IQPC Exchange Corporate Compliance Exchange

8:20 – 8:30

Chair’s Opening Remarks

Helen Ashton Jean-Claude Najar
General Counsel France and Chief Compliance Counsel EMEA
GE Capital

8:30 – 9:15

Chaired by:
Tom Brophy Geoff Nicholas
Partner
Freshfields Bruckhaus Deringer LLP

Presenting:
Tom Brophy
Group Deputy General Counsel
Wolseley plc

Vivian Robinson QC
General Counsel
Serious Fraud Office

UK Bribery Act and the adequate procedures guidance

The UK Bribery Act, arguably the world’s toughest anti-corruption legislation to date, is due to come into force in April 2011 and will affect all companies with UK operations. Organisations are reassessing their exposure to corruption risk and taking proactive steps to adapt policies and procedures.

In this practical session a compliance officer and regulator will offer their insights to help you meet the stringent standards of the UK Bribery Act. Panelists will address the following key areas:

New corporate offence of failing to prevent bribery
The adequate procedures defence and guidance
The wide jurisdictional scope and reach of the Act - comparisons with the FCPA
What should your anti-corruption compliance programme look like in light of the UK Bribery Act?
The approach of the regulators; how much discretion will prosecuting authorities show, for example with regard to facilitation payments?

9:15 – 9:55

Helen Ashton
Director of Compliance
BT Group

Tim Langton
VP Compliance and Ethics, Exploration & Production, Group Compliance & Ethics
BP plc

The fine line between corporate gifts, hospitality and bribery

Corporate hospitality is a familiar part of international business but there are a huge number of pitfalls. Across international borders a 'gift' can take on different meaning from country to country. As well as setting a company policy on gifts and hospitality, you also need to consider the local traditions cultural differences. This session will answer the following questions:

What are the thresholds for corporate gifts and hospitality?
When does a commercial payment become a bribe?
How can you ensure compliance throughout a sponsorship or marketing campaign?

10:10 – 10:40

10:40 – 11:10

Business Meeting

BrainWeave™

How do you get employees to engage with your compliance management systems

Led By

Donald Maciver
Chairman
Gael Ltd

11:10 – 11:40

11:40 – 12:10

Business Meeting

BrainWeave™

Critical conversations for the Chief Compliance Officer

Led By

Scott M. Giordano, Esq.
Corporate Technology Counsel
Mitratech

12:10 – 12:50

Dealings with third parties and due diligence assessments

When trading internationally, more often than not companies will deal with third parties such as commercial agents and distributers. A key issue for companies dealing with third parties is the need for thorough and effective due diligence to make sure you avoid potential compliance risks.

In this session you will hear best practice examples from companies who regularly deal with third parties. They will illustrate how to conduct due diligence assessments and what key risk indicators you should look out for to help you mitigate the risks.

This session will also look at how you can risk assess which third parties you should be conducting due diligence on and what methods such as red flags.

Gary Jones Roeland Van Aelst
Vice President EMEA & Canada, J&J Health Care Compliance& Privacy
Johnson & Johnson

Silo thinking and how to overcome this

Companies can often face challenges when parts of the business fall into silo thinking and when you, as a compliance professional, need them to change their business plan to fit into the company wide compliance strategy, you can face resistance. To develop an effective compliance programme, you must ensure there is an integrated approach to compliance not just globally but also across all business units. In this session speakers will address the following challenges:

How can compliance professionals persuade business units to change their business plan? How best can you mitigate compliance gaps within the business?

Wolf-Frenkel Wolf Frenklel
General Counsel and Chief Compliance Officer
BearingPoint Consulting

Helen Ashton Jean-Claude Najar
General Counsel France and Chief Compliance Counsel EMEA
GE Capital

14:00 –14:40

MASTERCLASS	MASTERCLASS
Operating data-intensive corporate investigations: opportunities and threats The European corporate community is increasingly faced with the burden of conducting internal and external investigations. Conducting these kinds of investigations in a European context brings with it opportunities as well as threats. The following will be discussed: Data related aspects of corporate investigations Is this world of corporate investigation driven by the traditional US practice? Various strategies for data preservation in European context with regard to data privacy compliance Is there delineation between internal and external investigations? Implementing lessons learned in data management with regard to the IT and security infrastructure Identifying the typical parties involved in an investigation Cost and scope of an investigation – the usual suspects Rafik Abboud Chief Executive Officer H7b1 Legal Technologies	Compliance and regulatory due diligence assessments on third parties Increasingly companies are operating in new markets to chase lucrative new business opportunities, but compliance risks can often go hand in hand with emerging markets. Carrying out effective regulatory due diligence on target companies or intermediaries is essential to ensure local and international compliance. In this session you will learn what constitutes effective due diligence and how in-depth your investigations need to be.

