World Compliance - FCPA Spring Tour 2012

Join us
Join us Thursday April 26th at the Hyatt Regency San Francisco for a comprehensive look at Strategies to keep your company compliant.

CLE credit pending

Agenda

9:00am - Ryan Morgan AML/CA, CCEP WorldCompliance opening remarks

9:05am to 10:30am - Tom Fox, TFoxlaw.Com presents

Aon-cross-border international enforcement is here.

What does your company need to do to prepare
What are the differences in the FCPA and Bribery Act?
What can you do to be ready for an international investigation?

BizJet-early self-disclosure and extraordinary cooperation are keys to a
substantial reduction in monetary fine.

Continuous monitoring is key
What does Dodd-Frank mean for early self-disclosure
How does a company negotiate with the DOJ/SEC

Smith and Nephew-an agent by any other name is an agent

Distributors are agents under the FCPA
How to use of local compliance advocates
What steps can you take to make your compliance program more robust

10:30am – Coffee break

10:45am to 11:45 – Michael Volkov, Mayer Brown Partner presents
Anti-Corruption Compliance: Protecting your Company from Enforcement

Examination of recent Justice Department and SEC enforcement actions and
trends for the upcoming year
Discussion of practical solutions to recurring compliance issues
Sharing of compliance strategies and programs designed to keep your company in compliance

11:45am to 12:00 – Ryan Morgan AML/CA, CCEP WorldCompliance presents case study

12:00 – Closing comments

About WorldCompliance
WorldCompliance empowers you to identify corrupt Foreign Officials and State Owned Enterprises within your business network. Our Global Foreign Official List contains more than 500,000 detailed profiles of State Owned Enterprises, their executives, shareholders and board members. With more than 2000 customers in more than 140 countries, WorldCompliance is the premier information provider for compliance with the FCPA and UK Bribery Act.

World M^plus, our proprietary Account Opening Screening Software allows you to perform initial Third Party Due Diligence, and with the click of a button submit information for automatic and continuous monitoring. World M^plus is the most innovative approach for vetting agents and distributors.

Mitigate the risk of engaging with a corrupt Third Party by simply entering the name of the business partner into our web-based interface; receive a printable, audit-proof report of the entity you are dealing with, and flag them for continuous monitoring. World M^plus alerts you if new information links your agent to a higher corruption risk, potentially endangering your organization.

Agenda
9 AM – Opening remarks by Ryan Morgan AML/CA, CCEP - Anti Corruption Specialist, WorldCompliance

9:15 to 10:15 Tom Fox, Attorney - Tom Fox Law– “Lessons Learned from the last 4 years, understanding how DPAs and NPA can help you guide your policy”

Panalpina-the 13 points of a best practices compliance program. The DOJ lays out its most current thinking on the minimum compliance program, with focus on foreign business partners, including
• Application of Compliance Policies to Foreign Business Partner
• Training on compliance program
• Ongoing advice and training
• Compliance terms and conditions in all contract

RAE and Joint Ventures.
• Transactions were executed in accordance with management's general or specific authorization;
• Transactions were recorded as necessary to (a) permit preparation of financial statements in conformity with generally accepted accounting principles or any other criteria applicable to such statements, and (b) maintain accountability for assets;
• Access to assets were permitted only in accordance with management's general or specific authorization; and
• The recorded accountability for assets was compared with the existing assets at reasonable intervals, and appropriate action taken with respect to any differences.

Alcatel Lucent, Maxwell Technologies and Tyson Foods-Risk Assessments.
• Geography
• Interaction with types and levels of Governments.
• Industrial Sector of Operations
• Involvement with JVs
• Licenses and Permits in Operations
• Degree of Government Oversight
• Customs and Immigration

Johnson and Johnson-Enhanced Compliance Obligations.
• Compliance Department
• Gifts, Hospitality and Travel
• Complaints and Reports
• Risks Assessments and Audits
• Acquisitions
• Relationships with Third Parties
• Training
• Annual Certifications

Tenaris- actions which can lead to NPA rather than a DPA.
• Timely, voluntary and complete disclosure of all facts
• Real Time Cooperation with DOJ and SEC
• Voluntary and full investigation
• Extensive Remedial Efforts
• Commitment to enhanced compliance program
• Commitment to submit period monitoring reports to DOJ

