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Business Information
In A Global Context
10th
Compliance & Legal Risk
Anniversary
Award-Winning
Anti-Corruption
& Compliance
Events
Leaders Summit
How to Respond to the Convergence of AML, Anti-Corruption, Antitrust
and Trade Compliance Risks and the Call for Increased Personal Liability
Up to
18.25
28-29 January 2015 | Villa Kennedy Frankfurt, Germany
CPD
Benchmark with over 40 leading compliance and legal officers including:
Alexander Jüngling
Chief Compliance Officer
Bilfinger SE (Germany)
Claus D. Ulmer
Global Data Privacy Officer
Deutsche Telekom AG (Germany)
Laurent Geelhand
General Counsel Europe
Michelin (France)
Pedro Montoya
SVP Group Ethics & Compliance
Officer, Airbus (France)
Andreas Pohlmann
Chief Compliance Officer
SNC-Lavalin Group (Canada)
Daniel Zitek
Regional Compliance Counsel EMEA
Intel
Peter Camidge
VP Global Compliance
DHL Supply Chain (UK)
Bruno Jackson
Director, Compliance Operations
BT Group (UK)
David Campos Pavon
Chief Compliance Officer &
Data Privacy Officer
Alcatel-Lucent (Spain)
Marc Firestone
General Counsel
Philip Morris International
(Switzerland)
Carsten Tams
Senior Vice President
Ethics & Compliance Executive
Bertelsmann (USA)
Christopher Rother
Head of Group Regulatory,
Competition and Antitrust
Deutsche Bahn (Germany)
Martim Della Valle
Legal Director Global Compliance
& Competition
Anheuser-Busch InBev (Belgium)
Inken Brand
Senior Counsel Compliance,
Drägerwerk AG & Co. KGaA
(Germany)
Oliver Oberg
Head of Global Compliance Office
Deutsche Post DHL (Germany)
Paolo Palmigiano
General Counsel and Chief
Compliance Officer – EMEA
Sumitomo Electric Industries (UK)
Klaus Moosmayer
Chief Compliance Officer
Siemens (Germany)
Anti-Corruption
Economic Sanctions
Compliance
Covered
Cornelia Gädigk
Senior Public Prosecutor
Staatsanwaltschaft (Hamburg)
François Badie
Head of Central Service for Prevention
of Corruption, SCPC Ministry of Justice (Paris)
Criminal Liability
Jean-Bernard Schmid
Prosecutor
General Investigating Magistrate (Geneva)
Richard Findl
Section Head
Public Prosecutors Office (Munich)
Convergence
Risk Assessment
Anti-Trust
What the BCM Annual Survey Reveals about Current
Priorities, Risks and Compliance in Germany
Mirko Hasse
Regional Compliance Counsel Europe, Adam Opel AG
President
Data Analytics
Export Controls
Lead Sponsor:
Rudi Du Bois
Global Export Compliance Leader
Dupont (Belgium)
Kendall Day
Principal Deputy Chief, Asset Forfeiture and Money
Laundering Section, Criminal Division
U.S. Department of Justice (Washington)
Investigations
Culture
Roman Sartor
General Legal Counsel
ABB AG (Austria)
Senior prosecutors speak on current
enforcement priorities:
Data Privacy
AML
Rachel Cropper-Mawer
Chief Risk and Compliance Officer
Willis International (UK)
BCM
Associate Sponsors:
Berufsverband
der Compliance Manager
Session Sponsor:
TO REGISTER call +44 (0) 20 7878 6888 • visit www.C5-Online.com/CLRSummit
Harmonising Compliance in a Diverse, Complex and
Fast-Evolving Regulatory Maze
The recent Munich Court Judgment against Neubürger (April 2014) has shown how the failure to address regulatory risks and comply with
relevant laws exposes senior management to prosecution. As a result, legal counsel and compliance officers whose responsibility it is to
report to, adequately inform and protect the board are increasingly challenged to answer to their CEO, board, regulators, and investors.
Compliance officers are now viewed as the watchdogs of their company: all that stands between the company and potentially costly
compliance breaches. With enforcement and regulatory activity on the rise, the rapid development of the compliance role has created
an increase in responsibilities and liabilities amidst tighter internationally accepted standards.
Celebrating 10 years of Award-winning Compliance and Anti-Corruption
events in Europe
C5’s Compliance & Legal Risk Leaders Summit is an exciting new event designed through in-depth industry research to enable
compliance officers to manage and harmonise a diverse range of corporate governance issues.
