August 11-12, 2020 | Washington DC

American University Washington School of Law

AGENDA

August 11, 2020
August 12, 2020

8:00

Registration and Breakfast

9:00

Sanctions 2020: What Every Trade Compliance Professional Needs to Know

Divided into two segments, the first segment of the discussion will be dedicated to addressing up to the minute changes to global sanctions regulations, enforcement in key regions, including Iran and Russia, while the second segment of the session will explore how corporate executives are effectively maintaining compliance within those same regions by troubleshooting specific scenarios utilizing real-life facts.

- Rowan McDaniel, Head of Sanctions, United States, Financial Crimes Compliance, HSBC USA
- Moderator 1: Doreen Edelman, Partner, Lowenstein Sandler
- Moderator 2: Zarema Jaramillo, Partner, Lowenstein Sandler
- Moderator 3: Jason Burgoyne, Director, Export Compliance, Investigations and M&A, Honeywell|Aerospace

45mins

10:30

Refreshment Break

10:45

Chairs’ Opening Remarks & Attendee Ice Breaker

Laura J. Molinari, Executive Counsel, GE
Ann Broeker, Assistant General Counsel, Moody’s

45mins

11:15

Spotlight on 5 Common Global Compliance Risks

A session focused on common global sanctions compliance risks.

Nicole Erb, Partner, White & Case
Cristina Brayton-Lewis, Partner, White & Case

45mins

11:30

Government Enforcement Roundtable: Priorities, Trends and Considerations for Building a Best In Class Compliance Program for 2021 and Beyond

Join 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.

- Daniel Dodds, Enforcement Officer, Office of Foreign Assets Control (OFAC), U.S. Depart-ment of the Treasury
- Robert I. Dodge, Assistant Director, FCPA Unit, U.S. Securities and Exchange Commission
- Lorinda Laryea, Assistant Chief, FCPA Unit, U.S. Department of Justice
- Moderator: David Stuart, Partner, Cravath Swaine & Moore

45mins

12:30

Networking & Advisory Board Luncheons

45mins

1:45

Third Party Due Diligence Checklist: The Chief Compliance Officers’ Guide for Establishing Effective Vetting and Screening Processes and Procedures

Join Chief Compliance Officers as they participate in a practical and engaging discussion on best practices for evaluating potential third parties and partners. Including tips and tricks for successfully:

Identifying specific risk exposure presented by various types and levels of third parties
Managing unique vetting and screening challenges presented by specific jurisdictions
Discerning red and green flags when conducting background checks
Updating your vetting and screening process based on the growing and changing needs of your business
Vetting and screening state-owned entities
Establishing a process to verify third party compliance with your corporate compliance program

- Steph Vogel, Deputy Chief Compliance Officer & Assistant General Counsel, National Basketball Association
- Randi Roberts, Vice President & Associate General Counsel, Compliance, PVH
- Pia Vining, Senior Director, Due Diligence, TRACE International

45mins

2:30

Roadmap for Compliance: Proactive Strategies for Navigating China’s Belt and Road Initiative (BRI)

Since it’s inception in 2013, more than 130 countries have signed BRI investment agreements. Growing and evolving at an exceptional rate, the BRI initiative holds tremendous opportunity for global business- but with great opportunity comes great risks. Join panelists as they explore the ambitious development initiative including discussion on identifying those countries and regions ripe for BRI investment, trade routes, and what China’s geopolitical position means for corruption and compliance risks.

Jennifer Maki, Head of International Trade Compliance AD&M & Senior Counsel, TE Connectivi-ty
Moderator: Matt Bell, Senior Managing Director, Forensic & Litigation Consulting Practice Leader- Export Controls and Sanctions, FTI Consulting

45mins

3:15

Networking Break

3:30

CFIUS 2020: Navigating the New Committee on Foreign Investment in the United States (CFIUS) Regulations to Implement the Foreign Investment Risk Review Modernization Act of 2018 (FIRRMA)

The final CFIUS regulations are anticipated to go into effect by February 2020. Join panelists as they explore:

An overview of the new proposed regulations
Broadened jurisdiction- who falls within the scope of the new regulations?
Part 800- covered control transactions and covered investments
Part 802- covered real estate transactions
Key considerations for U.S. businesses and foreign investors

- Alicia Novak, Vice President of Compliance and Risk, F-Prime Capital Partners
- Scott Baucum, Vice President, U.S. Special Compliance & Asset Protection, Bayer
- Michael Stransky, Senior Manager for Foreign Affairs, Government Affairs and Policy Officer, General Electric
- Moderator: Randall Cook, Senior Managing Director, Ankura

45mins

4:15

Data Driven Risk Assessments- Empowering Compliance with Analytics

Is your compliance program effectively and strategically taking advantage of data? Listen and learn as panelists share the ways in which data and analytics is transforming organizations’ risk profiles, including discussion on:

