14th West Coast Forum on FCPA Enforcement & Compliance - DS

EARN CLE CREDITS

FCPA 14th West Coast Forum on

ENFORCEMENT & COMPLIANCE

June 12–13, 2024 Omni San Francisco Hotel San Francisco, CA

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DISTINGUISHED FACULTY Co-Chairs Darryl Lew Partner White & Case LLP Paige Pratter Assistant General Counsel Business & Regulatory Investigations Microsoft Speakers Uzo Asonye Partner Davis Polk & Wardwell LLP Gregory Bates Member Miller & Chevalier Hui Chen Senior Advisor R&G Insights LAB Evan Chucks Partner Crowell (Shanghai/Los Angeles) Luis Dantón Martínez Corres Partner LEC, Litigio Estratégico y Compliance, S.C Christopher D. Frey Partner Latham & Watkins LLP

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Courtney Hague Andrews Partner White & Case LLP

W.S. Wilson Leung Director of Investigations and Integrity Intel Corporation

Abby Slonecker Senior Vice President FINRA

Carl Hahn VP, Chief Ethics and Compliance Officer Northrop Grumman Corporation

Dmitry Lukovsky Senior Director & Assistant General Counsel Palo Alto Networks

Peter S. Spivack Partner Hogan Lovells US LLP

Matthew Jacobs Partner DLA Piper

Elizabeth M.P. McKee General Counsel Static Control Components, Inc

Chris Steskal Partner Fenwick

Nancy Jacobson Managing Counsel, Global Compliance and Ethics United Airlines

Paul J. Nathanson Partner Davis Polk & Wardwell LLP

Patrick Stokes Partner Gibson, Dunn & Crutcher

Vivianne (Jabbour) Gordon-Pullar Group Chief Compliance Officer SAP

Stephanie Mercedes Tennant Assistant General Counsel META

Brendan Kelleher Chief Compliance Officer SoftBank Group International Lauren (Muldoon) Kootman Assistant Chief, Fraud Section, Criminal Division U.S. Department of Justice Brent Lambert SVP, Chief Legal and Compliance Officer Lexmark Therese Lee Senior Director, Ethics & Business Integrity Google

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Mason Pan Managing Director BDO Kimberly Parker Partner Wilmerhale Abby Slonecker Senior Vice President, FINRA Former Head of Compliance, Tableau Software

Douglas A. Thompson Partner Snell & Wilmer Russell Vickers Associate General Counsel, Corporate Compliance & Privacy Everlaw Justin Weitz Partner Morgan, Lewis & Bockius LLP

Charles Reed VP, Corporate Compliance Flex Part of C5 Group’s ANTI-CORRUPTION GLOBAL SERIES

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CONFERENCE DAY ONE

Wednesday, June 12, 2024 7:45

Continental Breakfast and Registration

8:45

Co-Chairs’ Welcome & Opening Remarks on New, Emerging FCPA Trends Darryl Lew Partner White & Case LLP

9:30

Paige Pratter Assistant General Counsel Business & Regulatory Investigations Microsoft

Special Panel

10:00 Ephemeral Messaging

(Professional Practice)

WHAT WOULD YOU DO IF? Hypothetical Scenarios — Ephemeral Messaging and Encrypted Applications: How Companies and Financial Institutions Are Resolving High Stakes Compliance Dilemmas Building on the pre-conference workshop, this practical, interactive session will delve into the most complex, vexing grey areas and how to address them.

Through a series of hypothetical scenarios and anonymous audience polling, participants will be able to compare notes and see how current compliance practices measure up. Topics during this invaluable benchmarking session will include:

Kimberly Parker Partner Wilmerhale

• Navigating the grey areas of the DOJ's recent advisory concerning the risks associated with employing ephemeral messaging for corporate communications » Managing the retention of business records » Implementing concrete auditing measures to prevent message preservation • Addressing the preservation of third-party messaging • Capturing communications on platforms lacking seamless integration with record-keeping systems • How to know if your policies meet DOJ expectations: Practical strategies for when and how to revisit corporate policies • Special considerations for voluntary disclosures, remedial measures and cooperation credit

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Paul J. Nathanson Partner Davis Polk & Wardwell LLP Elizabeth M.P. McKee General Counsel Static Control Components, Inc

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11:00

Networking Break

11:30

Special Focus on China: New, Unique Considerations Affecting Your Compliance Strategy

