DAY ONE AGENDA 2017

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Day One
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Registration and Breakfast
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Co-Chairs’ Opening Remarks – What a Difference One Year Makes – A Retrospective Review of the “ACES” Landscape and Looking Forward at the Impact of “ACES” Compliance on the Global Business Landscape

Event Chairs:

Lynn Van Buren, Assistant General Counsel; Global Trade Compliance | Verizon

Jonathan Rusch, SVP, Head of Anti-Bribery & Corruption Governance | Wells Fargo

Track Chairs:

Anti-Corruption/Anti-Bribery:

Joseph M. Azam, Senior Vice President, Legal & Group Chief Compliance Officer | News Corp

Export Controls/International Trade:

Howard Fields, Senior Vice President & Counsel, Anti-Money Laundering, Sanctions, and Export Compliance | Mastercard
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USDOJ Keynote Address

Trevor N. McFadden, Acting Principal Deputy Assistant Attorney General, U.S. Department of Justice |Criminal Division
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ACES Compliance Roundtable: Targets for Enforcement, Common Compliance Loopholes and Guidance for Achieving Best in Class Compliance

Rachel M. Fiorill, Section Chief, Enforcement Division, Office of Foreign Assets Control | U.S. Department of the Treasury

Philip Kuhn, Senior Special Agent, Office of Export Enforcement, Washington Field Office Bureau of Industry & Security | U.S. Department of Commerce

George McEachern, Supervisory Special Agent | Federal Bureau of Investigation

Moderator: Matt Queler, Principal | Deloitte Financial Advisory Services LLP

During this session benefit from the opportunity to hear from key Government agencies representing the range of anti-corruption/anti-bribery, export controls, international trade and sanctions regulation and enforcement. Take note as the panel shares insights on current enforcement targets and priorities, discusses common compliance loopholes and shares perspectives on how companies can achieve best in class compliance.
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5 on 5: Exploring the ABAC-International Trade Nexus – 5 Perspectives on 5 Key Challenges Facing Global Compliance, Legal & Trade Executives

Luis Kolster, Vice President, Chief Ethics & Compliance Officer- Latin America, Africa and India | Walmart International

Eugene Laney, Head of International Trade Affairs | DHL Express

Jonathan Rusch, SVP, Head of Anti-Bribery & Corruption Governance | Wells Fargo

Contract Negotiation, Due Diligence, JV’s/Strategic Acquisitions, Setup of New Business Operations in High Risk Markets, Management of Foreign Employees – all issues prone to global compliance challenges and ever more complicated by overlapping and intersecting regulatory schemes governing behavior including bribery, corruption and trade. Benefit during this session from the viewpoints of 5 executives representing various internal departments as they explore the complex regulatory landscape applicable to each issue and how their company has successfully tackled the issue while effectively allocating resources so as to preemptively identify risk and eliminate cross departmental redundancies.
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Morning Networking & Refreshment Break
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Risk-Based Change Management Strategies for Effectively Overseeing Third Party, Vendor, Supplier & Partner Relationships in High Risk Markets

Fred Alvarado, Director of Corporate Compliance | Nammo Inc.

Emily Lough, Corporate Counsel & Chief Compliance Officer | Maxwell Technologies, Inc.

Robert L. Chamberlain, Director of Operations, Corporate Intelligence | PwC

Change has become the one constant in today’s global business environment. Driving corporate expansions and opening the door for new partnerships and market expansion, change can also present a unique set of spontaneous compliance challenges driven by overlapping, conflicting and sometimes non-existent or unclear foreign regulations. Carefully approaching the third party conversation through the lens of change management – whether driven by a change in the regulatory landscape or a change in a partnership/employment relationship – be engaged during this session in a thoughtful discussion that will explore key do’s and don’ts for effectively evaluating (or potentially re-evaluating) a reseller, distributor, contractor or potential partner relationship when driven by a pertinent change impactful on that relationship. Taking note to address innovative approaches to this topic, learn how automation can be utilized to streamline this process, as well as special considerations for undergoing this process when operating in high risk markets.
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Investigations: Focus on Privacy & Procedure – Accounting for the Digital Footprint of Data & Heightened Privacy Expectations on Your Global Approach to Investigations

Krysten Jenci, Director, Office of Digital Services Industries | International Trade Administration U.S. Department of Commerce

Lisa M. Barksdale, VP & Senior Compliance Manager | Program Management | TD Bank

In Conversation With: John Buretta, Partner | Cravath, Swaine & Moore LLP

The past few years have been witness to an incredible period of evolution on the global privacy regulatory front, including the enactment of the EU-US Privacy Shield. Having a tremendous impact on how multi-national companies capture and treat data in the digital realm, investigations, whether initiated internally or externally, is an area that has been projected to be greatly impacted by changes in global privacy regulations. Considering the global nature of today’s workforce, the sensitive issue of privilege and the complexity of the procedure that is often required when undertaking a multi-jurisdictional investigation, it is critical that your organization remain up to speed on the current status of privacy regulations spanning the globe.

