June 24 – 25, 2013 • InterContinental Hotel, São Paulo, Brazil
3 rd Latin America Summit on
Anti-Corruption
3ª Cúpula da América Latina sobre
Anti-Corrupção
How to Tailor Your Compliance Program and Internal Controls for Your Latin
America Operations Amid an Increasingly Complex Enforcement Environment
Learn How These Companies are Implementing
Compliance and Risk Management Strategies:
Isabel Gomes
3M
Carlos Lanardonne
Novartis Argentina
Alexandre da Cunha Serpa Jose Martin
Pentair
Alcon Laboratories
Natasha
Trifun
Ramiro Cabrero Sorrentino
Pfizer
Baker Hughes
Flavia Ribas
Denis Jacob
Philips
Becton Dickinson
Wagner Giovanini
Olga Pontes
Siemens
Braskem
Fred Ratliff
Liliana Arimany
Shell Oil
CEVA Logistics
Fernando Palma
Gabriela Roitburd
Stryker
Covidien
Andrea Cardoso
Sergio Pinto
Volkswagen do Brasil
Johnson & Johnson
Marco Padilla
Rico Baumann
Weatherford
MAN Latin America
International
Felipe Maldonado Garcia
Oracle
Join Interactive Post-Summit Working
Groups – June 26, 2013:
A
How to Make Sure to Your Latin American
Operations Are Meeting U.S. Anti-Corruption
Standards: Practical Review of SEC and DOJ
Joint FCPA Guidance on the Hallmarks of
Effective Compliance Programs
B
A Practical Guide Into Anti-Corruption
TRAINING: How to Create a Robust,
Culturally-Sensitive and Practical Training
Curriculum for All Employees and Third Parties
Principal Sponsor:
Sponsored By:
Keynote Address:
Sergio Nogueira Seabra
President – Secretary for Corruption Prevention
Controller General’s Office – Brazil
Special, Enhanced Focus on MINIMIZING THIRD PARTY RISKS
• Standards to apply when evaluating agents, distributors, intermediaries and brokers in Latin America
• Reducing risk when pressured by the government to use a specific third party
• Overcoming cultural challenges unique to Latin America, developing a partner code of conduct,
and training third parties on how to comply with applicable anti-corruption laws
• Terminating contracts with dubious third parties
Benefit from NEW interactive discussions:
 Conducting effective risk assessments and designing the appropriate internal controls
 Contrasting FCPA, UKBA, and Brazil’s Current Anti-Corruption Laws – How to Minimize Your
Overall Risk of Liability for Operations in Latin America
 Collective Action – “Clean Games” for World Cup 2014 and Olympics 2016 – Preventing Pitfalls
and Risks When Bidding for Contracts Associated With These Games
 Bill of Law 6.826 – What to Make of Brazil’s Pending “Clean Company Act”
 Anti-Corruption Best Practices Think Tank – Hear from industry experts how companies doing
business in Latin America are strengthening their programs
 Inside an Effective Anti-Corruption Internal Investigation in Latin America: Scoping Your Action
Plan from A to Z
Earn
PLUS, Gain Practical Insights on:
CPE/CLE
• Recent SEC and DOJ Joint FCPA Guidance and its impact your program
• How to communicate with your employees in Latin America and keep them engaged
• What is triggering Government investigations in Latin America – Lessons learned from
the latest cases and the implications for your compliance program
Credits
Earn
TASA
Credits
Agenda Português página 3
Exhibitors:
Clarity in a complex world
Register Now • 888-224-2480 • AmericanConference.com/ACBrazil
Anti-Bribery Investigations and Prosecutions are Increasing
in Latin America and Around the Globe. Can your AntiCorruption Compliance Program Sustain the Heat of a
Government Investigation? Learn What it Takes to Ensure
Your Operations are Compliant with the FCPA, UKBA,
and relevant laws in the Latin American Region.
The Latin American market is growing tremendously, particularly in Brazil.
More growth means more opportunity, but also more risk of corruption.
With a score of 43 on Transparency International’s Corruption Perception
Index, the Brazil market brings serious corruption challenges. Heightened
anti-corruption enforcement will affect more companies doing business in
Latin America than ever before. Now is the time to demonstrate to employees
and the enforcement agencies that anti-corruption is an important corporate
objective that is taken seriously in Latin America.
