617L17_S Int Compliance, Legal Risks and Corp Integrity

Register Now | +44 (0) 20 7878 6888 | C5-Online.com/compliancefrankfurta C5 Group Company

Business Information in a Global Context

Anton Winkler Presiding Judge District Court, Munich I

Nicola Bonucci Director for Legal Affairs OECD

Dr. Ulrich Bergmoser Director for Finance, HR and Compliance Deutscher Fußball-Bund e.V.

12th Advanced Conference on

INTERNATIONAL COMPLIANCE, LEGAL RISKS AND CORPORATE INTEGRITY

UP TO 23.25 CPDCREDITS AVAILABLE

This year marks 30 years since the inception of C5 Group. It is time to match our brand with the dynamic strides we have made.

See inside for details…C5Business Information in a Global Context

31st January & 1st February 2017 | Villa Kennedy Frankfurt, Germany

Where Industry Decision-Makers and Influencers Meet on How to Proactively Respond to Existing and Unforeseen Legal and Compliance Risks

PERSPECTIVE FROM:AB VolvoAssociation of Sport Sponsorship Providers eV (VSA)Bilfinger SEBoschBuyInDeutsche Bank AG

Deutscher Fußball-Bund e.V. (DFB)DIAGEO (South Africa)ENGIEFresenius Medical Care AG & Co. KGaAHermes EOS (UK)MAN Truck & Bus AG (Germany)Microsoft

Nokia (Brazil)OSRAM GmbHSiemens AGThe Norwegian Government Pension Fund Global (Norway)Transparency International GermanyUBS Deutschland AG

German-English TRANSLATION

AVAILABLE

Deutsch-Englische ÜBERSETZUNG

VERFÜGBAR

Dr. Franziska Peters Judge The Münster Tax Court (Germany)

Dr. Hun Chai* Public Prosecutor Prosecutor General's Office Frankfurt (Germany)

LEADING ENFORCEMENT AGENCIES & REGULATORS

KEYNOTE SPEAKERS:

LEAD SPONSOR EXHIBITORSASSOCIATE SPONSORS

Join the Conversation @C5Live Anti-Corruption Experts: Networking Group

AUDIENCE POLLINGSelect panels will utilize anonymous polling to collect audience feedback and benchmark on compliance, investigative and disclosure

best practices. Polling is designed to give audience members a unique look into how industry is dealing with challenges related to anti-corruption compliance and enforcement. With individual keypads, participants will respond to panel questions confidentially, allowing for candid insights on sensitive, controversial issues.

AN ACTIVE CULTURE OF ETHICS AND INTEGRITY REMAINS CRITICAL FOR THE EFFECTIVENESS OF A CORPORATE COMPLIANCE MANAGEMENT SYSTEMThe last months have witnessed several compliance scandals including the ongoing FIFA corruption investigation, the aftermath of the operation “Car Wash”, the Volkswagen Diesel Scandal, Deutsche Bank’s Russian desk investigation and heavy settlements involving corporations and banks. They once again highlight the multitude of risks faced by businesses around the world. The Panama leaks of offshore financial records have revealed a global display of crime and corruption but importantly weaknesses in corporate internal control systems, putting tax avoidance and tax compliance at the top of the agenda for companies.

C5’s 12th Advanced Conference on International Compliance, Legal Risks and Corporate Integrity is designed to reflect the realities of modern compliance, ethics and legal roles.

The conference gathers senior representatives of the District Court of Munich I, the Tax Court of Münster and the Prosecutor General's Office Frankfurt.

Keynote speakers include Anton Winkler, Presiding Judge, District Court, Munich I, Dr. Ulrich Bergmoser, Director for Finance, HR and Compliance, Deutscher Fußball-Bund e.V. (DFB) and Nicola Bonucci, Director for Legal Affairs, OECD.

Join the event where the European legal, ethics and compliance community meet every January in Frankfurt. You will be an active part of an experience-sharing advanced conference on how to evaluate compliance programme components, respond to issues as they arise and monitor internal controls to maintain ongoing compliance.

Whether you are just joining the legal, compliance and integrity community or a highly seasoned practitioner, this programme is not to be missed. You will hear from leading practitioners, in-house counsel and compliance executives who face compliance risks on a daily basis, from corruption, bribery, anti-money laundering, tax compliance, human right compliance, supply chain compliance risks and other emerging risks.

