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FCPA Agenda September 2009
1. September 21-23, 2009 HEAR FROM PARTICIPATING
ORGANIZATIONS:
Washington, D.C. Baker & McKenzie
Baker Hughes
Foreign Corrupt
Barrick Gold Corporation
Citigroup
Coca-Cola Ltd.
Dow Jones
Federal Bureau of Investigation
Practices Act
TM
General Electric Company
Gibson, Dunn & Crutcher
Google Inc.
Holland & Knight
Defining New Strategies in Global Anti-Corruption for 2009 and Beyond
Honeywell International
Lockheed Martin Corporation
McDonald’s Corporation
Merrill Lynch
Morgan Lewis
Morgan Stanley
Organization for Economic
Co-Operation and
Development
Pfizer Inc.
Raytheon Company
Shearman & Sterling
Siemens AG
This is the Premiere FCPA Event Expert Advisory Board: The Ethisphere Institute
in the U.S. to learn about: Nancy Z. Boswell The Fairfax Group
TRANSPARENCY INTERNATIONAL Transparency International USA
The potent new risk of charging
individuals for violations Alexander Brigham, Executive Director Tyco International
THE ETHISPHERE INSTITUTE
The latest enforcement U.S. Department of Justice
Sharie A. Brown, Partner, DLA PIPER
priorities from the DOJ U.S. Securities and
and SEC Joel Kirsch, Vice President, Chief Compliance Exchange Commission
Officer and Associate General Counsel
Lessons learned from recent SIEMENS CORPORATION United Nations Office on
investigations and prosecutions Drugs and Crime
Paul J. McNulty,
(Former Deputy AG of the U.S.) Wolff & Sampson
Which industries are exposed
to the most risk—and why Philip Urofsky, Partner,
SHEARMAN & STERLING
The coming changes in FCPA EARN CLE CREDITS!
enforcement Government Representation:
Steven Tyrrell, Chief, Fraud Section – Criminal Division
The incredibly valuable lessons U.S. DOJ
for every American company
learned from the Siemens Mark F. Mendelsohn, Deputy Chief, Fraud Section,
Criminal Division, U.S. DOJ
experience
Donald W. Freese, Supervisory Special Agent,
The differences between International Program Manager,
permissible gifts—and bribes Public Corruption Unit, FBI
Cutting-edge methods for Stephanie Shuler, Branch Chief, Division of
Enforcement, U.S. SEC
overcoming corruption risks
Gary Grindler, Deputy Assistant Attorney General,
The newest exposure for banks: US. Department of Justice
corruption charges And many more!
Sponsors: Media Partners:
Supporting Partners:
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2. NETWORK WITH
YOUR PEERS!
Foreign Corrupt Director of Corporate
Conduct and Compliance
Compliance and Ethics
Practices Act
TM
Officers
Compliance Counsel
Dear Colleague, General Counsel
There has been a recent enormous explosion in FCPA and anti-corruption
Vice Presidents and Directors of:
enforcement by U.S. and foreign governments all around the world.That explosion Corporate Compliance
has now produced unprecedented risk everywhere. Legal Affairs
Just consider: the annual number of FCPA enforcement actions alone has increased over fourteen Special Investigations
fold from 2003-2009. And that figure does not take into account the enforcement actions by Business Conduct
foreign anti-corruption authorities who are now working hand-in-hand with the American Ethics
government. Integrity
As the risks keep spreading to more and more industries, no American company can even Corporate Social
remotely afford the consequences of non-compliance. Responsibility
Those consequences have now become quite severe: heavy civil and criminal International Trade and
penalties for both individuals and corporations; large profit losses and, ever more, the Regulatory
imposition of expensive independent monitors on companies who break the rules. Internal Audit
Is your company completely up-to-date in its strategic planning to meet those risks? Contracts
The increasingly difficult and changing challenges are impossible to meet without an effective Trade Compliance
anti-corruption and compliance program that requires constant reassessment. Why even take the Sustainable Development
chance?