The highly-rated 3rd Latin America Summit on Anti-Corruption will
bring together leading anti-corruption industry experts and counsel in Latin
America for unparalleled networking and benchmarking opportunities. This
event will cover important topics, including:
• Third Party Risks: Applying the right level of due diligence when vetting
and selecting local agents, brokers, intermediaries and distributors in
Latin America
• Bill of Law 6.826: What to make of Brazil’s pending “Clean Company Act”
• Creating a Culture of Communication and Compliance in Latin
America: How to communicate with employees throughout the company
and keep them engaged
• “Clean Games”: Preventing pitfalls when bidding for contracts associated
with the World Cup 2014 and the Olympics 2016
• Conducting an Effective Anti-Corruption Risk Assessment in Latin America
Also benefit from:
• Special session with the Controller General’s Office – Brazil
• Case Study on how to scope an Internal Investigation from start to finish
and determine your action plan
• Interactive Q&A Session: How to Prevent Gift, Entertainment, and
Hospitality Trip Wires
Enhance Your Experience with New Working Groups
A: SEC and DOJ Joint FCPA Guidance on the Hallmarks of Effective
Compliance Programs: How to Make Sure to Your Latin American
Operations Are Meeting U.S. Anti-Corruption Standards
B: A Practical Guide Into Anti-Corruption TRAINING: How to Create
a Robust, Culturally-Sensitive and Practical Anti-Corruption Training
Curriculum for Employees and Third Parties and Successfully Conduct
Training
Register early to guarantee your place and take advantage of early bird
discounts. Call 1+44 20 7878 6888 (UK); 1-416-926-8200 (USA);
or register online at www.AmericanConference.com/ACBrazil
Principal Sponsor:
PwC's Forensic Services team of experienced professionals is dedicated to
meeting the challenges caused by fraud allegations, financial crimes and other
irregularities. Our portfolio of services includes: Financial Crime Examinations,
Forensic Technology Solutions, Regulatory Compliance Reviews, Fraud Risk
Management and Fraud Prevention, Dispute Analysis and Litigation Support. The Forensic
Services team also manages the PwC Fraud Forum, an exclusive community where members
can gain knowledge, participate in events and share important insights on preventing,
detecting and investigating fraud, corruption and economic crime.
See www.pwc.com/us/forensics and http://usfraudforum.pwc.com for more information.
Conference Advisory Board:
Comprised of a select group of Latin America Anti-Corruption leaders,
the Conference Advisory Board includes experts driving the anticorruption compliance movement in Latin America. Board members
provide guidance on the overall direction of the program, identification
of speakers, and core conference features and benefits.
Meet the Board:
Wagner Giovanini
Cluster Compliance Officer –
South America
Siemens Ltda
Flavia Ribas
Latin America
Fraud Risk Director
Philips
Fernando Palma
Compliance Officer, Americas
Stryker Corporation
Mona Clayton
Partner, Forensic Services
PwC
Carlos Ayres
Co-Chair of the Anti-Corruption
Compliance Committee
Brazilian Institute of Business Law
(IBRADEMP)
Natasha Trifun
Brazil Compliance Officer
Pfizer, Inc.
This Exclusive Conference is Especially Designed for:
• Corporate Counsel
- International Trade Counsel
- Import/Export Compliance
- Trade and Regulatory Counsel
- Government Affairs
- Contracts
• Compliance Officers
• Ethics Officers
• Directors, Internal Audit
• Directors, Import Export
Compliance
• Directors, Business Conduct
• Forensic Accountants
• Auditors
• Certified Fraud Examiners
• Directors, Corporate Audits and
Investigations
• International Contract Managers
• Outside Counsel specializing in:
- International Trade
- Corporate Compliance
- White Collar Crime
- Internal Investigations
- Anti-Money Laundering
- Corporate Governance
ACI runs the most successful portfolio of
anti-corruption conferences in the world:
What attendees have said about previous São Paulo conferences:
“It was a very good event and the
subjects were very relevant”
– Petrobas
“Event was excellent.” – CEVA Logistics
“Top-notch content, very useful, not a moment wasted.
High caliber event.”– Jones Day
“Very well-organized.” – Johnson & Johnson
“Excellent speakers, good structure, great timing.” – Oracle
Global Sponsorship Opportunities
With more than 500 conferences in the United States, Europe, Asia Pacific, and Latin
America, American Conference Institute (ACI) provides a diverse portfolio devoted to
providing business intelligence to senior decision makers who need to respond to challenges
spanning various industries in the US and around the world.
As a member of our sponsorship faculty, your organization will be deemed as a partner. We
will work closely with your organization to create the perfect business development solution
catered exclusively to the needs of your practice group, business line or corporation.