10:15 to 10:30 Break

10:30 to 11:30 Michael Volkov, Attorney – Mayer Brown

Brief overview of FCPA, UK Bribery Act and relevant differences
• public and private bribery
• facilitation payments
• adequate procedures defense v. compliance credit
• extraterritorial jurisdiction

Identifying the Key issues from the FCPA and UK Bribery Act which may apply to your business and assessing current compliance program
• countries of operation
• industry
• level of government interactions, mergers and acquisitions
• joint ventures
• use of third parties
• gifts, meals, entertainment policies, charitable contributions and other issues

Principles for Compliance Program
• Designed for the business
• Need for buy in from business
• Problem Solving v. Dr. No
• Need to educate key gatekeepers to identify issues and raise them for resolution
• Documentation is the Key

Solving Specific Problems
• There is a solution for every problem
• Documentation
• Building a record to negate corrupt intent
• Good faith effort to comply is key to protecting people from going to jail (ostrich approach means jail)

Real World Problems
• Gift giving in China, Taiwan or Korea: bribes do not have to be in money; negating corrupt
intent
• Screening 3rd Party Agents: Large fees, Success fees, Close ties to government officials
• Defining “Due Diligence” – “reasonable inquiries”
• Damn the Torpedoes: Buying a company in 2 weeks with no pre-acquisition due diligence
• Securing a Permit in Afghanistan: You know something is wrong – what do you do?
• Paying extraordinary Visa fees to ensure the Safety of Your Employees?
• Making Decisions on Less than Full Information – The Importance of Anti-Corruption Representations and Warranties
• My Fish is About to Rot: Paying Customs Bribes or Destroying Your Product – Lessons in Extortion

11:30 to 12:30 Panel Discussion – applying lessons learned to your organization’s policies & procedures
Panelists:
• Jeremy Warren - Head of Financial Crime Prevention (FCPA) & Chief AML Officer EMEA Newedge Financial Group
• Panelists #2 & #3 to be announced

12:30 to 1 PM Question and Answer Session

YOUR SPEAKERS

Thomas R. Fox
General Counsel / Chief Compliance Officer
Client-focused, innovative attorney, with expertise in contracts, corporate law, international law, compliance, and small business affairs for major Fortune 500 corporations, such as Halliburton, Smith and Wesson, Exxon, Tesoro, and Texaco, as well as small and solo business owners.

Thomas built an international reputation as the “Nuts and Bolts” compliance expert. He successfully managed legal involvement in cases using social media and blogging to educate the public. He is noted for providing superior and the most responsive legal services for the greatest value. He is a resourceful negotiator, with high integrity and good judgment who can provide direction and credible legal expertise.

Michael Volkov
Michael Volkov is a shareholder in the LeClair Ryan Firm’s Compliance, Investigations and White Collar Criminal Defense Practice Area team. His practice focuses on white collar defense, corporate compliance, internal investigations, and regulatory enforcement matters. He is a former federal prosecutor with almost 30 years’ experience in a variety of government positions and private practice.

Michael has extensive experience representing clients on matters involving the Foreign Corrupt Practices Act, the UK Bribery Act, money laundering, Office of Foreign Asset Control (OFAC), export controls, sanctions and International Traffic in Arms, False Claims Act, Congressional
investigations, online gambling and regulatory enforcement issues.

Michael maintains a well-known blog: Corruption Crime & Compliance,
www.corruptioncrimecompliance.com, which is frequently cited by anti-corruption professionals
and professionals in the compliance industry.

Ryan Morgan
AML/CA, CCEP - Anti Corruption Specialist, WorldCompliance

Ryan Morgan Ryan is the Anti-Corruption Specialist for WorldCompliance, offering his clients insight on risk evaluation, implementing effective due diligence policies, as well as best practices in protecting their company’s reputation. In this position, Ryan works with some of the world’s largest financial institutions, Fortune 500 companies, and governments to develop effective FCPA policies and procedures and help battle corruption and money laundering around the globe.

In 2007, Ryan joined WorldCompliance where he began servicing financial companies in the US and the world. Mr. Morgan has attended industry conferences focused on preventing corruption, money laundering, and terrorism financing all over the world. In 2011, he was one of the speakers of the FCPA Blog Tour, where he discussed due diligence strategies for complying with the Foreign Corrupt Practices Act. He has also participated in workshops where he consulted the US government on ways to fight drug trafficking in the US and Latin America.

Sincerely,

Lee Moran
Global Marketing Director