That is why IQPC is holding its Foreign Corrupt Practices Act: Minimizing Risk and
Defining New Strategies in Global Anti-Corruption in the heart of the nation’s capital,
Washington, D.C. on September 21-23, 2009.
This is an outstanding learning experience.
After extensively researching the most cutting-edge and up-to-date developments, IQPC will
bring together all of the leading experts in FCPA: government officials, general counsel, outside
counsel, and consultants who spend all of their waking hours working with the legislation, its
implementation and its consequences.
Through the use of interactive case studies, you will learn:
The potent new risks against individuals in corporations—and how to defend them
How to build the right set of controls to prevent violations
The industries at greatest risk—now including the banks
How to incorporate the important changes that are required for your ALSO:
compliance program as a result of recent cases against both companies and Forensic Accountants
the individuals involved in them Heads of Investigation
The best steps you can take to design and implement due diligence on any prospective Forensic Investigators
foreign third party relationship Prosecutors
The latest rules on when—and how—to make voluntary disclosure
What you can do—and not do—when courting foreign companies and
Certified Fraud Examiners
government officials
How to incorporate the strongest FCPA auditing requirements into your Private practitioners in:
company’s compliance program Fraud
How to effectively deal with and control the costs arising from the imposition of Corporate Crime
expensive monitors—if it ever happens to you
How to fully prepare for the growth in investigations
Anti-Money Laundering
White Collar
You cannot afford to miss the premiere FCPA event in America!
International Trade and
I look forward to seeing you in Washington D.C.! Business Transactions
Kindest regards, Foreign Investment
Regulatory Compliance
Corporate Compliance
Fred Sagal, MA., LL.M and Governance
Conference Director Administrative Law
Internal Investigation
2 Register Today! Call Andrew: 416.597.4728 or email: andrew.drummond@iqpc.com
3. PRE-CONFERENCE WORKSHOPS
Monday, September 21, 2009
10:00 a.m. - 1:00 p.m. WORKSHOP A 1:30-4:30 WORKSHOP B
FCPA COMPLIANCE CHALLENGES IN EMERGING MARKETS: AN INTRICATE GUIDE TO CONDUCTING DUE DILIGENCE IN
ENFORCEMENT GOES GLOBAL DIFFERENT COUNTRIES: AN INVALUABLE GUIDE FOR EVERY
AMERICAN CORPORATE OFFICIAL IN ANTI-CORRUPTION
When doing business in any foreign jurisdiction, companies should make every effort Recent experiences in enforcement have clearly shown that any company which
to align their business strategy closely with local cultures, languages, business practices does international business will face serious civil and criminal consequences as
and regulations. In emerging markets like Brazil, Argentina,Venezuela, Russia, India, and well as severe financial penalties if the foreign third parties they deal with commit
China, however, certain generally accepted business practices add a layer of risk for bribery or other corrupt moves. Continual compliance becomes a strong
corruption and bribery that require companies to carefully oversee and monitor their imperative. But the exact nature of that compliance is often not understood by
businesses to limit the risk of FCPA violations. officials in U.S. companies.
