March 17-18, 2020 | Washington DC
American University Washington School of Law
Registration and Breakfast
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
- Doreen Edelman, Partner, Lowenstein Sandler
- Moderator: Zarema Jaramillo, Partner, Lowenstein Sandler
Chairs’ Opening Remarks & Attendee Ice Breaker
- Laura J. Molinari, Executive Counsel, GE
- Tina Shaughnessy, Director of Export/Sanctions, Varian Medical Systems
ACES Keynote: Ethics in Washington: Setting the Tone from the Top
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
- Moderator: David Stuart, Partner, Cravath Swaine & Moore
Networking & Advisory Board Luncheons
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
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
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
- Moderator: Waqas Shahid, Senior Managing Director, Ankura
Connectivi-ty to Connectivity
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
Day 1 Adjourns, Co-Chairs’ Closing Remarks
Legal Ethics in ACES Primer
Spotlight Address: Lessons Learned from Managing High Risk Transactions
Faces of ACES Award Ceremony
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.
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.
- 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
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
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
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.
- Neil Ray, Associate Director, Global Trade Compliance, Illumina
- Joshua Richter, Sr. Director, Trade Compliance, Leonardo DRS
- Michael Andersen, Director, Compliance and Empowered Official, Brownells
Track A: Anti-Corruption The CCO’s Top 5: Unboxing the Year’s Most Significant Developments and Considerations
Join panelists for a lively discussion as they walk through the 5 most significant global anti-corruption developments of the past year. Including discussion on international enforcement actions, emerging regulations and legislation, trends and anti-corruption priorities worldwide.
- Moderator: John Buretta, Partner, Cravath Swaine & Moore
Track B: Global Trade Fireside Chat: The L3Harris Consent Agreement
On September 19, 2019, the DDTC entered into a consent agreement with L3Harris for alleged violations of the Arms Export Control Act (“AECA”) and the International Traffic in Arms Regulations (“ITAR”). L3Harris, an aerospace and defense technology company, allegedly committed violations that involved the unauthorized export of defense articles and technical data, as well as a failure to provide accurate and complete reporting and violations of licenses.
- Randy Cook, Managing Director, Ankura
Track A: Anti-Corruption: Tales from a Monitorship: What to Expect When Transforming Global Operations Post Violation
Learn how your organization can benefit from the collective experiences of others as you are provided with insights into how your company can successfully recover and build a robust compliance program within your global organization post-investigation, settlement or prosecution. Including discussion on:
- Monitor selection
- On-boarding your Monitor, relationship building and the significance and importance of internal messaging and attitudes
- Internal and external resourcing and relationship management
- Goal tracking and journey mapping
Track B: Global Trade: What Keeps You Up at Night? The Technology Controls, Data Transfers, Encryption and Emerging Technology Edition
Join presenters for an engaging and lively discussion as they explore their top 5 challenges and solutions for navigating trade controls, data transfers, encryption and emerging technology. Including insightful conversation on classification and implementation challenges, licensing, common compliance pitfalls, foreign requirements and keeping pace with an ever- evolving regulatory atmosphere.
- Jeannette Goodwin, Director, International Trade, Northrop Grumman
- Tom Donovan, Director, Global Trade Management, Northrop Grumman Corporation
4:00pm BREAKOUT SESSIONS
Breakout 1: Trends in Training- What is Working? Tools, Programs and Strategies for Avoiding Employee Fatigue and Ensuring Comprehension
4:30 BREAKOUT SESSIONS
Breakout 3: Crisis Management Strategies- This is Not a Test: Risk Management Tools for Traversing an Unplanned Event
Closing Remarks Event Concludes- See you in 2021!
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