New for 2017:� First-hand Conclusions and Comments

of the First G20 Anti-Corruption Working Group Meeting

� Innovations in Global Compliance Programmes: The Importance of Values and Culture Transformation

� Focus on Latin America: Country-Specific Strategies for Compliance and Risk Mitigation

� Compliance Fatigue: Getting Buy in From Senior Management and All Employees

� The Role of Corporate Compliance Systems in Criminal Proceedings and Sentencing

� Capturing and Monitoring New and Inexistent Risks

� The General Prosecution Office and The Tax Court to Talk About Tax Compliance Investigations and Enforcement Priorities

� Investors and Responsible Shareholders Focusing on Compliance

� The Modern Slavery Act and Human Right Compliance Risks in Supply Chain

New Breakout sessions, Tracks and anonymous polling of the audience will gather this community’s best practices in compliance and risk management. 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 for legal, compliance, ethics and internal audit teams. Go to www.C5-Online.com/compliancefrankfurt to reserve your place now.

FOCUS WORKSHOPS — 2 FEBRUARY 2017:Corporate Compliance Programme Supported by a Culture of Compliance

Third Party Relationships Scrutinised

Country-Specific Strategies to Ensure Compliance and Minimise the Risk of Costly Government Investigations in LATAM

AB

C

OVER THE LAST 7 YEARS THE CONFERENCE HAD ATTENDANCE FROM:

600+ Attendees

250+ Companies

29 Countries

from in

PLUS: FOCUS DAY ON

"Anti-Corruption Year in Review" 30th JANUARY 2017:

Gain practical lessons from the most recent anti-corruption settlements, critical regulatory and enforcement updates



DISTINGUISHED SPEAKER FACULTYLeading Enforcement Agencies & Regulators

Anton WinklerPresiding JudgeDistrict Court, Munich I

Dr. Franziska PetersJudgeThe Münster Tax Court

Dr. Hun Chai*Public ProsecutorProsecutor General's Office Frankfurt (Germany)

The Sport Community:

Inka Müller-SchmähManaging DirectorAssociation of Sport Sponsorship Providers eV (VSA)

Dirk SeeburgMember of Working Group SportTransparency International Germany

Dr. Ulrich BergmoserDirector for Finance, HR and ComplianceDeutscher Fußball-Bund e.V. (DFB)

From the OECD:

Nicola BonucciDirector for Legal AffairsOECD

2017 Conference Chair

Cornelis (Kees) van OphemGlobal General Counsel & EVPFresenius Medical Care (Switzerland)

Conference Faculty:

Andreas Ansel, LL.M. (Stellenbosch)Head of GRC / Compliance Officer – Governance, Risk & Compliance – GOMAN Truck & Bus AG

Andreas HilpertHead of Internal AuditBilfinger SE

Andreas PyrcekPartner, Fraud Investigation & Dispute ServicesEY GmbH (Germany)

Anja DrewGlobal Compliance & Ethics DirectorDIAGEO

Dr. Benno SchwarzPartnerGibson, Dunn & Crutcher LLP

Bo BerndtssonChief Compliance OfficerAB Volvo

Brandon WrightCorporate Internal Audit (C/IA)Bilfinger SE

Lord Charles FalconerPartner, former Lord Chancellor and first Secretary of State for JusticeGibson, Dunn & Crutcher LLP

Dr. Dirk ScherpOf CounselGleiss Lutz

Eli LundHead of SecretariatThe Norwegian Government Pension Fund Global

Eric MayerPartnerPohlmann & Company

Eric Seassaud, Ph.DEthics & Compliance General CounselENGIE

Flavio BertoliChief Compliance OfficerLEDVANCE GmbH

Gabriela RoitburdRegional Compliance Counsel – LATNokia (Brazil)

Hans-Hermann AldenhoffPartnerSimmons & Simmons

Jan HansenHead of Compliance Risk, Strategy and Operations DepartmentSiemens AG

Jason A. MasimoreLawyer, Disputes and InvestigationsKobre & Kim

Dr. Kai SchumacherChief Compliance OfficerBuyIn

Katharina WeghmannExecutive Director, Fraud Investigation & Dispute ServicesEY GmbH (Germany)

Lauren ReynoldsSenior Attorney, Compliance, Central and Eastern Europe (CEE) & GermanyMicrosoft

Dr. Michael FischerGeneral CounselUBS Deutschland AG

Michael HarrisHead of Screening and Enhanced Due Diligence, EuropeThomson Reuters

