Day 1 Monday, May 16, 2016

8:45 Co-Chairs’ Opening Remarks

Jonathan J. Rusch
SVP – Head of Anti-Bribery & Corruption Governance
Financial Crimes Risk Management
Wells Fargo

Philip Urofsky
Shearman & Sterling LLP



Timothy J. Delaney
Deputy Assistant Director Criminal Investigative Division
Federal Bureau of Investigation

9:30 Getting the Ear of Your Audit Committee and Board: Corporate Governance Considerations Affecting Your FCPA and SEC Compliance Status and Exposure

Joe Azam
Senior Vice President,
Legal & Group Chief Compliance Officer
News Corp

Ira H. Raphaelson
EVP & Global General Counsel
Las Vegas Sands Corp


Brian M. Heberlig
Steptoe & Johnson LLP

  • What recent cases reveal about the SEC’s expectations of a Board of Directors to instill and communicate a culture of compliance
  • Which elements of effective anti-corruption compliance programs need more Board involvement and attention
  • Determining the appropriate level of communication with the Board
  • How legal and compliance can continue to be heard as their organizations pursue new opportunities in high risk markets amid increased competition and challenges
  • Demonstrating the importance of good corporate governance as a critical element of mitigating corporate vs. individual exposure
  • How to work with the Board toward setting a tone of ethics and compliance
  • Proven strategies for communicating FCPA and related compliance risks to the Board and Audit Committee
  • Addressing Board expectations for oversight, engagement and management
  • Managing divergent Board and Audit Committee’s views on compliance, reporting and how to proceed during an SEC investigation

10:30 Networking Coffee Break


Stuart Alford QC
Head of Division
Serious Fraud Office (UK)

11:15 CHIEF RISK OFFICER PANEL How Leading Risk Professionals are Assessing and Weighting FCPA and Related Global Risks in the Current Environment

Bennett W. Golub, PhD
Chief Risk Officer


Rady A. Johnson II
Executive Vice President, Chief Compliance & Risk Officer


Si-Yeon Kim
Chief Compliance and Risk Officer
American Express Global Business Travel


Mark Mendelsohn - Moderator
Paul Weiss LLP (Washington, D.C.)


As an exclusive new feature for this year, benefit from first-hand, strategic guidance on how risk is being addressed at the C-Suite level in leading organizations and financial institutions. In addition to big picture insights on assessing and weighting risk factors, gain additional insight on approaches to tracking metrics and updating risk management practices as the global economic, legal and compliance landscapes continue to evolve.

12:15 Networking Luncheon for Attendees and Speakers

1:45 EU Data Privacy, Cybersecurity and their Impact on Reporting and Bribery Investigations: Strategic Insights for Cross-Border Transfers of Sensitive, Confidential Data

Stephen J. Shine
Chief Regulatory Counsel
Prudential Financial


Carol A. F. Umhoefer
DLA Piper (Paris/New York)


Lisa J. Sotto
Hunton & Williams LLP


Renard Francois
Global Chief Privacy Officer
General Electric Company


Steven M. Witzel – Panel Moderator
Fried, Frank, Harris, Shriver & Jacobson LLP

  • Trends in how EU regulators have interpreted data privacy vs. U.S. regulators
  • The Privacy Shield as an US-EU data transfer mechanism
  • Addressing cross-border transmitter issues: How to get lawful access to emails and other online data
  • Setting up databases to track ongoing investigations and hotline calls
  • How companies are strengthening cybersecurity efforts, and the impact on legitimate data access and transfers
  • Meeting U.S. agencies’ expectations for cooperation amid conflicting EU data privacy restrictions
  • How to properly investigate bribery without committing a criminal act under foreign data privacy laws
  • Monitoring your compliance program and investigations database to avoid privacy law violations
  • Pitfalls to avoid when vetting candidates for internships, boards and employment

3:00 Networking Coffee Break

3:15 PROGRAM BENCHMARKING Integrating Anti-Corruption Compliance into Your Business Operations: How to Sustain a Culture of Ethics & Compliance Through Effective Policies, Corporate Communications and Training

Nancy McCready Higgins
Vice President & Chief Ethics and Compliance Officer
Bechtel Group, Inc.


Dominick Lopez
Vice President Anti-Bribery & Corruption


Kimberly Sullivan Walker
Chief Compliance Officer


Carl Hahn
Vice President & Chief Compliance Officer
Northrop Grumman Corporation


Michael Savicki
Vice President, Compliance – The Americas
American Express Global Business Travel


Janine Kovats - Panel Moderator


At this highly anticipated panel, senior executives from a broad range of industries will impart best practices for achieving a continuous commitment to ethics and compliance across your organization.

