2nd Edition on ACI's Practical Guide to FCPA Data Analytics - WEB

Benchmark With Your Peers at the Only Practical Event of Its Kind!

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IN-PERSON in Washington, DC! December 3, 2021 | Gaylord National Resort & Convention Center

2nd Edition ACI’s Practical Guide to

FCPA

Data Analytics A One-of-a-Kind, Fully Immersive Event on How to Harness Data Analytics, AI and Machine Learning for FCPA Compliance, Investigations and Audits Gain the Latest Best Practices from: » Google » Pfizer » ABInBev » Amgen » HSBC

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» Panasonic Avionics » Zimmer Biomet » Albemarle » Cargill » Patterson Companies Associate Sponsor:

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There has never been a more critical time to join your peers. While other events only scratch the surface, each segment of this agenda will include a pragmatic, “how to” component.

Join real-world discussions, including: ą Defining Your Risk Profile and Cross-Functional Team:

ą Your Data Governance Action Plan: Utilizing risk

ą Data Acquisition and Dashboards: Accessing and

ą Leveraging AI and Machine Learning: Optimizing

Achieving effective, data-driven compliance, monitoring and investigations capturing clean, high-value data across disparate systems and data sources

scoring and fine-tuning internal policies to address red flags and handle the exception processes algorithms to improve predictive capabilities and compliance monitoring

“DUMMY” DATA DASHBOARDS & DILEMMAS — “Hands-on” Drills for Testing Your Data and Testing Your Program: The Finer Points of Assessing Data Integrity

AmericanConference.com/fcpa-data-analytics • 888 224 2480

Part of C5 Group’s ANTI-CORRUPTION GLOBAL SERIES

The U.S. Department of Justice’s Updated Guidance on the Evaluation of Corporate Compliance Programs sets out higher expectations for the use of data analytics and testing.

W

ith FCPA enforcement risks intensifying across industries, you can’t afford to miss this unique opportunity to gain the latest best practices at this cross-industry event, to ensure that your organization is equipped with critically important know-how for data-driven compliance, monitoring, audits and investigations.

Whether you are at the cutting edge, just starting out or somewhere in between, this event is an outstanding opportunity for you to gain an upgraded blueprint with real-world, actionable takeaways. This innovative program marks your best opportunity to connect, gain the latest know-how and real-world takeaways that you can implement after the event.

This unique event will cover the complete lifecycle—including how to access and capture clean, high-value data across disparate systems, assemble the right team, optimize data acquisition and governance, and tailor analytics to your specific organization and industry.

PLUS! Live Demos and Tradeshow: Your Passport to the Vendor Landscape and Industry Leading Solutions

A Must-Attend Event for: Chief Compliance Officers General Counsel Chief Legal Officers Chief Risk Officers Chief Data Officers Chief Ethics Officers

2 | linkedin: ACI: Anti-Corruption / FCPA – Legal, Regulatory and Compliance Professionals

VPs/Directors/ Managers of: y Anti-Corruption/Anti-Bribery y Analytics & Monitoring y Ethics & Compliance y Legal/Litigation y Internal Audit/Forensics y Compliance Monitoring

Continuing Legal Education Credits EARN CLE CREDITS

Accreditation will be sought in those jurisdictions requested by the registrants which have continuing education requirements. This course is identified as nontransitional for the purposes of CLE accreditation.

ACI has a dedicated team which processes requests for state approval.

Please note that event accreditation varies by state and ACI will make every effort to process your request.

ACI certifies this activity has been approved for CLE credit by the State Bar of California.

Questions about CLE credits for your state? Visit our online CLE Help Center at www.americanconference.com/CLE

ACI certifies this activity has been approved for CLE credit by the New York State Continuing Legal Education Board.

Continuing Professional Education Credits American Conference Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of Continuing Professional Education (CPE) on the National Registry of CPE Sponsors.

State Boards of Accountancy have final authority on the acceptance of individual courses for CPE credit.

Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org

Who Should Attend:

Course objective: How to Harness Data Analytics, AI and Machine Learning for FCPA Compliance, Monitoring and Investigations

2) VP’s / Managing Directors / Directors / Managers in:

y Defining Your Risk Profile and Cross-Functional Team to Achieve Effective, Data-Driven Compliance and Monitoring y Data Acquisition and Dashboards: Accessing and Capturing Clean, High-Value Data Across Disparate Systems and Data Sources y Leveraging AI and Machine Learning: Optimizing Algorithms to Improve Predictive Capabilities and Compliance Monitoring y Your Data Governance Action Plan: Real-World Examples of How to Utilize Risk Scoring and Fine-Tune Internal Policies in Order to Address Red Flags and Handle the Exception Processes y Effective Internal Investigations: How Companies and Outside Counsel are Leveraging Analytics, AI and Machine Learning y Artificial Intelligence and Ethics: Implementing an Ethical AI Framework and Code of Conduct Field of Study: Regulatory Ethics Prerequisite: None.

