and Financial Crime Regulatory and Enforcement Landscape: Prosecution, Cooperation, Expectations and the Liability of Individual

Corinne Berger
Deputy Head
Money Laundering Reporting Office Switzerland

Walter Mäder
Federal Prosecutor, Prosecutor in Authority for International Corruption
Office of the Attorney General, Berne

Moderator

Daniel Lucien Bühr
Partner
LALIVE SA

  • What do the reforms in Switzerland on bribery and corruption mean for Swiss and International businesses?
  • What recent bribery and corruption investigations led by the Swiss Authorities reveal about risk areas for companies and individuals
  • What is driving recent enforcement actions and investigative trends?
  • What are the current Swiss enforcement priorities and targets?
  • Latest anti-money laundering legal adjustments: how would they make it more difficult to launder proceeds of crime including corruption and large frauds on state funds by kleptocrats?
  • How much international cooperation and information sharing is happening between Switzerland and officials in Europe, UK and USA on ACAB and other financial crime matters

10:15
PANEL SESSION: Third Party Relationship Risks: Strategic Monitoring Processes to Avoid Wrongdoing and Maintain Compliance

Rafael Merencio
Compliance Manager
KBA NotaSys SA

Kersten Schmahl
VP 3rd Party Due Diligence & TAPI & TGO Compliance
ActAvis a Teva Company

Moderated by

Luca Nevano
Europe and Russia Compliance Director
Novartis Consumer Healthcare (Switzerland)

  • How to develop an appropriate third party management plan while dealing with a variety of business partners?
  • At what point in the relationship do you need to audit and investigate a third party
  • What are your audit rights?
  • How to overcome possible resistance to the audit
  • Exploring risk-based models to determine the level of on-going monitoring
  • What to take into consideration when choosing the model that works for your organisation
  • Identifying hidden risks in contract performance, payments and proof of services during the cycle of the relationship
  • Continuing monitoring tools: periodic media search, periodic audit, annual/biannual review, payment approval protocol

11:15
Morning Refreshments
11:45
Creating a Robust Due Diligence Programme to Minimise Anti-Corruption and Bribery Risk Exposure

Jim McCurry
EMEIA & UK Leader Fraud Investigation & Dispute Services
EY

Jean-Louis Galliard
Corporate Ethics & Compliance Manager: Sub-Sahara Africa
Panalpina

Moderator

Gemma Aiolfi
Head of Compliance and Corporate Governance / Collective Action
Basel Institute on Governance

  • Determining what the due diligence programme must achieve
  • How to conduct background reviews: public data, audits, interviews
  • How much due diligence is sufficient to satisfy the requirements of the FCPA, UK Bribery Act and other anti-corruption legislation
  • Ultimate Beneficial Ownership — who controls the business?
  • Conducting effective due diligence in high risk and closed jurisdictions
  • State Owned Enterprises and the Political Connections. Who owns the rights?
  • Enhanced procedures surrounding identified red flags
  • What are the additional steps required when there is a high risk?
  • How to have a systematic and consistent global approach to due diligence

12:30
Networking Luncheon
1:45
Setting and Maintaining an Anti-Corruption Programme Capable of Meeting Multi-Jurisdictional Regulations

Elodie Chalmers
Global Head of Anti Bribery & Corruption and a.i. Global Head of FIU
UBS

Olivier Merkt
General Counsel
SGS Group Management

Véronique Nebel
Country Head of Regulatory Affairs & Policy
HSBC

Moderator

Benjamin Borsodi
Managing Partner
Schellenberg Wittmer (Switzerland)

  • Creating and maintaining a compliance risk assessment tool adapted to your industry risk factors
  • The changes your compliance programme must incorporate to meet industry sector standards locally and in overseas markets
  • What reporting mechanisms your compliance programme must have to ensure that findings are systematically reported to compliance officers, audit committees and legal counsel
  • Determining and making the case for an “independent and sufficient” budget for compliance

2:45
Conducting Effective Internal Investigations into Bribery and Corruption Allegations

Bettina Fornaro
Senior Manager
Fraud Investigation & Dispute Services

EY (Switzerland)

Lisette van Eenennaam
Group Legal Counsel Integrity
Vice President

ABB

Moderated by

Bruno Vigogne
Head of internal investigations
Lenz Staehelin

  • Defining the scope of an internal investigation and planning its costs
  • Challenges in coordinating investigations in multiple jurisdictions and coordinating different and sometimes incompatible legal systems
  • What the investigative process should look like: how do you scope and conduct an investigation?
  • How to gather the necessary evidence and build your internal team to manage the investigation
  • Investigating employees: understanding the privacy Implications — Which privacy notice must be given to the employee?
  • How to leverage technology, data analytics to improve investigative outcomes

3:45
Afternoon Refreshments
4:15
5:15
Anti-Corruption Collective Actions

Moderator

Gemma Aiolfi
Head of Compliance and Corporate Governance / Collective Action
Basel Institute on Governance

5:45
Networking Drinks

Day 2 - Wednesday, March 1, 2017

8:30
Welcome Coffee
9:00
Chair’s Opening Remarks

Gemma Aiolfi
Head of Compliance and Corporate Governance / Collective Action
Basel Institute on Governance

9:15
ROUND TABLES: Conducting Risk Assessments When Entering and Operating in Challenging Markets: What Dangers Do Multinationals Face?