  • Developing a comprehensive and sustainable strategy to prevent corruption: Lessons learned
  • Corporate communications: How to set the tone through effective messaging
  • How companies are updating their training programs for officers, directors, employees, agents and business partners: Overcoming training “fatigue” and staying up to speed on the latest training techniques
  • Strengthening policies and procedures, and internal controls
  • How to know if your message is being heard and followed
  • Addressing specific cultural nuances when localizing your training
  • Resolving heightened challenges to sustaining a culture of compliance in the field

4:30 GLOBAL SETTLEMENTS The Expanding Scope of Penalty Risks for Internal Control and Compliance Weaknesses: Status Report on Cross-Agency Enforcement

Jason Cowley
Chief, Money Laundering
and Asset Forfeiture Unit
U.S. Attorney’s Office for the Southern District of New York


Daniel Kahn
Acting Chief, FCPA Unit,
Fraud Section, Criminal Division
U.S. Department of Justice


Kris Easter Guidroz
Senior Special Counsel
US Securities and Exchange Commission


Lisa A. Prager – Panel Moderator
Schulte Roth & Zabel LLP


At this interactive session, key agency officials will discuss the realities of cross-agency cooperation and enforcement. In addition to providing updates, benefit from a unique opportunity to ask your questions, and gain updates on what can trigger overlapping FCPA, AML and securities liability.

5:30 Conference Adjourns

Day 2 Tuesday, May 17, 2016

9:00 Co-Chairs’ Opening Remarks

9:15 CORPORATE CULTURE & METRICS How Companies are Identifying and Using Reasonable Metrics to Measure Their Cultures of Compliance and Ethics

Lara Thyagarajan
Chief Counsel, Enforcement
Financial Industry Regulatory Authority (FINRA)


Jonathan J. Rusch
SVP – Head of Anti-Bribery & Corruption Governance
Financial Crimes Risk Management
Wells Fargo


Daniel Trujillo
Senior Vice President, Chief Ethics & Compliance Officer
Walmart International


Jonathan Drimmer
Vice President, Deputy General Counsel
Barrick Gold


Denise Messemer – Panel Moderator
Director Forensic Services Practice
PwC (New York)


  • Defining a “culture of compliance”
  • How government compliance expectations and costly enforcement actions have affected the use of metrics
  • The effectiveness and shortfalls of certain metrics, such as communications, leadership, HR, innovation, job performance, accountability, mission, values, turnover, compliance spending and representation of compliance staff in the C-Suite
  • How companies are using technologies, social media and big data for measuring culture
  • Measuring the ROI of company culture
  • Metrics that have proven useful in the context of measuring culture changes
  • How often to measure culture
  • Pros and cons of different methodologies, including employee surveys and self-assessments and analyzing financial metrics

10:45 Networking Break for Attendees and Speakers

11:15 The Realities of Managing Complex, Simultaneous Investigations and the Reputational Fallout: FCPA, Securities and White Collar Crime Enforcement Best Practices and “War Stories”

Steven E. Zipperstein
Vice President and Chief Legal Officer


Linda Chatman Thomsen
Davis Polk & Wardwell LLP


Alice Fisher
Latham & Watkins LLP


Sean Hecker
Debevoise & Plimpton LLP


Justin Lerer
Paul Weiss LLP (Washington, D.C.)


Mark Gerber - Moderator


At this interactive, practical panel, hear from former prosecutors and government decision-makers, and highly respected subject-matter experts on how the tackle the expected and unexpected legal, reputational and business challenges associated with complex litigation.

Topics will include:

  • Critical mistakes to avoid when managing complex litigation
  • Avoiding pitfalls when implementing your litigation strategy
  • Concrete examples of dealing effectively with reputational risks

12:30 Networking Luncheon for Attendees and Speakers

2:00 KEYNOTE ADDRESS Inside Judicial Evaluation of Evidence in FCPA Matters

Barbara S. Jones
Zuckerman Spaeder LLP
Former Judge, U.S. District Court
for the Southern District of New York


2:30 Sponsorship, Hospitality, Political and Charitable Contributions in the Wake of FIFA: The Latest Best Practices for Mitigating Evolving Risk Factors

Alexandra M. Cortina
Vice President, Global Anti-Bribery and Corruption
Credit Suisse


Susan Ringler
Vice President, Chief Ethics & Compliance Officer


Stephanie Vogel
Vice President, Assistant General Counsel
& Deputy Chief Compliance Officer
National Basketball Association

  • Reducing the risks of using third party vendors to handle your marketing and sponsorship activities
  • Navigating the blurry line between hospitality vs. a bribe
  • Best practices for organizing conferences, travel arrangements, sponsorships, advisory boards, and entertainment
  • Speaker programs, KOLs and thought leaders, and their use in marketing and promotions strategies
  • Travel agents and conference organizers
    • ensuring travel agencies and their activities match the conference itinerary
    • how to verify if the event has sufficient medical education and product discussion
  • Revisiting and updating practices for political and charitable contributions

3:45 The Untold Truths and Challenges Confronting Industry in Emerging Markets: A Candid Discussion of Entering and Expanding Your Operations in Real Life

Thomas Firestone
Baker & McKenzie LLP Former Resident Legal Adviser and
Acting Chief, Law Enforcement Section,
US Embassy in Moscow

Please consult the event website for additional, exclusive details.

4:30 Co-Chairs' Closing Remarks and Conference Concludes