17th Annual Compliance and Ethics Institute 2018

#P04

P04 - Anti-Corruption Workshop: FCPA and other Anti-Corruption Enforcement Hot Topics and Compliance Best Practices Iris Bennett, Member, Smith Pachter McWhorter PLC Natalie Lockwood, Counsel, General Motors Company Thuy Tran, Regional Compliance Officer - USA, SNC-Lavalin Shannon Young, US Employment & Ethics Counsel, WSP USA Inc View Description

• Using a hypothetical fact pattern the panelists will engage the audience in a discussion regarding the legal, compliance, governance, and strategic issues involved when a company and business partner encounter corruption issues on a government bid.
• Attendees will also learn about the latest anti-corruption regulatory and enforcement developments in the U.S. and abroad.
• Panelists will discuss best practices for ensuring anticorruption compliance and will encourage discussion from attendees regarding methods they use to mitigate corruption risk and address compliance breaches within their organizations.

International 104

#P13

P13 - Enforcement Goes International-What does it mean for your compliance program? Thomas Fox, Compliance Evangelist, Advance Compliance Solutions, Tomfoxlaw.com Matt Ellis, Partner, Miller & Chevalier Carlos Ayres, Partner, Maeda, Ayres e Sarubbi Advogados View Description

• Brazil now leads the list of countries where companies are under FCPA investigation. Yet that is often only the tip of the overall number of countries where companies may be under investigation. What does in the increase in international cooperation
• From the US corporate compliance perspective, how can a company protect itself from an industry or country sweep? Why do you need to understand not only who your third parties and business partners are but your customers as well?
• From the Brazilian perspective, what should companies be doing proactively in response to this or any other country sweep? How is this different from the American perspective? Is doing compliance in Brazil or any other country in South America different?

International 204

#104

104 - Challenges of working with Intermediaries in Emerging Markets Renata Muzzi, Partner, TozziniFreire Advogados Shin Jae Kim, Partner, TozziniFreire Advogados View Description

• How to react when you learn that a relevant intermediary is allegedly involved in a corruption scandal?
• Who should be involved to assess the situation?
• What kind of information do you need to gather?

International 304

#204

204 - Artificial Intelligence in Third Party Compliance Allan Matheson, Chief Executive Officer, Blue Umbrella View Description

• Discussion covering the key elements of Artificial intelligence (AI) and how it can be utilized in business processes to automate and increase efficiency, inclusive of key takeaways
• Dissection of the workflows behind third party compliance in order to isolate the areas where labor, resources, and decision making play the biggest role. This leads onto what technologies can be used to eliminate work and increase process efficiencies
• Exploration covering a variety of questions; What will Third Party Compliance look like in 5 years? 10? What tech, data and resources will be used to create a predictive model of third party compliance?

International 354

#304

304 - Communications Best Practices for a Global Workforce Kris Pugsley, Global Communications and Change Management, ON Semiconductor View Description

• How to effectively communicate your compliance program globally.
• Leveraging metrics to provide information on how to best communicate with your workforce.
• Benchmarking your practices against a World's Most Ethical Company

International 404

#404

404- Global Compliance - One size does not fit all LUIS SOLIS, SR MANAGER EHS COMPLIANCE, AT&T View Description

• One size doesn't fit all. As regulatory expectations change, it is important to have a core set of expectations, but be sure to value diversity and adapt in different business sectors, as well, as internationally.
• Tropicalization of policies/training. When doing business globally, it is imperative to understand the local laws and culture to ensure the spirit of the policy is captured, relevant to real-world experiences of the employers, and conveyed effectively.
• System & language limitations - Leverage local resources to overcome challenges and utilize existing tools, as existing processes may be as effective or better than proposed options.

International 454

#504

504 - Crash Course on United Kingdom and Ireland Regulations for US Companies Eric Brotten, Director, International & US-Domestic Compliance Programs, Optum Sarah Boswell-Healey, Senior Director, Compliance, UnitedHealth Group View Description

• A general overview of UK corporate regulatory compliance, including the Companies Act, Bribery Act, Criminal Finances Act, Modern Slavery Act, Health and Safety, Directors Obligations, and Brexit.
• A general overview of Ireland corporate regulatory compliance, including the Companies Act, Criminal Justice Bill, Health and Safety, and Brexit.
• A practical approach to implementing a new compliance program in UK&I or modifying an existing US compliance program for the UK&I markets.

International 504

#604

604 - Foreign Agents, Partners & Intermediaries: You Can't Live With Them, But You Can't Live Without Them James Lord, Consultant, Dow Jones Andy Hinton, VP, Global Ethics & Compliance, Retired, Google Harvey Woodford, Associate General Counsel, Facebook Xavier Oustalniol, Partner, StoneTurn View Description

• Overview of Global Anti-Corruption Laws and Guidance on Managing Third Party Risk.
• Implementation of an Effective Risk Based Approach to Due Diligence.
• Utilization of Data Analytics and Risk-based Sampling as a Component of Your Third-Party Risk Management Process.

International 554

#704

704 - While You Were Sleeping: Insights about the Realities of Ethics & Compliance in Asia from a Regional Compliance Director Jimmy Chatsuthiphan, Director, Compliance & Ethics APAC, Uber Technologies Jason Chang, Of Counsel, DLA Piper LLP (US) View Description

• An overview of the regulatory enforcement landscape, including recent investigations, trends and legal updates

• From an ethics and compliance standpoint, what tends to work well in Asia and what doesn't?

• Ideas on how to effectively train, investigate and communicate with management and employees in your Asian subsidiaries and operations.

International 604

#W04

W04 - Avoiding Investigation Pitfalls: a boots on the ground perspective Ann Sultan, Member , Miller and Chevalier David Adams, Compliance Counsel, Eaze View Description

• Advice on planning and executing your investigation, including: building trust with potential whistleblowers; navigating cross-border investigations and cultural nuances; and interacting with key stakeholders.
• Tips for information gathering - interviews, documents, and other creative sources.
• The who, what, when, where and why of communications strategies and government voluntary disclosures.

International 804

#W12

W12 - Dancing with Danger: How to Respond to the Changing Risk Environment in Latin America Patricia Colombo, Director of Legal and Compliance, FUJIFILM do Brasil Emanuel Batista, Associate Managing Director, Kroll Isabel Simmerman, Ethics & Compliance Counsel, The AES Corporation View Description

• Corruption Risks in Brazil, Argentina, Colombia, and Mexico: Gain insight into recent corruption headlines and their impact on local anti-corruption laws and the overall culture of compliance.
• Understanding Local Nuances: What you need to know about your third parties in the region and the significance of due diligence in identifying and mitigating risks.
• Compliance trends in Brazil, Argentina, Colombia, and Mexico and their impact to corporate governance. Increasing collaboration between US and Latin American authorities. What you need to know to navigate the global regulatory landscape.

International 812