Level of knowledge: Basic Advanced Preparation: None

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1) C-Suite Officers in the following areas: y y y y

Chief Compliance Officers General Counsel Chief Legal Officers Chief Privacy Officer

y Anti-Corruption y Anti-Bribery y Analytics & Monitoring / Global Compliance Monitoring y Ethics & Compliance y Third Party Management

y Chief Data Officers y Chief Analytics Officers / Chief Data & Analytics Officers y Chief Data Scientists

y y y y y

Legal / Litigation Internal Audit Forensics Fraud Investigation & Litigation Risk & Compliance Operations

TEACHING METHOD: Group Live DELIVERY METHOD: Group Live Group Live Participants will earn up to 6.5 CPE credits.

Refunds and Cancellations: Requests for refunds must be received in writing by November 23, 2021. For more information regarding refund, complaint, and/or program cancellation policies please contact our offices at 1-888-224-2480.

AmericanConference.com/fcpa-data-analytics • 888 224 2480

Part of C5 Group’s ANTI-CORRUPTION GLOBAL SERIES

Speaker Faculty Includes: Conference Co-Chairs: Carrie Ashcom Vice President, Global Compliance Monitoring & Internal Controls Zimmer Biomet Bryan Judice Senior Director Compliance, Office of Compliance & Ethics Panasonic Avionics Corporation Matt Galvin Global Vice President, Ethics & Compliance ABInBev

Expert Faculty Includes: Parth Chanda Founder & CEO Lextegrity

Nebiat Kidane Director BDO

Jared Crafton Managing Director – Head of Innovation BDO

Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer

Sarah Foley Deputy Compliance Officer and Director of Compliance Patterson Companies, Inc.

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BRING YOUR CROSS-FUNCTIONAL TEAM!

Benefit from Reduced Group Rates!

10% Discount if you send a group of 3–4.

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Mason Pan Director, Data Analytics BDO

Jannette Hasan Corporate Director & Assistant General Counsel, Global Compliance Program Northrop Grumman Corporation

Piyush Sharma SVP, Head of Compliance, Alexion, AstraZeneca Rare Disease Alexion Pharmaceuticals, Inc.

Andrew McBride Chief Compliance Officer Albemarle Corporation

Effie Silva Global Ethics & Compliance Director Cargill

4 | linkedin: ACI: Anti-Corruption / FCPA – Legal, Regulatory and Compliance Professionals

Media Partner

AGENDA | FRIDAY, DECEMBER 3, 2021 (EST)

9:00

Remarks from the Co-Chairs Microphone Bryan Judice, Senior Director Compliance, Panasonic Avionics Corporation

Carrie Ashcom, Vice President, Global Compliance Monitoring & Internal Controls, Zimmer Biomet

Matt Galvin, Global Vice President, Ethics & Compliance, ABInBev

9:15 Audience Polling – Case Study

Defining Your Risk Profile and Cross-Functional Team to Achieve Effective, Data-Driven Compliance and Monitoring Microphone

Parth Chanda, Founder & CEO, Lextegrity

Andrew McBride, Chief Compliance Officer, Albemarle Corporation

Piyush Sharma, SVP, Head of Compliance, Alexion, AstraZeneca Rare Disease, Alexion Pharmaceuticals, Inc.

This opening session will walk you through practical case studies that define how to get started and refine your blueprint for effective data-driven compliance and monitoring—with a focus on how to tailor your policies to the contexts of your industry and organization.

PART I. Best Practices for Defining Metrics and Conducting Risk Assessments: Determining Risk Parameters to Effectively Facilitate Data Integrity and Corporate Guidelines

PART II. Implementing a Data-Monitoring System: Creating a Fluid and Adaptable Program to Effectively Monitor Your Data Case Study Topics: • Utilizing pilots, existing data and unstructured data—including emails, salesforce, and notes • Revising the functional arrangement of risk parameters, and updating them with a fluid and adaptable program that is based on new business risks • Identifying what pieces of data are important to collect and monitor, in order to produce efficient reports and dashboards • Deciding on the pre-approval systems that need to be established before setting up a monitoring program • How to monitor the financial costs of your data-monitoring system (i.e. internal and third party expenditures)

PART III. Assembling the Right Cross-Functional Team: The Key Pitfalls to Avoid—and Best Practices for Creating Synergy and Efficiency Key Takeaways: • Assembling your cross-functional team and working with partners to achieve mutual goals • Engaging relevant stakeholders and owners of relevant systems early in the process, while addressing data security issues and, defining peer responsibilities • Operationalizing policies and coordinating with IT partners to assist with monitoring and implementing IT security controls

Topics will include:

• Real-life examples of how compliance and legal can partner with IT, HR, finance and compliance

• Conducting a risk assessment to gain a full understanding of your business operations

• Determining whether key personnel have sufficient direct or indirect access to relevant sources of data for timely and effective monitoring and/or testing of policies, controls, and transactions

• Utilizing surveys, questionnaires and other data-gathering tools • Identifying the key metrics to use when assessing and analyzing risk

10:15 Live Demo

• Measuring risk and compliance weaknesses through qualitative and quantitative data

Transaction Monitoring See a leading anti-corruption transaction monitoring platform that has been cited by the SEC and has been before the DOJ in multiple FCPA matters. Learn more about how the software provides configurable risk algorithms driving aggregated risk scoring, supports monitoring workflows and visualizes your spend data for risk.