For more information about this program or our global portfolio of events, please contact:
Wendy Tyler
Head of Sales, American Conference Institute
Tel: 212-352-3220 x5242 | [email protected]
RESUMO DO PROGRAMA
PRIMEIRO DIA – 24 DE JUNHO DE 2013
7:30
8:30
8:45
9:45
10:45
11:00
11:45
12:15
13:15
14:30
15:15
15:30
16:45
17:30
Abre a inscrição e café
Conferência dos co-presidentes, comentários iniciais
Como minimizar riscos de terceiros: Aplicar o nível correto de diligência
devida ao vetar e escolher agentes locais, corretores e intermediários e
distribuidores na América Latina.
7:30
8:30
8:35
9:45
10:45
11:00
11:45
12:45
14:00
14:30
15:15
15:30
16:30
17:15
18:00
Conference Co-Chairs’ Opening Remarks
Natasha Trifun
Brazil Compliance Officer, Pfizer, Inc. (São Paulo)
Intervalo para café
O que está acontecendo na região? – Atualização sobre o ambiente
de regulamentação e de aplicação da lei anticorrupção na Argentina,
Venezuela, Colômbia e México.
How to Minimize Third Party Risks: Applying the
Right Level of Due Diligence When Vetting and
Selecting Local Agents, Brokers, and Intermediaries
and Distributors in Latin America
Intervalo para lanche
Juan Morillo
Partner, Cleary Gottlieb Steen & Hamilton (USA)
Discurso de Abertura
8:45
Almoço de confraternização para oradores e participantes
Natasha Trifun
Brazil Compliance Officer, Pfizer, Inc. (São Paulo)
Criação de uma cultura de comunicação e compliance: Como fazer a
comunicação com funcionários de todos os níveis da empresa e mantê-los
engajados e observando seu programa anticorrupção.
Minimizando riscos anticorrupção em fusões e aquisições: Como conduzir
uma eficaz diligência devida na pré-fusão para detectar riscos e mitigar
possível responsabilidade sucessória.
• How to establish appropriate front-end vetting and screening
protocols based on the type of relationship and interests
represented by the third party – one size does not fit all
• How to use due diligence based on the level of risk and services
provided by third party
• Background and reputation checks – what to look for before going
too far in the diligence process
• How much government ownership or affiliation is enough to
interest enforcement agencies
- Ownership, qualifications, social and political connections and
financial links
- Government affiliations with foreign consulting agents, engineers
or project managers
- Familial relationships and friendships
• Conducting in-person meetings to verify representations and train
third party employees
• What government authorities will expect you to have in your files
• Overcoming cultural and legal challenges unique to Latin America
when interviewing and auditing local intermediaries
• Reducing risk when political pressure from government to use a
specific third party is exercised
• Structuring appropriate anti-bribery provisions in contracts
• Developing a partner code of conduct, and training third parties
on how to comply with applicable anti-corruption laws
• Terminating contracts with dubious third parties
“Jogos Limpos” e Ação Coletiva para a Copa do Mundo de 2014 e as
Olimpíadas de 2016: Prevenção de perigos imprevistos e de riscos nas
licitações de contratos associados a esses jogos.
A conferência fica suspensa até o segundo dia
SEGUNDO DIA – 25 DE JUNHO DE 2013
8:30
Registration Begins and Coffee
Flavia Ribas
Latin America Fraud Risk Director, Philips (São Paulo)
Comparando FCPA, UKBA e a atual legislação brasileira anticorrupção:
Como minimizar seu risco total de responsabilidade em operações na
América Latina.
Projeto de lei 6.826 – O que fazer com a “Lei da empresa limpa” do Brasil,
ainda pendente.
Day One – June 24, 2013
Conferência dos co-presidentes, comentários iniciais.
ESTUDO DE CASO: Dentro de uma investigação interna efetiva na América
Latina – Organizando seu Plano de Ação de A a Z.
Conduzindo uma avaliação eficaz de risco anticorrupção na América
Latina: Como determinar o seu perfil de risco e projetar seus controles
internos corretos
Intervalo para café
Lidando com a conduta corrupta de um funcionário: Ações disciplinarias e
rescisão do contrato de trabalho de acordo com a legislação brasileira.
Sessão interativa de perguntas e respostas: Como evitar armadilhas de
presentes, entretenimentos e hospitalidade.
Almoço de confraternização para oradores e participantes
Discurso Especial: Bancos multilaterais de desenvolvimento – Aplicação
da lei, penas e coordenação de investigações.
Elementos essenciais de um programa eficaz de supervisão
e monitoramento de terceiros
Intervalo para lanche
Painel sobre benchmarking interativo e melhores práticas: O que deve ser
feito no compliance anticorrupção para evitar os erros mais dispendiosos.