A core component of this panel’s discussion, learn firsthand about the Commerce department’s work on cross border data flows as well as how one of the most critical tools utilized by companies to stress test and unearth weak spots within your organization – investigations – is being impacted by a growing trend towards individual privacy protections.
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Luncheon Spotlight Address: From the Office of the Whistleblower – Addressing OWB’s Areas of Focus for 2017 and Identifying Common Areas for Compliance Loopholes That Open the Door for Whistleblower Allegations
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Track Sessions Begin


During the following track sessions attendees will have the opportunity to break out into discussions contingent on your particular area of expertise or concern.
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Track Session 1


Track A: Anti-Corruption/Anti-Bribery

Disclosure, Declinations, Cooperation & Credit: A Retrospective Examination of Recent USDOJ Initiatives – On the Path to Robust and Transparent Enforcement Targeting FCPA Violations

“Voluntary self-disclosure,” “full cooperation,” “remediation,” “credit” – all key terms identified by the Fraud Section’s Pilot Program and similarly given a clearly-defined connotation in the Section’s April 2016-released Enforcement Plan and Guidance. Specifically designed to “motivate companies to voluntarily self-disclose FCPA-related misconduct, fully cooperate with the Fraud Section, and, where appropriate, remediate flaws in their controls and compliance programs,” the Pilot Program builds on the September 9, 2015, Individual Accountability memorandum issued by Deputy Attorney General Yates and commonly referred to as the Yates Memo. Now 1.5 years post-Yates Memo and by the date of this event, at the 1 year mark for the Pilot Program, hear during this session what impact the Yates Memo as guidance and the Pilot Program as a new procedural mechanism have had on –

  • Voluntary self-disclosures, the calculation of credit and company’s willingness to come forward
  • Declinations, NPAs and DPAs – when enough might be just enough
  • Prosecutions, prosecutors and their approach towards companies during investigation
  • Perceptions, expectations and the charging of compliance professionals

Track B: Export Controls/International Trade

ECR Fallout – Living in the Aftermath of Export Control Reform – A Commodities Classification Case Study

During this case study discussion benefit from the opportunity to troubleshoot and discuss in real-time the classification of various types of commodities under current trade regulations. Utilizing a real-life scenario to explore different types of products and technologies learn what the appropriate classification for each product/technology would be and why based on current industry best practice, Government guidance and the current state of regulation. The session leaders will also share insights for handling items, products and technology where a conflict exists in classification determinations and definitions. Time will be reserved for open Q&A with the audience as well.
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Track Session 2


Track A: Anti-Corruption/Anti-Bribery

Gifts, Entertainment & Hospitality – Best Practices for Companies Operating in High Risk Markets

Jonathan Zdimal, Managing Director | KPMG LLP

Shellie L. Clausen, Deputy General Counsel and Chief Compliance Officer |Layne

During this discussion gain insights into how to establish a global corporate compliance policy that sets acceptable and realistic parameters for gifts, entertainment and hospitality, particularly within high risk markets. Learn how several companies have approached the establishment of guidelines that can accommodate the needs of your business while also keeping your spend and activities within the confines of the law. Walk away from this session with practical advice and recommendations on how to –

  • Establish policies that work on the ground – practical tips for delineating legitimate business expenditures from inappropriate spend
  • Account for and proactively address local custom and tradition in your jurisdiction-specific policy
  • Handle special requests from clients, prospects and business partners – what you can do to protect your company
  • Set effective internal controls for monitoring compliance with your corporate policy—
  • Overview of the most common financial accounting red flags
  • How to preemptively detect and track employee expense accounts

Track B: Export Controls/International Trade

ECR Fallout Mock Scenario – A Commodities Classification & Licensing Case Study Post-ECR

Kylie Gaskins, Sr. Engineer, Munitions Control Division, Office of Strategic Industries and Economic Security, Bureau of Industry and Security | U.S. Department of Commerce

Moderator: Tom Donovan, Director, Export Management | Northrop Grumman Corporation

During this case study discussion benefit from the opportunity to troubleshoot and discuss in real-time the classification and licensing of various types of commodities under current trade regulations. Utilizing a real-life scenario to explore different types of products and technologies learn what the appropriate classification for each product/technology would be and why based on current industry best practice, Government guidance and the current state of regulation. The session leaders will also share insights for handling items, products and technology where a conflict exists in classification determinations and definitions. Time will be reserved for open Q&A with the audience as well.
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Afternoon Networking & Refreshment Break
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Roundtable Discussions


During this time attendees will be offered the opportunity to break out into smaller roundtable discussions to engage in more intimate discussion with your peers on the topics that appeal most to you. Select one topic per segment.

  1. ISO/DIS 37001 – Update on Anti-Bribery Systems Guidance for Companies
  2. Gifts, Entertainment & Hospitality – Best Practices for Companies Operating in High Risk Markets
  3. Classification & Licensing Conundrums – Insights for Addressing Items, Products and Technology Not Captured by ECR
  4. UK Modern Slavery Act – What You Don’t Know About This Regulation and Its Active Enforcement Could Hurt You

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Roundtable Segment 1
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Roundtable Segment 2
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Session Adjourns to Day Two
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Networking Cocktail Reception Begins
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