Designed to reflect the realities of the modern compliance and legal role, tailor your Summit experience to your most urgent and
pressing needs. Dedicated streams and workshops will allow you to identify key red flags for reporting to the board in alignment
with your company’s risk matrix.
Take away practical compliance insights and implementable tools to avoid costly investigations, prosecutions and reputational
damages. Learn how Europe’s leading companies are assessing their risk profiles to reflect a broad range of diverse global regulations,
and translating their values and principles into day to day operations and behaviour.
Group rates are available. Train your compliance and legal teams and save. Go to www.C5-Online.com/CLRSummit to reserve your
place now.
Be Part of C5’s
Over
57%
Compliance & Legal Community
70%
Attended by the Most Important
Compliance and Legal Risk Thought-Leaders
of Attendees are from Multinational
& SME Corporations
20%
15%
Law Firms
3%
SME
Consultants Regulators &
Enforcement
Corporations
Agencies
“Great opportunity to gain
insights from industry peers”
(Senior Compliance Manager, Novartis)
“Very helpful and practical”
(Managing Counsel, Occidental Oil & Gas)
2
General Counsel/Legal Counsel/ Head of Legal: 25%
Compliance Officer: 30%
Risk Officer: 10%
Internal Audit: 10%
Regulator: 2%
Managing Partner/Partner: 20%
Consultant/Service Provider: 3%
A Truly Pan-European Reach:
5%
Multinational
Corporations
in Europe
24
Germany: 20%
UK: 20%
Netherlands: 10%
Switzerland: 8%
France: 5%
Austria: 3%
Countries
Previously Attended
Scandinavia: 15%
Israel: 3%
USA: 4%
Rest of Europe: 8%
Rest of World: 4%
* Based on 2012-2014 European event attendees
CONNECT WITH US!
Anti-Corruption Experts:
Networking Group
TO REGISTER call +44 (0) 20 7878 6888 | visit www.C5-Online.com/CLRSummit
@C5Live_AC
#C5AntiCorruption
Your Speaker Faculty
Leading International Prosecutors
Richard Findl
Section Head, Public Prosecutors Office Munich
(Germany)
Cornelia Gädigk
Senior Public Prosecutor, Staatsanwaltschaft
Hamburg (Germany)
Jean-Bernard Schmid
Prosecutor, General Investigating Magistrate,
Geneva (Switzerland)
François Badie
Head of Central Service for Prevention of
Corruption, SCPC Ministry of Justice (France)
Kendall Day
Principal Deputy Chief, Asset Forfeiture and
Money Laundering Section, Criminal Division,
U.S. Department of Justice (USA)
Senior In-House Compliance Officers & Legal Counsel
Alexander Jüngling
Chief Compliance Officer, Bilfinger SE (Germany)
Andreas Pohlmann
Chief Compliance Officer, SNC-Lavalin Group
(Canada)
Anke Louis-Byers
Legal Counsel, OSRAM GmbH (Germany)
Britta Druml
Compliance Manager, Novomatic AG (Austria)
Bruno Jackson
Director, Compliance Operations, BT Group (UK)
Carsten Scherney
Legal Counsel, Amprion GmbH (Germany)
Carsten Tams
Senior Vice President, Ethics & Compliance
Executive, Bertelsmann (USA)
Christian Strenger
Director, DWS Investment GmbH (Member
of Board of Directors, Fraport AG) (Germany)
Christopher Rother
Head of Group Regulatory, Competition
and Antitrust, Deutsche Bahn (Germany)
Clare French
Export Control Manager, Hitachi Europe (UK)
Claus D. Ulmer
Global Data Privacy Officer
Deutsche Telekom AG (Germany)
Daniel Zitek
Regional Compliance Counsel EMEA,
Intel Corporation (Germany)
David Campos Pavon
Chief Compliance Officer & Data Privacy Officer,
Alcatel-Lucent (Spain)
Dipti Amin
SVP and Chief Compliance Officer,
Quintiles (UK)
Dominique Golsong
Vice President Legal & Compliance EMEA,
Goodyear Tire & Rubber Company (Belgium)
Geert Vermeulen, Global Head of Compliance,
Damco (Netherlands)
Inken Brand
Senior Counsel Compliance, Drägerwerk
AG & Co. KGaA (Germany)
Jan Crijns
Head of Corporate Security & Investigations
ING (Netherlands)
Joost Wiebenga
Deputy Regional General Counsel, Senior