How data- driven risk assessments are working to reduce corporate liability
Using predictive and behavioral analytics to spot non-compliance and fraud
Emerging technology and the growing role of Artificial Intelligence
Satisfying Government compliance expectations with data analytics

Julia P. Sorrentino, Senior Counsel & Director, Legal Services & Compliance Corporate Global Trade , Office of the General Counsel, Raytheon Company

45mins

5:00

Day 1 Adjourns, Co-Chairs’ Closing Remarks

5:15

Cocktail Hour

9:00

Looking ahead – Cybersecurity Maturity Model Certification (CMMC) and its relationship to the ITAR

This session will discuss the increasing enterprise risks and obligations introduced by the 2020 Department of Defense Cybersecurity Maturity Model Certification (CMMC) and its relationship to the ITAR/EAR. In-House Counsel and Compliance Officers will better understand the evolving legal, regulatory, and cybersecurity landscape and how to reduce their compliance and contracting risks to maintain current commercial and government contracts, and strategies to win more business leveraging cybersecurity as a competitive advantage.

- Jerry Leishman, Vice President and National Practice Director, Cortac Group
- Christos Linardakis, Managing Partner, Strategic Aerospace & Defense Advisors

45mins

10:00

Spotlight Address: Lessons Learned from Managing High Risk Transactions

10:20

Faces of ACES Award Ceremony

10:30

Coffee Break

10:45

Interactive Track Sessions: Co-Chairs’ Instructions and Opening Remarks

Prepare to roll up your sleeves and choose your own adventure as you specially tailor your onsite experience to meet the unique needs of your current compliance program. Designed specifically to tackle anti-corruption and global trade compliance related issues, attendees will partake in sessions that relate directly to their responsibilities while leaving impertinent content behind. Formatted for optimal benchmarking, engagement and strategizing opportunities, prepare to lean-in, take note and share during these highly collaborative sessions, including:

Practical Scenarios : Sessions designed specifically around interactive hypotheticals, brain-teasers and real-world conundrums
Expert Panels: Featuring the thought-leadership of leading in-house practitioners, identify solutions and tools for overcoming today’s most challenging and relevant anti-corruption and global trade obstacles
Breakout Discussions: Designed with group participation in mind- attendees will be responsible for driving discussion on various topics. Come prepared to share your most pressing questions and trusted solutions.

10:45

Track A: Anti Corruption-Practical Scenarios: Addressing Anti-Corruption Compliance Challenges in Joint Ventures, Mergers and Acquisitions

Scenario 1: You are the Chief Compliance Officer for Company X. Company X has recently announced plans to acquire Company Y.

Instructions: During this working group session, create a road map for outlining your initial FCPA due diligence strategy, including DOJ/SEC requirements, key risk areas, buyer considerations and seller considerations.

Scenario 2: Upon conducting your due diligence, you’ve identified some alarming books and records keeping Instructions: With your group discuss:

- What qualifies as “alarming”?
- What actions should be taken per SEC/DOJ guidance?

Rebecca Rohr, Vice President, Anti-Corruption and Global Trade, Ethics & Compliance Office, Hewlett Packard Enterprise
Frank Mirkow, Vice President, International Corporate Counsel and Compliance, Feld Entertainment

45mins

10:45

Track B: Global Trade – Privacy, Cyber Security and Data Control Considerations- What Every Compliance Officer Needs to Know

The final CFIUS regulations are anticipated to go into effect by February 2020. Join panelists as they explore:

The Impact of EU General Data Protection Regulation (GDPR) on corporate investigations and due diligence
Data protection regimes in Latin America, Asia and Africa
Safeguarding against a third party security breach

Lisa Barksdale, SVP, In Business Privacy Officer, NA Data Governance & Privacy, Citi
Joe Omurchadha, Head of Corporate Compliance & Ethics, Lidl

45mins

11:45

Track A: Anti-Corruption Practical Scenarios: Compliance Officer Handbook- Auditing your Whistleblower Program

You have just been hired as the first Chief Compliance Officer at Company X. Company X has several subsidiaries, located in South America, Asia and Europe. Your CEO prides themself on being an “compliance advocate” - so much so that all employees have access to the CEO’s personal number to report any wrongdoings. Per your CEOs directions, your first priority is to develop a comprehensive whistleblower manual. This manual will be provided to all employees, and will include one consistent policy with clear and precise instructions to be followed by all employees, globally. During this session, roll up your sleeves and join your working group in creating a 1 page manual that will include:

Your top 5 instructions for a Whistleblower
Current red flags surrounding existing practices
Recommended considerations for your CEO
Lessons learned from past experiences

Stephanie Accuosti, Associate General Counsel – Compliance, Weatherford

45mins

11:45

Track B: Global Trade Practical Scenarios: Classification and Licensing in Action

During this interactive exercise 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.

Joshua Richter, Sr. Director, Trade Compliance, Leonardo DRS
Michael Andersen, Director, Compliance and Empowered Official, Brownells
Julia Mason, Former Director, International Trade Operations, Vista Outdoor

45mins

12:45