• Delving into the intricacies and practical aspects of anti-corruption legislation in China • Revealing conflicts between China's “state secrets” and counterespionage legislation, cybersecurity & data privacy laws and regulations—and DOJ policies and guidance • Managing the growing intersection between FCPA enforcement and circumvention of international trade laws (including forced labor, tariffs (e.g., Section 301, export controls and sanctions) between the U.S. and China/Asia-Pacific) • How to adapt your compliance program to the heightened corruption and compliance risks in China and across Asia-Pacific, particularly as companies de-risk China exposure • The impact of recent legislative and enforcement changes relating to China (e.g., Antiforeign Sanctions Law, Unreliable Entity List, Blocking Statute, Counterespionage Law) • Overcoming the unique challenges of “state-owned” entities and overall government involvement in the private sector • Unique issues affecting cross-border investigations involving China

(Professional Practice)

Evan Chucks Partner Crowell (Shanghai/Los Angeles) Patrick Stokes Partner Gibson, Dunn & Crutcher Christopher D. Frey Partner Latham & Watkins LLP

12:00 Networking Luncheon

1:15

The DOJ’s New Whistleblower Program—and What It Means for Companies and Individuals Paige Pratter Assistant General Counsel Business & Regulatory Investigations Microsoft

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(Professional Practice)

Charles Reed VP, Corporate Compliance Flex

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2:15

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Behind the Scenes of Building an Effective AI, Machine Learning & Data Analytics Program

• Exploring the operationalization of artificial intelligence in FCPA investigations and assessing its efficacy • Analyzing the implications of the EU AI Act on FCPA enforcement efforts • Assessing strategies for mitigating potential liability through informed decision-making • Addressing practical challenges associated with implementing machine learning in FCPA cases, such as maintaining legal privilege and navigating organizational adoption hurdles • Highlighting successful case studies of AI integration into FCPA compliance and monitoring initiatives • Using data feeds for continuous risk re-assessments and monitoring program upgrades

MAIN CONFERENCE DAY 1 (Professional Practice)

Mason Pan Managing Director BDO Nancy Jacobson Managing Counsel, Global Compliance and Ethics United Airlines

• Concrete examples of metrics used for assessing and analyzing risk • Leveraging data analytics for re-assessing risks and identifying compliance weak spots • Updating your potential risk contact points that exist throughout your company

Brendan Kelleher Chief Compliance Officer SoftBank Group International

• Assessing the current controls in place to prevent, detect, and correct violations • Determining and prioritizing the compliance enhancement measures you undertake

3:15

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Networking Break

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3:30

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FCPA FLASHPOINT—Southeast Asia and India: Examining the Evolving Corruption Landscape and Current FCPA Trends

• Recognizing prevalent scenarios that multinational corporations should consider when sourcing from Southeast Asia and India • Analyzing enforcement patterns and how they differ from other regions • Gaining insight into the perspectives of banks and financial institutions regarding Southeast Asia and India

(Professional Practice)

W.S. Wilson Leung Director of Investigations and Integrity Intel Corporation

Peter S. Spivack Partner Hogan Lovells US LLP

Carl Hahn VP, Chief Ethics and Compliance Officer Northrop Grumman Corporation

MODERATED BY:

• Identifying changes in anti-corruption measures, data protection, and regulatory compliance throughout Asia—and their impact on your compliance strategy • Tailoring policies and procedures to the unique jurisdictional contexts • Concrete examples of effective risk mitigation strategies

4:15

BREAKOUT ROUNDTABLES

New, Complex Issues with Third Party and Supply Chain Due Diligence and Monitoring During this interactive session, audience members will break out into smaller-group roundtables to work through a series of hypothetical scenarios on hot button issues. Each table will then share its findings and conclusions with the entire audienceleading to a discussion across the whole group.

An invaluable benchmarking opportunity!