Corporate Counsel, Compliance & Ethics EMEA,
Tyco (Netherlands)
Klaus Moosmayer
Chief Compliance Officer, Siemens (Germany)
Laurent Geelhand
General Counsel Europe, Michelin (France)
Massimo Mantovani
Chief Legal and Regulatory Affairs, Eni S.p.A
(Italy)
Marc Firestone
General Counsel, Philip Morris International
(Switzerland)
Markus Jüttner
Corporate Compliance Attorney, Legal &
Compliance, E.ON SE (Germany)
Martim Della Valle
Legal Director Global Compliance & Competition,
Anheuser-Busch InBev (Belgium)
Mirko Hasse
President, Professional Association of Compliance
Managers (Regional Compliance Counsel Europe,
Adam Opel AG) (Germany)
Oliver Oberg
Head of Global Compliance Office
Deutsche Post DHL (Germany)
Paolo Palmigiano
General Counsel and Chief Compliance Officer –
EMEA, Sumitomo Electric Industries (UK)
Pedro Montoya
SVP Group Ethics & Compliance Officer
Airbus (France)
Peter Camidge
VP Global Compliance, DHL Supply Chain (UK)
Philippe Kiehl, Compliance Manager, Sales
Region Western Europe, MAN Truck & Bus AG
(Germany)
Rachel Cropper-Mawer
Chief Risk and Compliance Officer,
Willis International (UK)
Roman Sartor
General Legal Counsel, ABB AG (Austria)
Rudi Du Bois
Global Export Compliance Leader, Dupont
(Belgium)
Sofia Halfmann
Vice President, Head of Compliance Office,
DHL Global Forwarding, Freight (Germany)
Stefan Hanloser
Compliance Officer
Allianz Asset Management AG (Germany)
Torsten Krumbach
Group Compliance Officer
Sky Deutschland AG (Germany)
Expert External Counsel
Arpinder Singh
Partner & National Leader
Fraud Investigation & Dispute Services, EY (India)
Benno Schwarz
Partner, Gibson, Dunn & Crutcher LLP (Germany)
Bernd Meyer
Partner, Skadden, Arps, Slate, Meagher
& Flom LLP (Germany)
Christian Arnold
Partner, Gleiss Lutz (Germany)
David O’Neil
Former Deputy Assistant Attorney General, Criminal
Division, U.S. Department of Justice (USA)
Dr. Finn Zeidler
Partner, Latham & Watkins (Germany)
Gönenç Gürkaynak
Managing Partner, ELIG Attorneys-at-Law (Turkey)
Robert Henrici
Partner, Linklaters (Germany)
Hans-Hermann Aldenhoff
Partner, Simmons & Simmons (Germany)
Sascha Kuhn
Partner, Simmons & Simmons (Germany)
Joachim Kaetzler
Partner, CMS Hasche Sigle (Germany)
Satnam Tumani
Partner, Kirkland & Ellis International LLP (UK)
(Former Head of Bribery & Corruption &
International Assistance, UK Serious Fraud Office)
Klaus Saffenreuther
Partner, Linklaters LLP (Germany)
Koen Platteau
Partner, Simmons & Simmons (Germany)
Dr. Markus Rieder
Partner, Latham & Watkins (Germany)
Michael Walther
Partner, Gibson, Dunn & Crutcher LLP (Germany)
TO REGISTER call +44 (0) 20 7878 6888 | visit www.C5-Online.com/CLRSummit
Dr. Stefan Heissner
Managing Partner, Fraud Investigation & Dispute
Services, EY GmbH (Germany)
Ulrich Büchsenschütz
Specialist, Enhanced Due Diligence,
Thomson Reuters (Germany)
@C5Live_AC #C5AntiCorruption
3
Pre-Summit Workshops: 27 January 2015
Enhance your conference experience with our practical, interactive focused and in-depth Pre-Summit Workshops
WORKSHOP A (9.00am - 12.30pm)
Tailoring Compliance Procedures for Mittelstand
& SME Companies to Minimise Risk Exposure in
International Business Operations
Inken Brand, Senior Counsel Compliance
Drägerwerk AG & Co. KGaA (Germany)
Roman Sartor, General Legal Counsel, ABB AG (Austria)
Britta Druml, Compliance Manager, Novomatic AG (Austria)
Carsten Scherney, Legal Counsel, Amprion GmbH (Germany)
In this enlightening and informal masterclass, Mittelstand compliance officers
and their expert counsel share invaluable insight and real-life experiences
on how they assess risks when moving into the international marketplace,
and how to put in place a mechanism of control for companies that operate
traditionally with a management style which favours trust, ethical and social
factors to thrive but is less driven on controls.
