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Satisfy Your CLE, CPE and CPD Requirements!
Coping with U.S. Export
Controls and Sanctions 2014
• Identify changes to the export control system and new sanctions developments
• Hear from export and trade control regulators from the U.S. Departments
of Commerce, State, Treasury, Defense and Justice
• Understand international perspectives on U.S. export controls and sanctions
• Learn to navigate ethical issues and come away with compliance best practices
(and earn one hour of ethics credit!)
Washington, D.C., December 11-12, 2014
Register Today at www.pli.edu/FHD4 or Call (800) 260-4PLI
Coping with U.S. Export
Controls and Sanctions 2014
Why You Should Attend
Export controls and economic sanctions continue to change rapidly. It is more important than ever
for institutions in all sectors of the economy to stay on top of developments in the United States and
other countries. Companies and financial institutions must be aware of their compliance and disclosure
obligations, enforcement trends and priorities, and emerging risks. Implementing and strengthening
compliance programs is an increasingly important priority in all industries. For over twenty years,
PLI’s Coping with U.S. Export Controls has been the go-to program on trade control laws and
regulations. The program enables attendees to “get inside” international trade controls through
give-and-take among key officials from the government agencies that regulate cross-border trade
and investment, experienced company managers and top lawyers in the field.
What You Will Learn
• Export control reform: Scope, status and implementation at the Departments of Commerce,
State and Defense
• Economic sanctions: Russia/Ukraine, Iran, Syria, Sudan, Burma and Cuba
• Short-supply controls and oil exports
• Retaliatory/secondary sanctions as a foreign policy tool
• Requirements and best practices for SEC Iran disclosures
• Cloud computing and data management
• Sanctions developments in the EU and other countries
• Enforcement and voluntary disclosures: Penalties and enforcement policies
• Lessons from recent cases
• Compliance programs: How to design and implement an effective and efficient system
• Ethics issues for international trade control practitioners
Who Should Attend
Attorneys from law firms and law departments; counsel and managers from companies selling
consumer, high-tech, and defense products; and from banks, carriers, and trade logistics firms.
Save the Date — Upcoming 2015 Seminar!
Foreign Corrupt Practices Act and International Anti-Corruption Developments 2015
May 4-5, 2015 – New York City and Live Webcast
For a complete list of PLI offerings, visit www.pli.edu
Register Today at www.pli.edu/FHD4 or Call (800) 260-4PLI
Faculty
Co-Chairs:
Peter L. Flanagan
Covington & Burling LLP
Washington, D.C.
Christopher R. Wall
Pillsbury Winthrop Shaw Pittman LLP
Washington, D.C.
Tristan Abbey
Republican Professional Staff Member
Senate Energy & Natural
Resources Committee
Washington, D.C.
Lee Hale
Global Head of Sanctions,
Financial Crime Compliance
HSBC Holdings plc
London
Beth M. McCormick
Director, Defense Technology
Security Administration
U.S. Department of Defense
Washington, D.C.
Eileen M. Albanese
Director, Office of National Security and
Technology Transfer Controls
Bureau of Industry and Security
U.S. Department of Commerce
Washington, D.C.
Kenneth B. Handelman
Deputy Assistant Secretary of State
for Defense Trade Controls
U.S. Department of State
Washington, D.C.
Brian H. Nilsson
Director, Non-Proliferation –
Export Controls
National Security Council
Washington, D.C.
Chester Paul Beach, Jr.
Vice President, International
Trade Compliance
United Technologies Corporation
Hartford, Connecticut
Peter E. Harrell
Deputy Assistant Secretary for Counter
Threat Finance and Sanctions
Bureau of Economic and Business Affairs
U.S. Department of State
Washington, D.C.
Meredith Rathbone
Steptoe & Johnson LLP
Washington, D.C.
Matthew S. Borman
Deputy Assistant Secretary of
Commerce for Export Administration
Bureau of Industry and Security
U.S. Department of Commerce
Washington, D.C.