ESTUDO DE CASO: Minimizando a exposição aos riscos nas joint ventures
e consórcios na América Latina
Lidando com solicitações de subornos ao obter licenças, autorizações e
certificações do governo
Fim da conferência
GRUPOS DE TRABALHO INTERATIVOS – 26 DE JUNHO DE 2013
WORKSHOP A: 9:00 – 12:30 (A inscrição abre às 8:30)
Como verificar que suas operações na América Latina atendam aos padrões norteamericanos de anticorrupção: Orientação conjunta sobre a Lei de Práticas Corruptas
Estrangeiras (FCPA) da Comissão de Títulos e Câmbio (SEC) e do Departamento
da Justiça (DOJ)
WORKSHOP B: 13:30 – 17:00 (A inscrição abre às 13:00)
Um guia prático de treinamento anticorrupção: Como construir um currículo de
treinamento sólido, sensível à cultura e prático para funcionários e terceiros e conduzir
com sucesso o treinamento.
9:45
Contrasting FCPA, UKBA, and Brazil’s Current AntiCorruption Laws: How to Minimize Your Overall
Risk of Liability for Operations in Latin America
Philip Urofsky
Partner, Shearman & Sterling (USA)
Vitor Rogério da Costa (Invited)
Senior Partner, Vitor Costa Advogados (São Paulo)
Becoming and remaining compliant with anti-corruption legislation
around the world is one of the most challenging aspects of an effective
anti-corruption compliance program. This session will take you
through the “pillars” of each statute, and highlight the similarities and
difference that you must keep in mind in order to comply with all three
jurisdictions’ laws.
• Who is (and is not) covered by the FCPA, UKBA, and Brazilian law?
• Discussing the basic elements of the laws, and defining bribery
under Brazil law
Register now: 888-224-2480 • Fax: 877-927-1563 • AmericanConference.com/ACBrazil
• UK Bribery Act, Section 7
- How to avoid liability for failure to prevent persons from
bribing on your behalf
- What is the defense of “adequate procedures” under the law?
• What are permissible and impermissible payments under each law
• Comparing and contrasting third parties due diligence requirements
• What to do in case of a potential violation under each law
• Enforcement and execution of anti-bribery laws in Brazil
• Fundamentals of an anti-corruption program compliant with all
three jurisdictions
• How concerned should foreign companies be with local laws
- Are FCPA settlements and voluntary disclosures to the U.S.
government catalysts for separate investigation in Brazil and
other Latin American countries?
10:45
11:00
• How has recent violence in these countries impacted the reporting
of corruption?
• Case Studies – practical real-life scenarios from each country
13:15
14:30
Andrea Cardoso
Governance, Risk & Compliance, Volkswagen do Brasil
Indústria de Veículos Automotores Ltda (São Paulo)
Bill of Law 6.826 – What to Make of Brazil’s Pending
“Clean Company Act”
• How to ensure regular communication with employees regarding
anti-corruption compliance efforts
• Obtaining a commitment from senior management to
anti-corruption compliance
• Localizing your code of conduct and training curriculum to ensure
buy-in from employees at all levels in Latin America
• Identifying anti-corruption “ambassadors” in your organization
and giving them the tools they need to spread the word
• Understanding the training needs of your employees, and
matching those needs with the appropriate resources
• Establishing a feedback loop – getting valuable input directly from
employees on how to increase employee engagement
• Employee engagement best practices – what companies are doing well
Rafael Gomes
Partner, Chediak Advogados (São Paulo)
Carlos Ayres
Co-Chair of the Anti-Corruption Compliance Committee
Brazilian Institute of Business Law (IBRADEMP) (São Paulo)
11:45
Keynote Address:
Sergio Nogueira Seabra
President – Secretary for Corruption Prevention
Controller General’s Office – Brazil
12:15
What’s Happening in the Region? Update on
the Anti-Corruption Regulatory & Enforcement
Environment in Argentina, Venezuela, Colombia
and Mexico
Fred Ratliff
Senior Counsel, Anti-Bribery and Corruption
Shell Oil Company (USA)
Pedro Serrano Espelta
Partner, Marval, O’Farrel & Mairal (Argentina)
Daniel Rodriguez Bravo
Senior Associate, Brigard & Urrutia (Colombia)
• Current legislation on the books in Argentina, Venezuela,
Colombia, and Mexico
- Are these laws being enforced locally?
• What is the prevalence of State Owned Entities and the
corresponding anti-corruption implications?
• How strong are Labor Unions, and to what extent do Union
leaders play a quasi-governmental role?