Strong compliance programs and effective internal investigations are essential to In this interactive workshop, you will learn from top experts in the field of due
managing these risks. This interactive workshop will guide you through the compliance diligence about the strategies that are required to stop this. You will find out how
steps necessary to identify control and environmental weaknesses and to protect your to investigate your potential business partners and get up-to-date information on:
company against potential FCPA violations in emerging markets. The exact requirements you are expected to know about your foreign
It will also outline the process of conducting a cross-border, anti-corruption partners or intermediaries
investigation that seeks to preserve the integrity of the investigation while balancing How to establish a policy for due diligence
issues like the attorney client privilege and work product protection, the challenges of How to gather information about the officers and directors of the foreign
partners or intermediaries while still honoring privacy laws
international evidence gathering, cooperation with foreign and U.S. authorities, adhering
The steps required to monitor intermediaries once you establish your
to local customs and cultural sensitivities, and managing the unique obstacles present in
relationship with them
emerging markets. The steps you should perform for in-house due diligence
Amy Conway-Hatcher Using cost-effective measures to carry on your due diligence
Partner Kevin Abikoff
MORGAN, LEWIS & BOCKIUS Partner
Maria Gonzalez Calvet HUGHES HUBBARD
MORGAN, LEWIS & BOCKIUS Larry V. Buel
Tara Flanagan Director, International and Domestic Agreements, Compliance
Director,World Wide Public Sector Compliance & Product Security RAYTHEON COMPANY
CISCO SYSTEMS Robert Rosen
Johanna Rogers Risk & Compliance Specialist
Chief of Compliance and Chief Compliance Officer DOW JONES
SUNGARD Anne Caputo
Executive Director, DOW JONES & COMPANY
President, SPECIAL LIBRARIES ASSOCIATION
Main Conference | Day One | Tuesday, September 22, 2009
7:45 REGISTRATION AND COFFEE Changing compliance expectations by enforcement agencies
The likelihood of concurrent U.S. and international investigation
8:30 CO-CHAIRS’ OPENING REMARKS Increased competitor reports because of corrupt activities
Moderator:
8:45 THE IMPORTANT NEW TRENDS IN FCPA
Philip Urofsky
ENFORCEMENT: LOOKING AT 2009 AND BEYOND Partner
The number of FCPA enforcement actions pursued by U.S. authorities
SHEARMAN & STERLING LLP
has recently increased dramatically. So has the corresponding rise in
(Formerly Assistant Chief of the Fraud Section of the Department of Justice)
the penalties paid by companies in settlement of enforcement actions.
In 2003, there were two actions. That figure increased to 42 in 2007— Panel:
and the number for 2008 almost equaled that. The figures for 2009 Donald W. Freese
reflect that same trend. Eight-figure FCPA penalties have now become Supervisory Special Agent, International Program Manager Public Corruption Unit
commonplace. And these staggering numbers are just the beginning FEDERAL BUREAU OF INVESTIGATION
of the FCPA enforcement actions—far more is about to happen to Steven Tyrrell
corporations of every size who engage in corruption. Chief, Fraud Section – Criminal Division
This session is moderated by a prominent Washington lawyer who, U.S. DEPARTMENT OF JUSTICE
when he was with the DOJ, tried more FCPA cases than any other Stephanie Shuler
attorney.You will learn about: Branch Chief, Division of Enforcement
The potent new risk: how the authorities are charging U.S. SECURITIES AND EXCHANGE COMMISSION
individuals or the corporations separately and in sequence to
build their case 10:00 NETWORKING COFFEE BREAK
Lessons learned from recent investigations and prosecutions
The significant increases in costs for violators 10:30 THE GLOBAL ANTI-CORRUPTION EFFORTS
The latest enforcement priorities from the DOJ and SEC Assessing the OECD, OAS and UN convention and its impact
Which industries are exposed to the most risk — and why? on eradicating anti-corruption
Media Partners:
Don't Miss Early Bird Pricing! See p.7 for Details. 3
4. Main Conference | Day One | Tuesday, September 22, 2009
Recent anti-corruption initiatives and enforcements in 12:30 NETWORKING LUNCHEON FOR
emerging markets SPEAKERS AND DELEGATES
Comparative regional risks: CEE, Asia, Latin America and Middle Gary Grindler
East/Africa, including China, India and Russia Deputy Assistant Attorney General
The other players: OECD, the United Nations and US. DEPARTMENT OF JUSTICE
Transparency International You will gain an interesting perspective from Mr. Grindler, who
A review of non-U.S. landmark cases and enforcement actions oversees the Fraud Section of the Criminal Division, giving him
Cultural issues that can undermine compliance initiatives oversight of the FCPA program in the Department of Justice
Nicola Bonucci
Director of Legal Affairs 2:00 PREPARING FOR AND CONDUCTING BOTH
ORGANIZATION FOR ECONOMIC CO-OPERATION INTERNAL AND GLOBAL INVESTIGATIONS
AND DEVELOPMENT FOR CORRUPTION
(Paris, France) How to determine whether an investigation is necessary
Nancy Z. Boswell – when should it be conducted?