Douglas R. Hassebrock
Director
Office of Export Enforcement
Bureau of Industry and Security
U.S. Department of Commerce
Washington, D.C.
Pierre Cardin
Senior Vice President, Group Export
Compliance Officer
Airbus Group
Group Export Compliance Office
Munich
Matt Haynie
Counsel
API
Washington, D.C.
David S. Cohen
Under Secretary for Terrorism
and Financial Intelligence
U.S. Department of the Treasury
Washington, D.C.
Sarah J. Heidema
Division Chief, Regulatory and
Multilateral Affairs
Office of Defense Trade Controls Policy
Directorate of Defense Trade Controls
U.S. Department of State
Washington, D.C.
Thomas P. Feddo
Assistant Director for Enforcement
Office of Foreign Assets Control
U.S. Department of the Treasury
Washington, D.C.
Christine Lee
Director, Compliance &
International Trade Counsel
United Technologies Corporation
Washington, D.C.
Benjamin H. Flowe, Jr.
Berliner, Corcoran & Rowe, LLP
Washington, D.C.
Greta Lichtenbaum
O’Melveny & Myers LLP
Washington, D.C.
Carol Fuchs
Executive Counsel, International
Trade Regulation
GE Corporate, International Law & Policy
Washington, D.C.
David Lorello
Covington & Burling LLP
London
Candace M. J. Goforth
Managing Director
Goforth Trade Advisors LLC
Alexandria, Virginia
Paul Marquardt
Cleary Gottlieb Steen & Hamilton LLP
Washington, D.C.
Julia Court Ryan
Senior Counsel, Global Trade Compliance
Raytheon Company
Rosslyn, Virginia
Jeffrey Schwartz
Global Trade Counsel
Hewlett-Packard Company
Washington, D.C.
Frederick F. Shaheen
Chief Counsel, Global Trade
The Boeing Company
Arlington, Virginia
Natalia G. Shehadeh
VP & Chief Compliance Officer
Weatherford
Houston
Arthur Shulman
Senior Compliance Specialist
Office of Defense Trade
Controls Compliance
U.S. Department of State
Washington, D.C.
Bradley T. Smith
Chief Counsel
Office of Foreign Assets Control
U.S. Department of the Treasury
Washington, D.C.
Matthew T. West
Baker Botts L.L.P.
Washington, D.C.
Kevin J. Wolf
Assistant Secretary of Commerce
for Export Administration
Bureau of Industry and Security
U.S. Department of Commerce
Washington, D.C.
Program Attorney: Laura R. Shields
Program Schedule
Day One: 9:00 a.m. – 5:00 p.m.
Morning Session: 9:00 a.m. – 12:00 p.m.
Afternoon Session: 1:30 p.m. – 5:00 p.m.
9:00
1:30
Introduction and Welcoming Remarks
OFAC Sanctions Update
Peter L. Flanagan, Christopher R. Wall
• Evolution and scope of the
Russia/Ukraine sanctions
• Impact of P5 + 1 negotiations
on Iran sanctions
• SEC reporting under the Iran Threat
Reduction Act
• Burma sanctions and the investment
reporting requirement
• Sudan, South Sudan, Syria and Cuba
sanctions updates
• Liability and enforcement theories
from international bank cases
9:15
EAR Developments
• Movement of items from the USML to the CCL
• Transition issues in export control reform
• Understanding and operationalizing License
Exception STA
• Scope and impact of satellite-related reforms
• Navigating the de minimis rules and exclusions
• Role of the Entity List
Eileen M. Albanese, Christine Lee,
Meredith Rathbone
10:30 Networking Break
10:45
ITAR Developments
• USML category revisions
• Transition issues – impact on processing
licenses and agreements
• Satellite export controls
• “Specially designed” and “defense services”
• Dual/third country nationals
• Brokering and Part 130 reporting
• Recent advisory opinion interpretations
• ECR impact on commodity jurisdiction
determinations
Carol Fuchs, Paul Marquardt, Bradley T. Smith
2:45 Networking Break
3:00
Short Supply Controls
• Statutory framework
• When are Presidential determinations required?