Creating a Culture of Communication and
Compliance: How to Communicate with Employees
at all Levels of the Company and Keep Them
Engaged In Your Anti-Corruption Initiatives
Felipe Maldonado Garcia
Forensic Audit Manager, Latin America, Oracle (São Paulo)
Coffee Break
• Who is covered by Bill of Law 6.826?
- Companies, individuals, government officials?
• What is the extraterritorial reach of the proposed legislation
• What are the risks for corporations?
• Strict Liability – no intent required – government simply required
to show that bribes were paid
- Is there some sort of middle ground between strict liability
and a requirement of intent?
• What are the sanctions to be imposed, and are they too harsh?
• What credit will be given to companies who voluntarily disclose?
• Why is this proposed legislation being stalled in the legislature?
• Would Bill 6.826 bring Brazil into compliance with OECD
Conventions?
Networking Luncheon for Speakers and Attendees
15:15
15:30
Refreshment Break
Minimizing Anti-Corruption Risks in M&As: How
to Conduct Effective Pre-Merger Due Diligence to
Detect Risk and Mitigate Potential Successor Liability
Ramiro Cabrero Sorrentino
Latin American Region Ethics & Compliance Counsel
Baker Hughes (Argentina)
Rico Baumann
Corporate Lawyer, Compliance Officer
MAN Latin America (São Paulo)
Renata Muzzi
Partner, Tozzini Freire Advogados (São Paulo)
Mona Clayton – Panel Moderator
Partner, Forensic Services, PwC (USA)
• Assessing the target’s business model and how its employees
interact with government officials to assess the full scope of risk
- Conducting a thorough review of the target’s sales practices,
business model and third parties
- Carefully reviewing compliance sensitive accounts and
evaluating target’s awareness of risk
• What prospective acquirers should look for in a target’s anticorruption compliance program
- Policies and procedures, training, auditing and internal controls
- Target’s tracking of interaction with government officials, or lack
thereof
• Reputational due diligence: what is the reputational, cultural, and
societal standing of the individuals involved in the transaction?
• What to do if pre-merger due diligence efforts reveal problems
- Pros and cons of disclosure to authorities
- Waiver implications under Brazil, US, and UK law if you do not
raise target’s potential anti-corruption violations
Register now: 888-224-2480 • Fax: 877-927-1563 • AmericanConference.com/ACBrazil
• Negotiating representations and warranties regarding compliance
with anti-corruption requirements, adequacy of internal controls,
and accuracy of accounting records
• Post-closing issues
- Establishing compliance programs and internal controls
in the new entity
- Addressing post-closing investigations and regulatory obligations
16:45
• Managing multiple parties: coordinating the investigation between
the company, third parties, outside counsel and accounting firms
• What to do when a violation is discovered
• Dealing with inconclusive findings
• Knowing when the investigation has been exhausted
9:45
“Clean Games” and Collective Action for World Cup
2014 and Olympics 2016: Preventing Pitfalls and
Risks When Bidding for Contracts Associated With
These Games
Olga Pontes
Head of Internal Audit, Compliance and XLine
Braskem (São Paulo)
Wagner Giovanini
Cluster Compliance Officer – South America
Siemens Ltda (São Paulo)
Pablo Bentes
Director of International Trade & Investment
Steptoe & Johnson (USA)
Caio Magri
Public Policies Advisor, Instituto Ethos (São Paulo)
Martin Whitehead
Partner, Forensic Services, PwC Brazil (São Paulo)
Isabel Gomes – Panel Moderator
Director, Legal Affairs, 3M General Counsel (São Paulo)
• Identifying risks based on transactional practices, forensic profile
of third parties and extent of interaction with government officials
• Assessing management, employee, vendor, and agent knowledge
and awareness of anti-corruption rules
• Conducting a customer risk analysis to identify government or
government official ownership interests or other nexus
• Tracing payments to third parties including sales agents and commercial
agents, accumulating electronic data and conducting interviews
• Ensuring proper documentation of contributions, marketing
expense, and accounts payable
• Selecting samples of high-risk transactions for further analysis
• Reporting findings to compliance officers, audit committees,
and legal counsel
• Understanding what your system of internal controls needs to
accomplish
• Implementing key controls to prevent improper payments and fraud
• Leveraging your financial accounting system to flag questionable
payments
• What is “Collective Action?”
- How can companies, governments and civil society
organizations join forces in order to guarantee transparency
in business transactions?
- What role do government, companies, and civil societies
each play in collective action?
- Understanding the benefits of collective action
• What are the objectives of the “Clean Games”?