• Understanding the business model and governance structures of
mid-sized companies
• What is the ideal compliance programme for a mid-sized company?
• What is reasonable to expect from a Mittelstand company in a
compliance programme?
• Effective ways to communicate compliance requirements and awareness:
training to ensure consistent compliance
• Meeting compliance requests from larger companies when engaging
in business relationships as part of a supply chain
WORKSHOP B (1.30pm - 5.00pm)
Third Party Risk Assessment and Management:
How to Apply the Right Level of Due
Diligence, Audit and Monitor Your Contractors,
Intermediaries, Distributors & Agents
Sofia Halfmann, Vice President, Head of Compliance Office
DHL Global Forwarding, Freight (Germany)
Philippe Kiehl, Compliance Manager, Sales Region Western Europe,
MAN Truck & Bus AG (Germany)
Geert Vermeulen, Global Head of Compliance, Damco (Netherlands)
• Defining the scope of your third party relationships and the level of
due diligence and monitoring required for each type: agents, vendors,
suppliers, brokers, freight forwarders and other commercial intermediaries
• Key elements to include when rolling out a third party due diligence
programme:
- Key areas to screen, including internal controls, ownership, sales,
marketing, and tax compliance
- Red flags to look out for before engaging with third parties
• How to determine ownership of the third party?: conducting risk analysis
to identify foreign government or foreign official ownership interests
• Negotiating, drafting and executing robust contracts with third parties:
best practice contractual safeguards to incorporate in all contracts and
agreements with third parties
• Audit right clauses
• Monitoring third parties during the life of the relationship
- Working with local business units to monitor third parties on your behalf
Thank You to Our Sponsor Partners
Lead Sponsor
Dealing with complex issues of fraud, regulatory compliance and business disputes can detract from efforts to succeed. Better management
of fraud risk and compliance exposure is a critical business priority — no matter what the industry sector is. With our more-than-2,000 fraud
investigation and dispute professionals around the world, we assemble the right multidisciplinary and culturally aligned team to work with
you and your legal advisors. We work to give you the benefi t of our broad sector experience, our deep subject matter knowledge and the latest
insights from our work worldwide.
Associate Sponsors
Gibson Dunn is one of the leading law firms advising multinational corporations on anticorruption and antitrust laws and requirements.
Focused on significant multi-jurisdictional and high-stakes investigations, Gibson Dunn lawyers interact daily with regulators in the U.S.,
Europe, and Asia to defend companies and executives in high-profile matters, and assist clients in developing and implementing successful
compliance and defense strategies, as well as remedial actions.
Latham & Watkins: A leading US-law firm in Germany. Offices in Hamburg, Düsseldorf, Frankfurt, Munich. More than 2,000 lawyers globally, 170
in Germany. Our first-class litigation team is particularly strong in mass actions, complex disputes in the area of financial institutions, post-M&A
matters, international arbitrations, corporate litigation and white collar & investigations.
Linklaters LLP specialises in advising the world’s leading companies, financial institutions and governments on achieving their strategies
wherever they do business. With offices in 29 major business and financial centres in 20 countries we deliver an outstanding service to our
clients anywhere in the world.
Our compliance lawyers provide advice in business crime, civil fraud, money laundering (AML), bribery and corruption, investigations,
extradition, cartels, regulatory and health and safety investigations as well as crime fraud and asset tracing. We have established the largest
corporate crime group in Europe.
The Thomson Reuters Governance, Risk & Compliance (GRC) business delivers a comprehensive set of solutions designed to empower audit,
risk and compliance professionals, business leaders, and the Boards they serve to reliably achieve business objectives, address uncertainty, and
act with integrity. Visit accelus.thomsonreuters.com for more information.
Session Sponsor
Skadden is frequently retained by corporate boards and board committees to conduct internal investigations into possible irregularities, including
allegations of accounting and other improprieties raised by government enforcement agencies or whistleblowers. The firm regularly provides
guidance on corporate issues and advises clients regarding the establishment and implementation of business ethics compliance programs.
GLOBAL SPONSORSHIP OPPORTUNITIES
C5 works closely with sponsors to create the perfect business development solution catered exclusively to the needs of any practice group, business line or corporation.