• Exchanges and swaps
• Exports of foreign origin oil
• Definition of crude oil – condensates and
heavy crude
• Administration policy and legislative initiatives
Tristan Abbey, Matt Haynie
4:00
Candace M. J. Goforth, Sarah J. Heidema,
Frederick F. Shaheen
International Perspectives on U.S. Export
Controls and Sanctions
12:00
• Impact of ECR on non-U.S. companies
• Reexports and License Exception STA
• Evolving scope and impact of Iran sanctions
• Joint plan of action implementation
• Russia/Ukraine sanctions developments
• U.S./EU sanctions policy
cooperation/coordination
Networking Luncheon
Featured Speaker
David S. Cohen
Under Secretary for Terrorism and
Financial Intelligence
U.S. Department of the Treasury
Washington, D.C.
Pierre Cardin, Peter E. Harrell, David Lorello
5:00 Adjourn
Please plan to arrive with enough time to register before the conference begins.
A networking breakfast will be available upon your arrival.
Day Two: 9:00 a.m. – 5:00 p.m.
Morning Session: 9:00 a.m. – 12:00 p.m.
Afternoon Session: 1:15 p.m. – 5:00 p.m.
9:00
1:15
Export Control Reform – Policy Perspectives
Compliance Issues and Best Practices
A. Featured Speaker
• Requirements and expectations of trade control
enforcement agreements
• Agency practices with consent agreements
and related enforcement undertakings
• Selecting and dealing with external monitors
• Best practices in compliance program
improvements in the wake of enforcement
settlements
Kevin J. Wolf
Assistant Secretary of Commerce for
Export Administration
Bureau of Industry and Security
U.S. Department of Commerce
Washington, D.C.
B. Q&A/Panel Discussion
• ECR review – what has been completed and
what remains to be done
• Evaluation of ECR’s success to date
• License Exception STA – is it working
as intended?
• Impact of ECR on agencies’ caseloads
• Other initiatives – fundamental research,
technical data, public domain and
other definitions
• U.S. Munitions Import List revisions
• Status of single licensing system and
single portal
• UAV policy
Matthew S. Borman, Kenneth B. Handelman,
Beth M. McCormick, Brian H. Nilsson
10:30 Networking Break
10:45
Cloud Computing – Best Practices
for Data Management
• EAR and ITAR interpretations and
licensing policies
• Location of data and access controls
• Encryption and data security
• Data management and workflow
• Compliance responsibilities of service providers
• U.S. jurisdiction issues
Benjamin H. Flowe, Jr., Julia Court Ryan,
Jeffrey Schwartz
12:00 Lunch (on your own)
Chester Paul Beach, Jr., Lee Hale,
Natalia G. Shehadeh
2:30 Networking Break
2:45
Enforcement and Compliance Issues –
Agency Perspectives
• Enforcement focus and priorities –
Commerce, State, OFAC and Justice
• Trends from major settlements –
penalty mitigation, compliance monitors,
and directed remediation
• Voluntary disclosures – considerations,
benefits, and best practices
• Emerging concepts of individual liability
• How to get the best results in an
enforcement action
• Agencies’ perspectives on compliance
best practices
Thomas P. Feddo, Douglas R. Hassebrock,
Arthur Shulman
4:00
Ethics and Compliance Considerations
(One hour ethics CLE credit)
• Ethical issues in representing countries or parties
subject to sanctions
• Restructuring transactions – how far can you go?
• Legal services and trade control licensing
• Identifying and handling export-sensitive data
• Professional and business conflicts that
arise in practice
• Disclosure, waiver and candor issues
Greta Lichtenbaum, Matthew T. West
5:00 Adjourn
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