MASTERCLASS

Operating data-intensive corporate investigations: opportunities and threats

The European corporate community is increasingly faced with the burden of conducting internal and external investigations. Conducting these kinds of investigations in a European context brings with it opportunities as well as threats.

The following will be discussed:

Data related aspects of corporate investigations
Is this world of corporate investigation driven by the traditional US practice?
Various strategies for data preservation in European context with regard to data privacy compliance
Is there delineation between internal and external investigations?
Implementing lessons learned in data management with regard to the IT and security infrastructure
Identifying the typical parties involved in an investigation
Cost and scope of an investigation – the usual suspects

Rafik Abboud
Chief Executive Officer
H7b1 Legal Technologies

H7b1_Small

Compliance and regulatory due diligence assessments on third parties

Increasingly companies are operating in new markets to chase lucrative new business opportunities, but compliance risks can often go hand in hand with emerging markets.

Carrying out effective regulatory due diligence on target companies or intermediaries is essential to ensure local and international compliance. In this session you will learn what constitutes effective due diligence and how in-depth your investigations need to be.

14:40 – 15:20

The extraterritorial reach of the FCPA: recent case law and legislative developments

US prosecutors are increasingly seeking to enforce the FCPA against non-US companies and individuals. The Department of Justice brought a record 26 actions in 2009 and the Securities and Exchange Commission brought another 14.

In this session you will hear analysis of the recent enforcement activity, including the Daimler settlement, and an update on the impact of the latest legislative changes such as the Dodd-Frank Wall Street Reform and Consumer Protection Act and the Section 922 whistleblower provision.

Joost Wiebenga Raja Chatterjee
Global Head, Anti-Corruption Group
Morgan Stanley

Whistleblowing culture and managing change in global whistleblowing requirements

Part of a comprehensive compliance programme is encouraging employees to voice concerns about possible internal corruption, and taking steps to protect actual and perceived whistleblowers.

Multi-national companies typically adopt corporate compliance hotlines not only in the country where the obligation arises, but also for subsidiaries and offices in other countries. However companies need to ensure they stay within the strict boundaries of the local data protection laws as well as other frequently changing legal requirements and must ensure that adequate communication helps to foster a positive attitude of staff towards the internal reporting system.

In this session you will discover how to overcome the challenges that can arise on a global scale. You will also be updated on the changes brought about by the US financial reform bill which has established a new bounty programme to encourage securities law whistleblowing, including violations of the FCPA as well as an update regarding the UK Bribery Act.

Joost Wiebenga Daniel Sandmann
Head of Compliance Policy
Communications & Regulatory Affairs
Group Compliance
Allianz SE

15:20 – 15:50

15:50 – 16:20

Business Meeting

BrainWeave™

Compliance Risk Assessment: A practical approach

Led By

Dr. Andreas Kramer
Senior Manager, Risk & Compliance
KPMG

16:20 –16:50

16:50 – 17:20

Business Meeting

BrainWeave™

Cost-effective Staffing for Bribery Act/FCPA - Types of roles and suitable backgrounds to consider given shortage of specialists

Led by

David Symes FCA
VP London Chartered Accountants & MD
Compliance Recruitment
Solutions Ltd

CRS

17:20 – 18:00

Case study: Compliance programmes: Coming out of a crisis

In 2009, prosecutors in Germany led an investigation into alleged bribery at MAN SE; this was the biggest bribery case in German recent history after Siemens. MAN has put in place a new Compliance Department, headed by Olaf Schneider. How will the new team emerge from this crisis?

In this session, Olaf Schneider will outline the crisis that hit MAN in 2009. He will offer practical insights and show how they are building and strengthening the compliance programme to promote a sustainable compliance structure and prevent corruption happening in future.

Helen Ashton Olaf Schneider
Chief Compliance Officer
MAN SE