With over 300 conferences held in Europe, Russia and the CIS, China, India, the US and Canada, C5, ACI and CI provide a diverse portfolio of first-class events tailored to the
senior level executive. For more information about this programme or our global portfolio, please contact: Ed Malkoun on +44 (0)20 7878 6973 or [email protected]
4
TO REGISTER call +44 (0) 20 7878 6888 | visit www.C5-Online.com/CLRSummit
@C5Live_AC #C5AntiCorruption
Main Summit Day One: 28 January 2015
8:00 Registration and Coffee
8:30 Opening Remarks from the Chairs
Andreas Pohlmann, Chief Compliance Officer, SNC-Lavalin Group
(Canada)
• Laying the groundwork for rapid, coordinated and strategic
responses to government investigations in multiple jurisdictions
10:30 Morning Refreshments
11:00 Thorough and Effective Risk Assessments: What your
Process Should Look Like to Identify Diverse and
Interconnected Risks
Hans-Hermann Aldenhoff, Partner, Simmons & Simmons (Germany)
8:45 The Global Compliance Function Post Financial Crisis:
How Leading Companies are Responding to the
Convergence of AML, Anti-Corruption, Antitrust
and Trade Enforcement and the Call for Increased
Personal Liability
Markus Jüttner, Corporate Compliance Attorney, Legal & Compliance,
E.ON SE (Germany)
Dominique Golsong, Vice President Legal & Compliance EMEA,
Goodyear Tire & Rubber Company (Belgium)
Oliver Oberg, Head of Global Compliance Office, Deutsche Post DHL
(Germany)
Christian Strenger, Director, DWS Investment GmbH
Member of Board of Directors, Fraport AG (Germany)
Ulrich Büchsenschütz, Specialist, Enhanced Due Diligence
Thomson Reuters (Germany)
Pedro Montoya, SVP Group Ethics & Compliance Officer, Airbus (France)
Klaus Moosmayer, Chief Compliance Officer, Siemens (Germany)
Moderator: Dr. Markus Rieder, Partner, Latham & Watkins (Germany)
A robust compliance risk assessment conducted as part of an enterprisewide risk management system forms the basis of establishing a
comprehensive compliance programme. Accounting for a broad
range of interconnected risks, it is absolutely business critical that you
get it right. Requiring a business-specific tailored approach, but with
limited resources and budget, how can you efficiently conduct a risk
assessment without sacrificing any efficiency?
Dr. Stefan Heissner, Managing Partner, Fraud Investigation & Dispute
Services, EY GmbH (Germany)
Moderator: Benno Schwarz, Partner, Gibson, Dunn & Crutcher LLP
(Germany)
Under-resourced and faced with an ever-expanding role, compliance
officers are challenged with establishing the critical importance that
compliance plays within a company, and securing buy-in from a board
questioning whether compliance really does create additional value. In this
insightful roundtable, board members, compliance officers and investors
discuss the role that compliance should play in a company given the
current enforcement landscape, providing practical insight for compliance
officers and legal counsel on reporting to and satisfying the board.
9:45 12:00
Alexander Jüngling, Chief Compliance Officer, Bilfinger SE (Germany)
Jan Crijns, Head of Corporate Security & Investigations, ING (Netherlands)
The Realities of an FCPA Enforcement Action and
Settlement: Former Prosecutors Discuss What to Expect
if Your Company Is Targeted by the USDOJ or SEC
Arpinder Singh, Partner & National Leader, Fraud Investigation &
Dispute Services, EY (India)
Gönenç Gürkaynak, Managing Partner, ELIG Attorneys-at-Law (Turkey)
David O’Neil, Former Deputy Assistant Attorney General, Criminal
Division, U.S. Department of Justice (USA)
More speakers to be announced...
At this unique session, former FCPA prosecutors will discuss what really
happens when a company is under investigation for suspected FCPA
violations. Participants will benefit from concrete examples of what to expect
and will learn more about common pitfalls to avoid during the process.