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10:30

Networking Break

We will break for a series of 1:1 meetings, and explore the innovative solutions to get you on track with your FCPA Data Analytics initiatives.

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AmericanConference.com/fcpa-data-analytics • 888 224 2480

Part of C5 Group’s ANTI-CORRUPTION GLOBAL SERIES

AGENDA | FRIDAY, DECEMBER 3, 2021 (EST)

10:45

1:00 Case Studies: Your Data Governance Action Plan

Data Acquisition and Dashboards: Accessing and Capturing Clean, High-Value Data Across Disparate Systems and Data Sources Microphone Bryan Judice, Senior Director Compliance, Panasonic Avionics Corporation

Carrie Ashcom, Vice President, Global Compliance Monitoring & Internal Controls, Zimmer Biomet

Matt Galvin, Global Vice President, Ethics & Compliance, ABInBev

After gauging and mapping your risk profile, the next step is to ensure that you are acquiring internal and external data from reliable sources. During this session our speakers will review real-world examples of data output reports; discuss how to assess the data; and, determine if the program is capturing the right data.

Key Topics: • Defining high-value data and staging the access to it—to avoid accessing everything all at once • Collecting data across disparate systems and assessing what data is important, what is being captured and not being captured accurately • Identifying data sources and deciding how to aggregate the data, ensuring good input and output and deciphering data integrity

Real-World Examples of How to Utilize Risk Scoring and Fine-Tune Internal Policies in Order to Address Red Flags and Handle the Exception Processes Microphone Sarah Foley, Deputy Compliance Officer and Director of Compliance, Patterson Companies, Inc.

Jannette Hasan, Corporate Director & Assistant General Counsel, Global Compliance Program, Northrop Grumman Corporation

In this session, the audience will gain insight through a series of case study examples and red flag reports that lead to policy reviews and investigations.

Key Takeaways: • Determining the next steps for the compliance team when addressing payments and transactions that are above aggregate risk score thresholds • Ensuring the data feeds and monitoring tools are coming in and working in real-time—and developing processes for determining what warrants internal investigations and further action • Steps to take when data reveals employees and third parties are not diligently following critical policies

• Evaluating the internal and third-party data analytics tools that are available, and deciding which data feeds your organization can leverage

• Assessing the severity of red-flags and the need for policy improvements in areas such as: third-party data management; reputational, payment, distributor pricing, and travel & expense monitoring; high-risk transactions with public officials or public institutions; employee engagement; sponsorships and donations; and, proxies for measuring ethical health

• Determining which data feeds to leverage, including core spend systems, ERP, SAP, CUPA for purchasing and invoice management, T & E, and compliance pre-approval systems

1:45 Hypothetical Exercises

Leveraging AI and Machine Learning: Optimizing Algorithms to Improve Predictive Capabilities and Compliance Monitoring

• Working closely with owners of vendor master data, assessing data integrity (clear vendor expense categories, GL codes), and coordinating with legal, privacy and audit teams 12:00 | Networking Lunch

Microphone Jared Crafton, Managing Director – Head of Innovation, BDO

Mason Pan, Director, Data Analytics, BDO

Engage with our faculty in this session as they take you through a series of hypothetical scenarios and successful strategies to help guide you in: • Organizing and conducting periodic reviews of your risk assessment program, that is based on continuous access to operational data • Learning from past data anomalies and transactions by leveraging Machine Learning • Managing risk around your third-party organization over the “lifespan” of the relationship • Identifying compliance trends and themes before they become a concern—and assessing whether a review or an internal investigation is needed • Analyzing and implementing upgrades to data monitoring and determining which types of platforms are likely to become more predictive

6 | linkedin: ACI: Anti-Corruption / FCPA – Legal, Regulatory and Compliance Professionals

AGENDA | FRIDAY, DECEMBER 3, 2021 (EST)

2:45 | Networking Break 3:00 Audience Polling

Effective Internal Investigations: How Companies and Outside Counsel are Leveraging Analytics, AI and Machine Learning Microphone Bryan Judice, Senior Director Compliance, Panasonic Avionics Corporation

Carrie Ashcom, Vice President, Global Compliance Monitoring & Internal Controls, Zimmer Biomet

Benchmark and compare notes with the speakers and audience, as we examine data acquisition and governance initiatives that are needed for productive and successful internal investigations.