Chris Sam
Vice President, Corporate Governance & Risk Officer Legal Affairs
Sidel Group

Jessica Kaplan
Head of Global Legal & Compliance
deugro

Steve Holt
Head of Financial and Forensic Investigations
K2 Intelligence

Moderated By:

Daniel Lucien Bühr
Partner
LALIVE SA

  • Formulating leading methodologies for conducting effective risk assessments
  • Detecting red flags for activities, transactions and schemes that are used to channel bribes
  • Assessing management, employee, vendor and agent knowledge
  • Working with finance, internal audit and accounting depart in the risk assessment
  • Implementing effective internal controls to prevent improper payments and fraud
  • What resources and structures are necessary to build on a due diligence?
  • Maintaining your integrity by knowing when to conduct risk assessments to detect new risks

10:15
Morning Refreshments
10:45
PANEL SESSION: Enhancing the Evolving Role of Internal Audit to Better Detect Compliance Weaknesses and Strengthen Internal Controls

Eugene Kornilovich
Internal Audit and Investigations Lead EMEA
Microsoft (UK)

Lisa Griffiths
Compliance Officer
Novartis

Olivier Maes
Former UBS Americas Financial Crime & Banking Regional Head Group Internal Audit

  • How to leverage the internal audit function to verify and test risky transactions upfront?
  • How to identify red flags and systematic patterns of bribery in your books and records
  • Getting buy-in from senior management and the board
  • Balancing “numbers that add up”, ethics and compliance: going beyond the numbers
  • How General Counsel, Audit and Compliance Executives are aligning their functions to strengthen ethics and compliance while remaining independent

12:00
Implementing Effective Whistleblowing Hotlines

Dr. Zora Ledergerber
Founder & CEO
Integrity Line

Kinga Frater
Group Legal Counsel
Autoneum Management AG

  • How the reporting channel has evolved over time?
  • How to make the whistleblowing hotlines work in practice, obtaining the employees’ trust and buy-in?
  • How to ensure the privacy of the whistle-blower and what are the company’s legal obligations to protect them?
  • Understanding and addressing privacy and employment law implications on whistle-blowers: key considerations
  • Outsourcing the reporting channel to mitigate the fear of reprisals and the cultural rejection
  • Tools to achieve a cultural change within your company and developing a culture of employee responsibility

12:45
Networking Luncheon
1:45
Controlling Bribery Risks When Interacting With Influential Local Decision Makers: Market Access Rights, Pricing and Other Regulatory Approvals

Cornelius Marguerre
General Counsel
Octapharma

Andrea Bazzotti
Senior Legal Advisor
Celgene International Sarl

Kyriaki Merakli
Group Compliance Officer
Helsinn Pharmaceutical Group of Companies

  • Practical tips on how to prevent and respond to requests for bribes and facilitation payments for – Licenses and customs paperwork
    • Tracking payments – The avoidance of blackmailing
    • What to do when put under duress
    • When to report documents • Resolving anti-corruption compliance challenges in relation to medical training and conferences
  • Risks and red flags associated with working with foreign public hospital officials

2:30
Compliance Monitoring Systems and the “Broken Windows Theory”

German Florez
C&ORC Specialist & eComms Monitoring
UBS AG

  • Short history behind the new Compliance Monitoring systems. (Libor – FX Scandal)
  • Current and new Monitoring systems
  • The new monitoring systems, a new opportunity to save money
  • The new compliance

3:00
Afternoon Refreshments
3:15
Utilizing Data Analytics to Improve the Overall Effectiveness of ABC Programmes

Paul Wang
Partner
Fraud Investigation & Dispute Services

EY (Switzerland)

  • Developments and innovations in anti-corruption programmes — Establishing buy-in throughout the business model and supply chain
  • How effective are data analytics as a tool? Assessing other innovative high-tech monitoring tools
  • The latest ABC analytics tools at your disposal to manage Information
  • Using data analytics and KPIs to assess effectiveness

4:00
The New Anti-Bribery Management System (ABMS) Standard ISO 37001: What is in it for You?

Jean-Pierre Méan
Counsel
MCE Attorneys (Switzerland)

  • Understanding the structure of the standard
  • Defining the Context of the organisation; assessing the leadership
  • Planning the ABMS; Support and resources
  • Operation to prevent and detect bribery; performance evaluation and improvement
  • The statutes of the business associates in the Standard
  • Typology: joint ventures, partners, clients…
  • Risks associated with the different type of business associates
  • The ISO requirement on business associate and how to use the ISO 37001 with business associates?
  • Overview of recent regulatory developments from a prosecutor’s perspective as well as recent enforcement cases and what is expected of companies to meet the new standard

4:45
Chair’s Summation & End of Conference