President & CEO – who should do it—inside or outside counsel?
TRANSPARENCY INTERNATIONAL/USA The scope of the investigation
Privilege and privacy issues
Stuart C. Gilman
The data-privacy issues in EU countries and elsewhere
Deputy Director, Stolen Asset Recovery Initiative and Senior Advisor,
Record-keeping in less developed countries
Governance, Security and the Rule of Law Section, Division for Operations
Information collection techniques outside the US
UNITED NATIONS OFFICE ON DRUGS AND CRIME
Data collection
(Vienna, Austria)
In-country issues
What should be done with the results of the investigation—
11:30 THE CRITICAL STEPS REQUIRED TO CRAFT
and how to resolve it
AN INNOVATIVE AND EFFECTIVE GLOBAL
Avoiding a monitor
ANTI-CORRUPTION PROGRAM
Doing business while under investigation
Every U.S. company can minimize the risks of FCPA liability by
establishing a carefully tailored compliance program that educates Moderator:
employees about the conduct that is prohibited by the FCPA, a clear Baruch Weiss
signal that management takes such prohibition seriously. An effective Partner
FCPA compliance program increases the odds that any misconduct will ARENT FOX
be detected and deterred at an early stage. How can such a program Panel:
be established? And what is required? In this session, you will learn: Mark F. Mendelsohn
Why an FCPA compliance program should be viewed as an Deputy Chief, Fraud Section, Criminal Division
essential risk management tool U.S. DEPARTMENT OF JUSTICE
What a company’s system of fraud risk needs to accomplish
Gary E. Giampetuzzi
The key controls that will prevent improper payment and fraud
Assistant General Counsel and Deputy Compliance Officer,
How your financial accounting system can identify fraud and
International Investigations and Programs
payments that might be questioned
PFIZER INC.
The key steps that should be adopted in a program
How companies with effective compliance programs will be
3:00 REFRESHMENT BREAK
rewarded in settlement negotiations—and how those without
them will receive harsher punishments
3:15 INTERNATIONAL DOCUMENT REVIEW: HOW TO
How to establish effective training sessions for the company
STREAMLINE YOUR INVESTIGATION
after implementing the program
Dealing with foreign language and translation.
The lessons to be learned from Lucent’s failure to adopt a program
International access to domestic documents.
Moderator: Domestic access to international documents.
Alexander Brigham Rules and regulations around access to e-discovery.
Executive Director Identification of irrelevant and duplicate documents.
THE ETHISPHERE INSTITUTE Concept searching and clustering for more efficient and
Panel: accurate review.
Julia K. Bailey Ian Campbell
Assistant General Counsel, International Transactions and Compliance Chief Operating Officer
HONEYWELL INTERNATIONAL ICONECT DEVELOPMENT LLC
Andrew Hinton
Associate General Counsel and Global Ethics & Compliance Officer 4: 15 SUCCESSFULLY WORKING WITH THE
GOOGLE Inc. NEWEST DEVELOPMENTS IN THE IMPOSITION
Cheryl Scarboro OF COMPLIANCE MONITORS
Associate Director-Division of Enforcement The Department of Justice recently released guidelines for selection
U.S. SECURTIES AND EXCHANGE COMMISSION and use of monitors in deferred and non-prosecution agreements.
A component of such agreements is often the imposition of a
Media Partners:
4 Register Today! Call Andrew: 416.597.4728
5. Main Conference | Day One | Tuesday, September 22, 2009
corporate monitor who is charged with, among other things, Invaluable lessons learned from the experiences of Baker
reviewing the company’s FCPA policies and procedures and making Hughes and Vetco
recommendations to ensure future FCPA compliance. But it is a Moderator and Speaker
minefield fraught with complications. In this presentation, moderated Michael J. Hershman
by Michael Hershman,, who was recently named as one of 2008’s most President and CEO
influential people in business ethics, and featuring two very prominent THE FAIRFAX GROUP
Americans who have served as monitors, you will learn: (Independent Compliance Advisor to Siemens AG and Independent
Understanding the choices: when and how to negotiate for a Monitor to several corporations)
consultant instead of a monitor Panel:
The newest DOJ guidelines for hiring monitors David Samson
What is the exact role of the monitors—and the powers that they Partner
can exercise? WOLFF & SAMSON PC
(Federal Monitor for Smith & Nephew; Former Attorney-General
How can the corporation be prepared to work with a monitor?