- Transparency, integrity, oversight
• Your company’s role in the Clean Games - corporate self-regulation
mechanisms through the establishment of Sector Agreements
- Sectors: Construction, Energy, Transportation and Health
equipment
17:30
8:30
8:35
Conference Adjourns to Day Two
Day Two – June 25, 2013
Conference Co-Chairs’ Opening Remarks
CASE STUDY: Inside an Effective Anti-Corruption
Internal Investigation in Latin America – Scoping
Your Action Plan from A to Z
Flavia Ribas
Latin America Fraud Risk Director, Philips (São Paulo)
Esther Flesch
Partner, Trench, Rossi & Watanabe (São Paulo)
Leonardo Lopes
Director, Forensic Services Brazil, PwC Brazil (São Paulo)
During this strategic and practical session, expert speakers will take
you through a case study of an internal investigation that will explore:
• Identifying red flags to signal when an internal investigation
should take place
- What are the red flags unique to Latin America?
• Determining the scope of the investigation and the action plan
• Identifying who should conduct the investigation and dealing
with external auditors
• Practical interview techniques to ensure you get the information
you are seeking, including cultural considerations
• Steps to take to ensure that attorney-client privilege is protected
Conducting an Effective Anti-Corruption Risk
Assessment in Latin America: How to Determine Your
Risk Profile and Design the Right Internal Controls
10:45
11:00
Coffee Break
Addressing an Employee’s Corrupt Conduct:
Disciplinary Actions and Termination of
Employment Contracts in Compliance with
Brazilian Law
Renato Canizares
Partner, Demarest e Almeida Advogados (São Paulo)
Estêvão Mallet
Partner, Mallet Advogados Associados (São Paulo)
• Evaluating the risk level of corrupt behavior based on:
- Number of people who are involved, seniority of the employees,
reasons given for corrupt conduct
• Deciding which disciplinary actions should be taken based on risk
levels and company policy: re-training, employment suspension,
demotion and employment termination
• Overview of the legal grounds and restrictions for employment
termination under Brazilian employment law
- In what aspect is Brazilian law over-protective of employees
accused of corrupt conduct?
• When you should consider terminating the employment contract
and the associated potential litigation and arbitration risks
• Real life examples of compensation offered for the employees
to walk away
• Discussing government expectations regarding corporate
disciplinary actions in response to discovered corruption-related
violations
Register now: 888-224-2480 • Fax: 877-927-1563 • AmericanConference.com/ACBrazil
11:45
Interactive Q&A Session: How to Prevent Gift,
Entertainment, and Hospitality Trip Wires
• Identifying what your compliance program needs to accomplish
in Latin America and how it should be structured and supported
• Determining if a dedicated Latin America regional compliance
team is vital to the success of your compliance program
• Monitoring compliance with your program and conducting
compliance audits
• Understanding what tools and techniques companies are using
to build and fine-tune their anti-corruption programs
• Best practices of companies that have built effective compliance
programs in Latin America and around the world
Denis Jacob
Senior Commercial Assurance Manager – Latin America
Becton Dickinson (São Paulo)
Leonardo Ruiz Machado
Head of Compliance & Corporate Integrity
Machado, Meyer, Sendacz e Opice Advaogados (São Paulo)
• Contractually-mandated hospitality – what is reasonable
• Gifts and meals – identifying what is reasonable vs. customary
and who decides where the line is drawn
• Case Study: Business Travel 101
• Overcoming cultural sensitivity challenges
• Summary of applicable rules in key jurisdictions
• Implementing a program to monitor and audit hospitality
• How to address gift and entertainment issues in the Code of Conduct
12:45
14:00
16:30 Richard Fogarty
Director, Latin America Practice Leader, Global Investigations
and Compliance, Berkeley Research Group (USA)
Maria-Leticia Ossa-Daza
Latin American Counsel, Willkie Farr & Gallagher LLP
(Mexico)
Networking Luncheon for Speakers and Attendees
• Due diligence: how to design and implement for a successful
joint venture
• Identifying special risks for JVs and consortia that other third
party relationships may not have
• What safeguards can be put in place in operating and staffing
your Latin American joint venture?
• Should contact provisions track the language of the anti-corruption
statute, or just provide a warranty that the JV partner will “abide
by the” the statute?