• How prosecutors initiate and conduct an FCPA investigation
• What to do in the first 24 hours and beyond
• Proactive strategies you can take in light of current scandals,
investigations, and media accounts
2:00 Conducting an Effective Cross-Border Internal
Investigation Within Local Law Limits
Moderator: Robert Henrici, Partner, Linklaters (Germany)
• Key issues to be addressed at the beginning of an investigation:
- Identifying the countries affected
- Documentation to be requested and reviewed
• Different approaches to different types of compliance
investigations: anti-trust, anti-corruption, money laundering
• Conducting employee interviews
• Dealing with data privacy and trade secret legal requirements
• Aftermath of the investigations and responding to the findings
1:00 Networking Lunch
BREAKOUT SESSIONS: Key Compliance Red Flags to Identify to the Board
The range of risks that a compliance officer is responsible for has expanded dramatically. For companies who had previously believed their compliance was
in good order, the multi-facetted compliance approach required in 2014 to account for a broader range of business critical risks has created new challenges.
Designed to reflect the realities of the modern compliance and legal role, breakout sessions have been constructed to allow you to tailor your Summit experience
to your most urgent and pressing needs. Attendees are encouraged to move between streams, allowing you to identify the key red flags to report to the board
specific to your company’s specific risk matrix.
►
Track 1: Anti-Trust and Competition Law Compliance
►
Track 2: Human Resources and Labour Law Compliance
Christopher Rother, Head of Group Regulatory, Competition and
Paolo Palmigiano, General Counsel and Chief Compliance Officer –
Antitrust, Deutsche Bahn (Germany)
EMEA, Sumitomo Electric Industries (UK)
Laurent Geelhand, General Counsel Europe, Michelin (France)
Moderator: Michael Walther, Partner, Gibson, Dunn & Crutcher LLP (Germany)
• Overview of enforcement activity in the last 18 months in Europe
• To what extent can current compliance monitoring systems be used to capture anti-trust risk?
• Anti-trust compliance hot spots: merger control, cartels, minority ownership
• Current trends and outcomes in private enforcement, including collective actions
- Follow-on damages litigation: where do we stand?
- Settlement strategies and their impact
Joost Wiebenga, Deputy Regional General Counsel, Senior Corporate Counsel, Compliance & Ethics EMEA, Tyco (Netherlands)
Dominique Golsong, Vice President Legal & Compliance EMEA, Goodyear Tire & Rubber Company (Belgium)
Christian Arnold, Partner, Gleiss Lutz (Germany)
A recent trend; the task of ensuring human resource and labour law compliance is increasingly falling within the remit of compliance and legal officers. As
globalisation and employee mobility increases, an inconsistent patchwork of European and global regulations pertaining to labour law has created the potential
for serious reputational and commercial damage where regulations are breached.
• The blurred line between HR and compliance: determining roles and responsibilities
• Employment law compliance: key points, pitfalls to avoid, and the basics of structuring employment relationships
- Social contribution payments and penalties; Immigration and tax implications; Data privacy of employees; Outsourcing employment
• Responding to corporate campaigns
TO REGISTER call +44 (0) 20 7878 6888 | visit www.C5-Online.com/CLRSummit
@C5Live_AC #C5AntiCorruption
5
3:00
BREAKOUT SESSIONS
1: Anti-Corruption Compliance: Establishing a Gifts and Hospitality Policy that is Reflective of Local Culture,
► TRACK
Language and Market Risks
Satnam Tumani, Partner, Kirkland & Ellis International LLP (UK)
Former Head of Bribery & Corruption & International Assistance,
UK Serious Fraud Office
David Campos Pavon, Chief Compliance Officer & Data Privacy Officer,
Alcatel-Lucent (Spain)
Peter Camidge, VP Global Compliance, DHL Supply Chain (UK)
• Ensuring your gifts, hospitality, sponsorship and charitable donations policy meets both local expectations and international anti-corruption standards
• Understanding the international and local anti-corruption frameworks and differentiating between acceptable cultural behaviours and corruption
• Drafting a global compliance policy which can account for cultural nuances which may exist in certain regional business operations
• Rules based or values based?
• How to properly and precisely document and disclose payments, gifts or community assistance
► TRACK 2: Data Protection Compliance
Stefan Hanloser, Compliance Officer
Allianz Asset Management AG (Germany)
Claus D. Ulmer, Global Data Privacy Officer
Deutsche Telekom AG (Germany)
Sascha Kuhn, Partner, Simmons & Simmons (Germany)
• Analysing the latest developments in the European Commission’s Data Protection Reform and what it means for business
- Privacy obligations: what is necessary to protect your client’s data?
