Programme Day Two: Wednesday 6th April, 2011
7:30 – 8:30
8:20 – 8.30
Chair’s Recap of Day One
General Counsel France and Chief Compliance Counsel EMEA
8:30 – 9:15
Panelists will include:
Head of Corporate Legal Antitrust
Novartis International AG
Associate General Counsel Antitrust
Head of Legal Affairs
Competition compliance programmes and regulatory scrutiny
Breaches of competition law can leave a company facing multi-million pound fines and/or imprisonment, plus substantial reputational damage. As the risks of companies engaging in cartels, bid-rigging and other non-competitive behaviour increases, the attention that the European Commission pays to such breaches, and the fines they impose, are on the rise. Your business must be committed to competition compliance right from the top down.
In this session you will hear how an effective competition law compliance programme can prepare you if you are faced with a regulatory investigation. Speakers will analyse the latest cases, highlight the practical challenges facing companies trying to achieve a competition law compliance culture, and discuss what has worked well in practice. Speakers will also address the ways that competition law compliance can help to win business by positioning themselves as an ethical business.
Practical advice for corporates on ethical standards and prosecutors' priorities
As well as having a good knowledge of the local regulations, compliance professionals must also understand the regulatory and enforcement priorities of the local regulators and the ethical standards that should be met.
In this session, panelists will discuss latest enforcement actions and will offer insights into regulatory approaches to help you to understand how to comply across country borders and how prosecutors cooperate during investigations. There will also be a discussion of the balance between prevention and punishment and the reparations to the victims of corruption, who are often forgotten.
9:55 – 10:10
10:10 – 10:50
Compliance reporting and setting the right KPIs
There has been much talk about compliance reporting, but what problems are companies really facing? You need to make sure your compliance data is fit for purpose and that the right KPIs are being set for the compliance department.
- Does workshop style training really work?
- Do you have the right resources on the ground and what can local compliances teams do to access the right resources?
In this session you will learn how compliance reporting tools can be used to measure performance and ensure that you have a complete audit trail in place.
Implementing a robust competition law compliance programme
It is imperative that your company has an effective competition compliance programme in place and that senior managers are confident that all staff comply with the rules. This is not only to avoid falling foul of competition law but also to minimize the impact if your company is found guilty of a breach, as a robust compliance policy can qualify your company for a fine reduction.
In this session you will learn how to develop an effective competition law compliance programme and how to achieve a culture of competition law compliance within your organisation.
10:50 – 11:20
11:20 – 11:50
Successfully rolling out a global whistleblowing hotline
11:50 – 12:20
12:20 – 12:50
How to design effective face to face ethics and compliance training
12:50 – 14:00
14:00 – 14:40
The blurred boundaries between facilitation payments and bribes
Many organisations are not confident that their local country managers will always adopt the right ethical approach to business because they are so focused on profit delivery. The economic climate has exacerbated this problem due to the drive to cut costs where possible.
You need to set clear guidelines so that if an employee is faced with the opportunity to avoid potentially costly delays in transactions by making a payment, they must understand at what point a commercial payment can become a bribe.
This session will show you how to put in place such guidelines for employees and will analyse what impact will the UK Bribery Act zero tolerance approach to facilitation payments have in practice.
Deputy General Counsel and Chief Compliance Counsel EMEA
Doing business internationally: Local compliance challenges and best practice in higher risk countries
As business becomes more international and companies expand into emerging markets and higher risk countries, the approach to compliance needs to evolve. Global expansion leads to more local employees and more contact with local regulators, and these changes bring with them a host of compliance challenges. In this session the following questions will be addressed:
- How can compliance officers put together a unified group of compliance rules and apply these on a global scale?
- Can a domestic compliance programme be applied on a global scale or do you need a different programme in each country?
- Are there any hurdles to be aware of in specific countries?
- How can you persuade local employees to maintain the companies' ethical standards?
Head of Legal Affairs EMEA
Ranjeev C Dubey
14:40 – 14:55
14:55 – 15:35
Panelists will include:
Group General Counsel
Roeland Van Aelst
Vice President EMEA & Canada, J&J Health Care Compliance & Privacy
Johnson & Johnson
Responsible regulation: What should good regulation look like?
Regulators now have an increasing reach; they are stepping up enforcement actions and in the past few years have been levying record fines on corporates. As many of the regulators who levy the fines also keep hold of the fines, this can lead to ethical questions about best practice. There are a number of principles that regulators must adhere to: as well as human rights considerations, the penalties that a regulator enforces must be workable and/or capable of effective supervision.
In this session, panelists will debate what good regulation really looks like and the conflicts of interest that may arise.
Case Study: Cultural change and employee behaviour: 'tone at the top' and 'mood in the middle'
When devising a successful compliance and risk programme you must address the behavior of employees. Many people assume that employees already know what ethical standards they should meet but this is usually not the case. In order to accomplish good corporate governance the compliance message needs to be constantly reinforced by line managers and at board level.
In this session you will learn how to engage middle-management and how to effectively cascade buy in from the top down to the next levels. You will hear best practice advice on creative approaches to employee engagement and how to maintain ethical standards across a global network of office locations.
Chair’s Closing Remarks
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