• What issues may arise if the JV includes a government partner
• How to conduct an investigation of a joint-venture when a
problem arises
• Resolving disputes among partners should a bribery issue arise
• How to work with joint-venture partners that don’t share your
anti-corruption commitment
• What enforcement agencies will expect you to have in your files
Multilateral Development Banks – How to Stay On
Their Good Sides By Understanding Enforcement
Priorities, Penalties, and Coordination of
Investigations
Frank Fariello
Lead Counsel, The World Bank (USA)
Bernardo Weaver
Secretary to the Sanctions Committee
Inter-American Development Bank (USA)
14:30
Essential Elements of an Effective Third Party
Oversight and Monitoring Program
Gabriela Roitburd
Legal Manager – Brazil, Covidien (São Paulo)
17:15
Sergio Pinto
Regional Lead Officer, Johnson & Johnson (São Paulo)
15:30
Lucienne Zaka
Vice President Legal South America
Metso Minerals (São Paulo)
• Understanding what licenses, permits, or certifications are legally
required to identify fabricated requests for approvals
• Identifying key risk areas during the approval process when
dealing with various government agencies
• Understanding how best to work with government officials
when obtaining regulatory approvals
• How can you avoid using despachantes or other third parties?
• Obtaining an invoice and supporting documentation from the
licensing agency to prevent lapses that might lead to an anticorruption violation
• Conducting a review of how your company obtains licenses,
permits and certifications to ensure compliance
Refreshment Break
Interactive Benchmarking and Best Practices
Panel: Anti-Corruption Compliance Must-Do’s to
Avoid the Most Costly Mistakes
Alexandre da Cunha Serpa
Regional Compliance Officer – Latin America and Caribbean
Alcon Laboratories, Inc. (São Paulo)
Carlos Lanardonne
Legal Director & Country Compliance Head
Novartis Argentina (Argentina)
Dealing with Requests for Bribes When Obtaining
Government Licenses, Permits and Certifications
Marco A. Padilla Merigo
Regional Compliance Counsel Latin America,
Ethics & Compliance Group, Office of Global Compliance
Weatherford International (USA)
• Develop an appropriate third party management plan — where
to begin and identifying the essential elements of a third party
management program
• Customize internal controls for effective third party oversight
• Forced marriages — should you accept a partner who is forced
upon you? How to manage such situations
• Train your third parties on compliance requirements
and expectations
• Perform compliance audits of your third party management
program
• Terminate a relationship – knowing when to end the relationship
15:15
CASE STUDY: Minimizing Risk Exposure in Joint
Ventures and Consortia in Latin America
18:00 Conference Ends
Register now: 888-224-2480 • Fax: 877-927-1563 • AmericanConference.com/ACBrazil
Interactive Working Groups – June 26, 2013
Workshop A: 9:00 – 12:30 (Registration Begins at 8:30)
Workshop B: 13:30 – 17:00 (Registration Begins at 13:00)
Jose Martin
Associate General Counsel, Pentair, Inc. (USA)
Fernando Palma
Compliance Officer, Americas, Stryker Corporation (São Paulo)
ow to Make Sure to Your Latin American Operations Are Meeting
H
U.S. Anti-Corruption Standards: SEC and DOJ Joint FCPA Guidance
on the Hallmarks of Effective Compliance Programs
Practical Guide Into Anti-Corruption TRAINING: How to Create a
A
Robust, Culturally-Sensitive and Practical Anti-Corruption Training
Curriculum for Employees and Third Parties and Successfully
Conduct Training
Matteson Ellis
Partner, Matteson Ellis Law, PLLC (USA)
Sergio Pinto
Regional Lead Officer, Johnson & Johnson (São Paulo)
Eric Snyder
Partner, Kobre & Kim (USA)
Liliana Arimany
Regional Compliance Manager – Americas
CEVA Logistics (Argentina)
Chapter Five of the SEC and DOJ’s Joint Guidance lays out the guiding principles of
enforcement and gives specific direction as to the “Hallmarks of Effective Compliance
Programs.” This working group is dedicated entirely to these hallmarks and the
impact it will have on your anti-corruption compliance program in Latin America.
Take advantage of the opportunity to ask specific questions on risk assessment, thirdparty due diligence, employee training, and other the hot topics keeping you up at
night. Topics will include:
• Gaining commitment from Senior Management and a Clearly Articulated Policy
Against Corruption
• Code of Conduct and Compliance Policies and Procedures
• Oversight, Autonomy, and Resources
• Effective Risk Assessment
• Training and Continuing Advice
• Incentives and Disciplinary Measures
• Third-Party Due Diligence and Payments
• Confidential Reporting and Internal Investigation
• Continuous Improvement: Periodic Testing and Review
• M&A: Pre-Acquisition Due Diligence and Post-Acquisition Integration
Continuing PROFESSIONAL EDUCATION Credits
American Conference Institute (ACI) will apply for Continuing Professional
Education credits for all conference attendees who request credit. There are no
pre-requisites and advance preparation is not required to attend this conference.