- Integration of the role of the data protection officer in the compliance function
- Comparing “risk based” and “compliance” approaches
- Penalties for companies
• Conducting thorough privacy impact assessments (PIA) to identify and reduce your privacy risks
• “Privacy by Design”: a practical approach to embedding data protection in your existing company policies and risk management processes
4:00 Afternoon Refreshments
Martim Della Valle, Legal Director Global Compliance & Competition,
Anheuser-Busch InBev (Belgium)
4:15 How to Leverage Data Analytics to Improve Compliance
and Investigative Outcomes
Massimo Mantovani, Chief Legal and Regulatory Affairs, Eni S.p.A
(Italy)
• How to define the scope of data, key interest areas & tests needed
for your specific risks
• How to ensure your data mining and collection procedures
continuously evolve to best fit your analytical needs
• How to cross-purpose your data and reduce the risk of false positives
• Efficiently mining data during compliance monitoring and
investigations
• Incorporating predictive coding into your data management
Moderator: Koen Platteau, Partner, Simmons & Simmons (Germany)
A thorough and robust compliance programme is all that stands
between a company and potentially costly compliance breaches. The
challenge is to establish a compliance programme that translates
a company’s values and principles into day to day operations
and behaviour, while integrating the programme and associated
management systems into the overall corporate structure.
With practical insight from leading chief compliances officers from
some of Europe’s largest multinational companies, gain a greater
understanding of how to implement a compliance programme and walk
away with a clear picture of what will work best for your organisation.
5:00
Ensuring Your Compliance Programme Can Stand Up
to Government Scrutiny: What Leading Companies
are Doing Now to Strengthen Their Programme
Based on the Latest Risks
Daniel Zitek, Regional Compliance Counsel EMEA, Intel Corporation
(Germany)
Dipti Amin, SVP and Chief Compliance Officer, Quintiles (UK)
6:00 Chairs’ Closing Remarks
6:00-7:30 Networking Drinks Reception
Main Summit Day Two: 29 January 2015
8:00 Registration and Coffee
François Badie, Head of Central Service for Prevention of Corruption,
SCPC Ministry of Justice (France)
8:30 Opening Remarks from the Chairs
8:45
Global Enforcement and Prosecutors Roundtable:
What the Latest Investigations Reveal About How
Your Company Should Prepare to Meet Rising
Government Expectations
Cornelia Gädigk, Senior Public Prosecutor
Staatsanwaltschaft Hamburg (Germany)
Moderator: Dr. Finn Zeidler, Partner, Latham & Watkins (Germany)
In this direct and uncompromising roundtable discussion, senior
prosecutors and enforcement agencies come together to discuss
the latest anti-corruption investigations against corporations and
individuals, while looking at prosecution guidelines, how they choose
who to prosecute, and how they decide on penalties.
Richard Findl, Section Head
Public Prosecutors Office Munich (Germany)
Jean-Bernard Schmid, Prosecutor
General Investigating Magistrate, Geneva (Switzerland)
6
10:00 Morning Refreshments
TO REGISTER call +44 (0) 20 7878 6888 | visit www.C5-Online.com/CLRSummit
@C5Live_AC #C5AntiCorruption
10:30
Anatomy of an Investigation from Dawn Raid to
Disclosure – What The Authorities Will Expect
and How You Need to Respond
• Overview of the 3rd European Anti-Money Laundering Directive
and local AML laws
- What are the inconsistencies between EU and local law and how
to account for them?
• Identifying the obligations of individuals and corporations
• Risk analysis: country risk, sector risk, customer, product risk
• How to implement AML structures within your existing group
systems, product lines and sales processes
• Monitoring unusual payment patterns and movement of goods
after purchase patterns
David O’Neil, Former Deputy Assistant Attorney General,
Criminal Division, U.S. Department of Justice (USA)
Torsten Krumbach, Group Compliance Officer
Sky Deutschland AG (Germany)
Anke Louis-Byers, Legal Counsel, OSRAM GmbH (Germany)
Moderator: Klaus Saffenreuther, Partner, Linklaters LLP (Germany)
• Common triggers for the commencement of an investigation: what
sources of information are most commonly used and relied upon?
• Reacting to a dawn raid: what you can do now to prepare your
team for a dawn raid before it occurs
• Managing and responding to a multi-jurisdictional investigation:
what and what not to do in the first 2 weeks
• Structuring your response: the importance of a multi-disciplinary
investigation team
• What enforcement authorities will expect you to have on file
• Working with authorities: best practices for remaining flexible during
the investigation when focus and protocols shift focus
11:30 2:15 Inside the Association of Compliance Managers Annual
Survey Results: What They Reveal about Current
Priorities, Risks and Compliance in Germany
Mirko Haase, President, Professional Association of Compliance
Managers and Regional Compliance Counsel Europe, Adam Opel AG
(Germany)
In this exclusive presentation from the President of the Berufsverband
der Compliance Mangers (BCM), Germany’s premier compliance officers
association, gain original and real-time insight on the results of their
annual compliance officers survey, with a focus on hard facts and real live
statistics.