We will explore: • Gathering, analyzing and interpreting your data over the entire course of an investigation • Detailed examples of extracting and leveraging data for effective decision-making and risk management • Regulating and managing the interplay of GDPR and other privacy restrictions that affect cross-border data collection and transfers

Venue Gaylord National Resort & Convention Center Address: 201 Waterfront Street National Harbor, MD 20745-1135 Phone: 1-877-491-0468 American Conference Institute is pleased to offer our delegates a limited number of hotel rooms at a negotiated rate. To take advantage of these rates, please contact the hotel directly and quote “ACI’s International Conference on Foreign Corrupt Practices Act 2021“.

Please note that the guest room block cut-off date is November 16, 2021. After that date OR when the room block fills, guestroom availability and rate can no longer be guaranteed.

3:45

Data Governance & Integrity Exercise Microphone Nebiat Kidane, Director, BDO

Effie Silva, Global Ethics and Compliance Director, Cargill

Benchmark with the audience during this live polling session. We will gain insight from case studies and real-world examples explaining how to: • Address red flags • Approach risk scoring and aggregate risk scores • Document follow-up and remedial actions within a dashboard platform 4:30

Closing Remarks from the Co-Chairs

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The C5 Group, comprising American Conference Institute, The Canadian Institute and C5 in Europe, is a leading global events and business intelligence company.

For over 35 years, C5 Group has proVided the opportunities that bring together business leaders, professionals and international experts from around the world to learn, meet, network and make the contacts that create the opportunities.

Our conferences and related products connect the power of people with the power of information, a powerful combination for business growth and success.

Planning Ahead for Live Conferences: C5’s All Secure Safety Plan We look forward to the time when we are able to welcome you back to our live conferences.

When you are ready to attend one of our conferences, you will see that a lot has changed. Social distancing and cleaning procedures that have now become a way of life for all of us are now the standard for how we will run our conferences. Our events will continue to offer unparalleled access to market leading intelligence and to the facilitation of a global exchange of expertise and now with a greater focus on the safety, health and well-being of all our guests.

As American Conference Institute and our partners begin to look forward to live events, we are committed to building and enhancing the planning and preparation with a view to offering our guests a safe place for live conference delivery. In addition, to ensure your safety, our event staff is fully vaccinated.

All our events will adhere to official government and local authority guidance in addition to venue or location-specific regulations. Our live events will follow the commitments below.

In-person Conference Participation Requirements For the protection and wellbeing of all event attendees, we have implemented a vaccination requirement for entry into the conference. All attendees and staff are required to provide proof of being fully vaccinated with a COVID-19 vaccine. A negative COVID-19 test result will not qualify for entry into the conference. Vaccination proof must be accompanied with a government-issued ID.

Attendance Screening All attendees will need to assert that at the time that they first attend the conference and for the 14 days prior: y They are not experiencing COVID-19 symptoms. y Have not traveled from an area under a travel health advisory. y Have not provided care for or had close contact with any person with or reasonably suspected of having COVID-19, or with any person who traveled outside of your home country or to an area under a travel health advisory. y Have not been advised by any health authority, government agency or regulation to selfisolate due to possible exposure to COVID-19.

Link to COVID-19 symptoms: https://www.cdc.gov/coronavirus/2019-ncov/symptoms-testing/symptoms.html We are closely monitoring industry best practices and will be evaluating further additional measures pertaining to vaccinations and on-site screening based on the advice of health authorities.

As per the guidance of the CDC, and the updated mask mandate that has been put in place by local government officials, masks are now required in all indoor public venues and businesses except while eating and drinking.

We reserve the right to deny entry to anyone not following the requirements above. Please note our entry policy is subject to change at any time based on changing local regulations.

Enhanced Communication y Advance communication to all attendees on what to expect and prepare for at the conference: from registration to conference materials to room layout to food and beverage options and more. y Education and training for the team to ensure we provide a safe and secure conference experience. y Distribution of local health-resource information in advance of the event. y Ongoing communication and advance planning with the venue regarding enhanced cleaning and sanitizing measures, response strategies and other onsite protocols.

Increased Cleaning and Sanitation y Placement of hygiene stations throughout the conference including the registration area, meeting spaces and high frequency areas. y Availability of personal hygiene and safety products including facial coverings where available.

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Reduced Touchpoints

y A conference room layout with planned seating for appropriate physical distancing.

y Reduction of the physical distribution of onsite materials.

y We continue to work closely with our venue partners to ensure the safety of our attendees.

Please check back frequently as we monitor and evolve our plan in the weeks ahead.

y Food and beverage options that ensure minimal handling and exposure.