Chris Steskal Partner Fenwick & West

Therese Lee Senior Director, Ethics & Business Integrity Google

5:15

Day One Adjourns

Networking Cocktail Reception

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CONFERENCE DAY TWO

Thursday, June 13, 2024 7:30

Continental Breakfast and Registration

8:30

Co-Chair Opening Remarks Darryl Lew Partner White & Case LLP

8:45

Paige Pratter Assistant General Counsel Business & Regulatory Investigations Microsoft

SAP Case Study Post-DPA Vivianne (Jabbour) Gordon-Pullar Group Chief Compliance Officer SAP

MODERATED BY:

Courtney Hague Andrews Partner White & Case LLP

9:15 Interactive Benchmarking: The Grey Areas of Operationalizing New DOJ Guidance and Policies • Concrete examples of program upgrades and compliance pain points • Testing the effectiveness of your compliance program to show that it is: improving, adapting, and updating the program to ensure that it is sustainable and adapting to changing risks • Reviewing the qualifications and expertise of your compliance personnel • Rethinking resource allocation and delivery methods for training • Fostering and sustaining a strong corporate culture

(Professional Practice) Stephanie Mercedes Tennant Assistant General Counsel META Abby Slonecker Senior Vice President FINRA

• Leveraging dashboards and other mechanisms for reporting Hui Chen Senior Advisor R&G Insights LAB

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10:15

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Networking Break

10:30 Mitigating Risk Amid Latin America’s Evolving Compliance Climate and Intensifying Enforcement Landscape:

(Professional Practice)

How the DOJ and SEC Are Coordinating with LATAM Authorities

• Exploring the DOJ's enforcement priorities in Latin America

Lauren (Muldoon) Kootman Assistant Chief, Fraud Section, Criminal Division U.S. Department of Justice

• Identifying best practices for companies and law firms • Analyzing recent high-profile corruption trends and cases in Latin America • Adapting your compliance program to heightened risks in Latin America • Navigating cross-border investigations involving the U.S. and multiple Latin American authorities • Achieving coordinated resolutions with both U.S. and Latin American authorities • A closer look at coordination efforts between the U.S., Brazil, Colombia and Mexico

11:30

Luis Dantón Martínez Corres Partner LEC, Litigio Estratégico y Compliance, S.C

Forward-Looking Compensation Clawback Compliance Strategies: New Takeaways and Hidden Pitfalls to Avoid

• How the DOJ’s Clawbacks policy has affected compensation structures and decision-making • Identifying forward-looking approaches using predictive analytics and risk assessments • Managing the interplay of international employment laws and compliance with DOJ policy

Justin Weitz Partner Morgan, Lewis & Bockius LLP

Gregory Bates Member Miller & Chevalier

(Professional Practice)

Uzo Asonye Partner Davis Polk & Wardwell LLP

• Real-world examples of how to implementing compensation clawbacks within U.S. and foreign legal parameters • What should trigger the application of clawbacks—and what shouldn’t

12:15

Networking Luncheon

1:15

Town Hall Q&A: Operationalizing DOJ Guidance Darryl Lew Partner White & Case LLP

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(Professional Practice)

Paige Pratter Assistant General Counsel Business & Regulatory Investigations Microsoft

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2:00

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(Professional Practice)

ESG COMPLIANCE & INVESTIGATIONS

Part I: New Lessons for Building an ESG Program and Demonstrating ROI to Senior Management and the Board • Understanding how robust ESG programs, including due diligence of third-parties have serves as a mitigating factor • How quality ESG commitments create risk-averse business decisions • Concrete examples of an effective ESG program—and how to leverage FCPA compliance resources

Russell Vickers Associate General Counsel, Corporate Compliance & Privacy Everlaw

• Illustrating the value of ESG to Your Internal Stakeholders • Practical tips for companies embarking on their ESG journey—and for those who are mid-journey

2:45

Networking Break

3:00

ESG COMPLIANCE & INVESTIGATIONS

Douglas A. Thompson Partner Snell & Wilmer

(Professional Practice)

Part II: Enforcement Actions Tied to ESG Disclosures • Discussion of recent ESG enforcement actions—and their aftermath

Dmitry Lukovsky Senior Director & Assistant General Counsel Palo Alto Networks

• The SEC’s use of the FCPA's books and records provisions in ESG cases • The rising interplay of anti-bribery risks and ESG disclosures • Impact of new SEC disclosure rules on risk exposure

3:45

Nexus Between Corruption and Forced Labor: What Every Multinational Company Needs to Know About the Newest UFLPA Enforcement Developments Elizabeth M.P. McKee General Counsel Static Control Components, Inc

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Matthew Jacobs Partner DLA Piper

4:45

Co-Chairs Closing Remarks

5:00

Conference Concludes

Brent Lambert SVP, Chief Legal and Compliance Officer Lexmark

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