How to Protect Yourself and Your Board from Criminal
and Civil Liability Charges
2:45 Afternoon Refreshment
Bernd Meyer, Partner
Skadden, Arps, Slate, Meagher & Flom LLP (Germany)
3:00
Ensuring Your Economic Sanctions and Export Controls
are Effective Amid Heightened Global Enforcement
Rachel Cropper-Mawer, Chief Risk and Compliance Officer,
Willis International (UK)
• Overview of the personal legal liabilities of compliance officers
and board members: scope of responsibility under European
Criminal Codes, FCPA and UKBA:
- How do individual requirements vary by jurisdiction?
- Under what circumstances can a board member or compliance
officer be held criminally liable?
• Meeting the “reasonable oversight” requirements: how far does
management need to go to ensure adequate compliance measures
are being carried out
• Steps board members and compliance officers should take
to protect themselves from individual liability
• How to respond if an investigation is launched: key considerations
for protecting yourself in the face of criminal liability charges
• Dealing with the threat of extradition
Networking Lunch
1:15
Focus on Anti-Money Laundering Compliance Risks for
Non-Financial Sector Companies: How to Update Your
Controls Amid Increased Enforcement
Kendall Day, Principal Deputy Chief, Asset Forfeiture and Money
Laundering Section, Criminal Division, U.S. Department of Justice (USA)
Joachim Kaetzler, Partner, CMS Hasche Sigle (Germany)
Traditionally a key risk area for the financial sector, Anti-Money
Laundering (AML) is increasingly becoming a significant compliance
risk for non-financial companies. From producers of goods, metals and
minerals, all the way through to property brokers, the risk of trade-based
money laundering involving movement of goods poses a legitimate
threat. Challenged with meeting AML rules and regulations initially
intended for companies operating in the financial sector, join the debate
on where the potential challenges lie for non-financial companies
adapting their compliance policies to mitigate AML risk.
Bruno Jackson, Director, Compliance Operations, BT Group (UK)
Clare French, Export Control Manager, Hitachi Europe (UK)
• Spotlight on global enforcement: What compliance breaches
are involved in latest enforcement actions
• How to mitigate risks and comply with sanctions regimes when
exporting to “high risk” destinations: latest on Iran and Russia
• Practical strategies for responding quickly and efficiently to
unexpected sanctions that happen overnight
• Utilising due diligence checks and record keeping practices to
protect your company in the event of an investigation
• Streamlining your global export control compliance process
• Prospective evolutions of the EU Dual Use regulatory framework
and what it will mean for your operations
4:00
How to Leverage The Psychology of Compliant
Behaviour to Prevent Unethical Employee Activity
Carsten Tams, Senior Vice President, Ethics & Compliance Executive,
Bertelsmann (USA)
Co r p o rate Cas e St u dy
12:15 Rudi Du Bois, Global Export Compliance Leader, Dupont (Belgium)
Marc Firestone, General Counsel, Philip Morris International
(Switzerland)
This session will examine how leading companies are developing a
deeper understanding of the factors driving fraudulent and unethical
behaviour across the world, enabling them to enhance them compliance
programmes.
• How to incorporate behavioural economics and organisational
theory to improve your compliance programme
• What are the mechanisms that drive how choices are made?
• What settings motivate compliant employee behaviour?
• How things can go wrong in good organizations: wayward conduct
by essentially honest people, and other unintended consequences
• What role does corporate culture play in the design and operation
of compliance programmes?
4:45 Chairs’ Closing Remarks & End of Summit
Thank You to Our Media and Association Partners
Supporting Association
BCM
Media Partners
Berufsverband
der Compliance Manager
TO REGISTER call +44 (0) 20 7878 6888 | visit www.C5-Online.com/CLRSummit
@C5Live_AC #C5AntiCorruption
7
Compliance & Legal Risk
Leaders Summit
Business Information
In A Global Context
10th
Anniversary
How to Respond to the Convergence of AML, Anti-Corruption, Antitrust
and Trade Compliance Risks and the Call for Increased Personal Liability
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