Course objective: Update on the FCPA and Anti-Corruption compliance with regards
to inappropriate payments. Recommended CPE Credit: 16.0 hours for main program;
4.0 hours for the each workshop.
ACI is registered with the National Association of State Boards of Accountancy (NASBA)
as a sponsor of continuing professional education 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 addressed to the
National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN,
37219-2417 or by visiting the web site: www.nasba.org
To request credit, please check the appropriate box on the Registration form.
Exhibitor:
Thomson Reuters Governance, Risk and Compliance (GRC) business unit
provides comprehensive solutions that connect our customers’ business to
the ever-changing regulatory environment. GRC serves audit, compliance,
finance, legal, and risk professionals in financial services, law firms, insurance, and other
industries impacted by regulatory change.
The Accelus suite of products provides powerful tools and information that enable
proactive insights, dynamic connections, and informed choices that drive overall business
performance. Accelus is the combination of the market-leading solutions provided by the
heritage businesses of World-Check®. IntegraScreen, and Complinet.
Training employees and third-party business representatives is among the most
challenging aspects of having a successful anti-corruption compliance program and
one that many companies struggle to get right. The first and most important step
in getting training right is tailoring the training message to the job function and the
risks specific to the audience being trained. At this unique working session, workshop
leaders will share their training strategies and approach and take you through the
fundamentals of developing an effective training curriculum tailored to your audience.
Topics will include:
• Localizing your training curriculum – how to best address cultural nuances and
risks that are specific to the particular jurisdiction in Latin America
• How to get the training message right for sales and marketing, finance and accounting,
legal, audit, regulatory, procurement and logistics and operational management
• Adequately communicating anti-corruption standards, policies and processes and
testing that they are understood
• Determining what additional training is required for high risk employees, third
parties and those in high risk markets
• How to avoid training fatigue and decide if additional or refresher training is needed
• How to use training as a monitoring tool
• Measuring the effectiveness of your training program
Continuing Legal Education Credits
Accreditation will be sought in those jurisdictions requested by the registrants
Earn
CLE which have continuing education requirements. This course is identified as
Credits
nontransitional for the purposes of CLE accreditation.
ACI certifies that the activity has been approved for CLE credit by the New York State
Continuing Legal Education Board in the amount of 16.0 (2.0 Ethics) hours. An additional
4.0 credit hours will apply to each workshop participation.
ACI certifies that this activity has been approved for CLE credit by the State Bar of
California in the amount of 13.5 (1.75 Ethics) hours. An additional 3.5 credit hours will
apply to each workshop participation.
You are required to bring your state bar number to complete the appropriate state forms
during the conference. CLE credits are processed in 4-8 weeks after a conference is
held. 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. Questions about CLE credits for your state? Visit our online CLE Help Center at
www.americanconference.com/CLE
TASA Approved Training
ACI certifies that this activity has been approved for TASA course credit in the
amount of 6 credit hours. An additional 2 credits will apply to working group A
and B participation.
TASA candidates are required to complete the appropriate TASA forms during the
conference. TASA credits are processed in 1-3 weeks after a conference is held.
TRACE Anti-Bribery Specialist Accreditation (TASA) is a comprehensive training and
certification program focused on anti-bribery compliance. To learn more about accreditation,
please visit www.thetasa.org or contact Virna Di Palma at [email protected].
© American Conference Institute, 2013
Media & Association Partners:
Register now: 888-224-2480 • Fax: 877-927-1563 • AmericanConference.com/ACBrazil
Benchmark Anti-Corruption
Compliance Strategies and Network
with Senior Industry Executives from:
June 24 – 25, 2013 • InterContinental Hotel, São Paulo, Brazil
3 rd Latin America Summit on
Anti-Corruption
3ª Cúpula da América Latina sobre
Anti-Corrupção
3M
Oracle
Alcon Laboratories
Pentair
Baker Hughes
Pfizer
Becton Dickinson
Philips
Braskem
Siemens CEVA Logistics
Shell Oil Company
Covidien
Stryker Corporation
Johnson & Johnson
Volkswagen do Brasil
MAN Latin America Weatherford
International
Novartis Argentina
How to Tailor Your Compliance Program and Internal Controls for Your Latin
America Operations Amid an Increasingly Complex Enforcement Environment
R E g i s t r at i o n f o r m
Registration Fee
The fee includes the conference‚ all program materials‚ continental breakfasts‚
lunches and refreshments.
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993L13.WEB
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