of New Jersey)
– establishing an effective working relationship
– how to control the potentially enormous costs Debra Wong Yang
Partner
– the oversight of the monitor
GIBSON DUNN & CRUTCHER
How to minimize business disruption when working with a Monitor (Independent Monitor for DePuy; Former U.S. Attorney for the
What kinds of changes should be made in the company before District of California)
the monitor arrives?
5:15 CONFERENCE ADJOURNS
Main Conference | Day Two | Wednesday, September 23, 2009
8:30 CO-CHAIRS’ OPENING REMARKS 9:45 CONDUCTING DUE DILIGENCE OF FOREIGN
THIRD PARTIES TO MINIMIZE LIABILITY RISKS
8:45 KNOWING EXACTLY WHERE TO DRAW THE The majority of FCPA enforcement cases brought by the DOJ and SEC
LINE: THE DIFFERENCES BETWEEN involve the use of third party intermediaries. This development has
PERMISSIBLE GIFTS, ENTERTAINMENT AND made companies realize that they must be vigilant about due diligence
TRAVEL FOR FOREIGN OFFICIALS-AND BRIBES in hiring intermediaries. Companies positioned worldwide dealing
While prohibiting payment of any money or thing of value to foreign with local customs and local managers must understand and develop
officials to obtain or retain business, the FCPA permits incurring
global operational controls. In this presentation, you will learn how
certain expenses on behalf of those same officials. It recognizes the
practical realities of doing business overseas. But there is a right way to develop a due diligence program that can greatly mitigate the risk
and wrong way to handle gifts, travel and entertainment.—and the presented by intermediaries. You will learn:
subtle differences must be clearly understood. In this session, you will How to institute a pre-hiring due diligence program
learn about the limits of permissible payments and how to deal with The background checks that are required
them. You will hear: What a U.S. company must identify about the intermediary
Recent and important case studies which illustrate the wrong – the types of third parties
way to handle travel and lodging expenses – regional and country factors
The right way to handle the payments The specific disclosures that must be made by the intermediary
The guidance by the DOJ on how to incur travel and lodging How to structure the necessary contractual provisions
expenses for government officials and certifications
The FCPA’s definition of facilitating payments: when does a The “red flags” that need to be explored
payment become a bribe? The oversight required by a company over the intermediary
The use of extortion, duress and custom as defense
Why third-party intermediaries should attend and complete
How to satisfy U.S. law recordation requirements
certifications in FCPA training
Patrick J. Garver
Executive Vice President and General Counsel Moderator & Speaker
BARRICK GOLD CORPORATION Joel Kirsch
Vice President, Chief Compliance Officer & Associate General Counsel
Jay G. Martin
Vice President, Chief Compliance Officer & Senior Deputy General Counsel SIEMENS CORPORATION
BAKER HUGHES Panel
Michael L. Burton Sharon Zealey
Partner Chief Ethics and Compliance Officer
ARENT FOX COCA-COLA LTD.
Raja Chatterjee Nathan J. Muyskens
Global Head, Anti-Corruption Group Partner
MORGAN STANLEY Shook, Hardy & Bacon
Media Partners:
Register Today! Call Andrew: 416.597.4728 5
6. Main Conference | Day Two | Wednesday, September 23, 2009
10:45 REFRESHMENT BREAK this unique presentation, learn about:
Why the sheer volume of state-owned companies worldwide
11:15 WHAT EVERY AMERICAN COMPANY SHOULD (China alone has over 100,000) and the fact that many operate
KNOW ABOUT SUCCESSFUL PROACTIVE RISK across borders as owners of joint ventures make them so
AND COMPLIANCE STRATEGIES TO MAXIMIZE difficult to identify
ANTI-CORRUPTION M&A DUE DILIGENCE How the differences between local language and translated
Unwary companies—both large and small--can end up buying FCPA websites can mislead companies and compliance departments,
liability by failing to conduct appropriate due diligence of their causing them to base key decisions on misinformation
intended partner in mergers and acquisitions. Companies alert to How to overcome these significant hurdles
the risk have been able to avoid successor liability altogether or How new research capabilities can identify and track state-
obtain assurances about the scope of potential FCPA liability before owned companies
the transaction is complete. In this presentation, learn what every How a unique new anti-corruption database, launched in
American company of any size should pay careful attention to the December, 2008, is the only worldwide mechanism that
potential exposure created by these transactions. Using actual case enables firms to verify their employee actions and significantly
studies, you will learn: reducing risk.
How effective pre-acquisition due diligence uncovered alleged Moderator:
FCPA violations in proposed mergers Robert Rosen
How successful companies protect themselves Risk & Compliance Specialist
The two recent DOJ opinion releases about how companies DOW JONES
should approach pre-acquisition due diligence
Panel:
Invaluable lessons for every corporation learned from the
Larry V. Buel
experiences of General Electric, Lockheed Martin, Johnson
Director, International and Domestic Agreements, Compliance
Controls and other smaller American companies
RAYTHEON COMPANY
The importance of post-acquisition obligations
The steps every U.S. company should take to mitigate the risk Jeff Harwin
of FCPA liability Director of the Global Monetary and Financial Control Group
MERRILL LYNCH INC.
Jeffrey C. Eglash
Senior Counsel, Investigations/Compliance Dan Zarin
GENERAL ELECTRIC COMPANY Partner
HOLLAND & KNIGHT
Matthew O.Tanzer
Vice President and Chief Compliance Officer
2:30 THE NEWEST IMPORTANT ART: DEFENDING
TYCO INTERNATIONAL
INDIVIDUALS UNDER THE FCPA
Mark Mendelson, the Justice Department official responsible for
12:15 NETWORKING LUNCHEON FOR
criminal prosecutions under the FCPA, has left no doubt that the
SPEAKERS AND DELEGATES
U.S. government is now actively targeting individuals under the FCPA.
SPECIAL LUNCHEON ADDRESS
He recently said that: “The number of individual prosecutions has risen
Paul J. McNulty
– and that’s not an accident.That is quite intentional on the part of the
Partner
Department. It is our view that to have a credible deterrent effect, people
BAKER & McKENZIE
have to go to jail. People have to be prosecuted where appropriate.This is a
Mr. McNulty was U.S. Deputy Attorney General, the second highest-
federal crime.This is not fun and games.”
ranking official in the Department of Justice, from 2005-2007. For
In this session, learn about the DOJ’s increasing focus on individual
more than two decades, he played a leading role in shaping U.S. law
prosecutions and find out:
enforcement policy.
The latest information, complete with case studies, about individual
prosecutions: how did they get caught and what happened?
1:30 CUTTING-EDGE METHODS FOR OVERCOMING
The complications of defending individuals under the legislation —
THE SIGNIFICANT CORRUPTION RISK OF
and the possible collision between individual and corporate interests
STATE-OWNED COMPANIES
When should separate counsel be provided for individuals?
A key component to any anti-corruption program is correctly
The defenses that are available for individuals
identifying state-owned companies and their employees (who are
The keys to mounting a successful defense
considered government officials) so compliance executives can treat
Who pays for the defense—the individual or the company
those relationships with appropriate oversight and control. Failing to
recognize and address state employees as such puts companies at risk
3:20 REFRESHMENT BREAK
of violating corruption regulations and opens them up to prosecution,
reputation damage and financial penalties. But there are solutions. In
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September 21-23, 2009 Defining New
Washington, D.C. Strategies in
Global Anti-
Foreign Corrupt Corruption for
2009 and Beyond
Practices Act
TM
Defining New Strategies in Global Anti-Corruption for 2009 and Beyond
Sponsors:
Supporting Partners:
Register Today! Call Andrew: 416.597.4728 or e-mail: andrew.drummond@iqpc.com