Michael WaltherPartnerGibson, Dunn & Crutcher LLP

Oliver JostChief Compliance OfficerFresenius Medical Care AG & Co. KGaA

Philippe MontignyPresidentETHIC Intelligence

Robertson ParkPartnerMurphy & McGonigle (USA)

Sascha KuhnPartnerSimmons & Simmons

Savoula DemetriouCompliance Implementation and Assurance Team (CIAT)Allianz SE

Stefan SchafferPartner, Fraud Investigation & Dispute ServicesEY Gmbh (Germany)

Stuart F. DeleryPartnerGibson, Dunn & Crutcher LLPFormer Acting Associate Attorney General of the United States

Thiago Jabor PinheiroPartnerMattos Filho, Veiga Filho, Marrey Jr e Quiroga Advogados (Brasil)

Dr. Thomas AltenbachAssistant General Counsel and Regional Head of Anti Financial Crime EMEADeutsche Bank AG

Tim GoodmanDirectorHermes EOS (UK)

Torsten KrumbachCompliance Office (ST/CPO)Bosch GmbH


PRE-CONFERENCE FOCUS DAY | Monday, 30th January 2017

8:00 a.m. – 4:45 p.m.ANTI-CORRUPTION YEAR IN REVIEWPractical Lessons from the Most Recent Anti-Corruption Settlements, Critical Regulatory and Enforcement Updates

MAIN CONFERENCE DAY ONE | Tuesday, 31st January 2017

8:00 Registration Begins

8:30 Opening Remarks from The Conference Chair

8:45 PANEL DISCUSSIONGlobal Compliance Risk Assessments Today: How Global Companies Capture and Monitor New and Inexistent Risks

9:45 Internal Investigations; Data Privacy; Cross-border Collaboration Between the Compliance Organisations for an Effective Internal Investigation

10:45 Morning Refreshments

BREAKOUT SESSIONS

BREAKOUT SESSIONS A (11:15 – 12:15)

Track 1 – THE NEW ANTI-BRIBERY LAW FOR THE HEALTHCARE SECTOR

How Companies are Re-assessing Existing and Future Collaborations with HCPs to Control Risks

Track 2 – BENCHMARKING SESSION

Internal Audit and Compliance Teams in Tune to Detect Corrupt Payments and Minimise the Risk of Books and Records Violations

BREAKOUT SESSIONS B (12:15 – 1:15)


Money Laundering Risks for Non-Financial Institutions: Compliance Tools for Effectively Assessing the Risks and Strengthening Internal Controls


Overcoming Compliance Fatigue and Getting Constant Buy in from Senior Management and All Employees

1:15 Networking Lunch

2:30 KEYNOTE ADDRESSStatus and Role of Corporate Compliance Systems in Criminal Proceedings and Sentencing: The View from the Judiciary

3:00 The General Prosecution Office, Tax Authorities and The Tax Court Speak About Tax Compliance Investigations and Enforcement Priorities

4:00 Afternoon Refreshments

4:30 PANEL DISCUSSIONRecent U.S. Enforcement Trends and What the Change in the U.S. Administration Means

5:30 KEYNOTE ADDRESSThe G20 in the Fight Against Transnational Bribery

6:00 Drinks Reception & Conference Adjourns to Day 2

MAIN CONFERENCE DAY TWO | Wednesday, 1st February 2017

8:30 Registration Begins

8:45 Opening Remarks from The Conference Chair

9:00 PANEL DISCUSSIONThe Impact of BREXIT on the Legal and Compliance Community in Europe and Beyond

9:45 KEYNOTE ADDRESS

10:15 Morning Refreshments

10:45 Sponsorship, Partnership, Marketing, and Hospitality: Compliance Management System Capable of Combining Traditional Sporting Values and the Business Competitive Culture in Sports

11:30 PANEL DISCUSSIONCorporate Compliance, Ethics and Integrity Management Programme: How to Change the Culture of Your Organisation

12:30 Networking Lunch

1:45 PANEL DISCUSSIONActive Investors and Responsible Shareholders Focusing on Compliance

2:45 Afternoon Refreshments

3:00 Practical Applications in the Use of Forensic Data Analytics to Improve Corruption Investigation Outcomes

3:45 The Modern Slavery Act and Human Right Compliance: Proactively Controlling the Risks in your Supply Chain to Avoid Shareholders/Public Scrutiny and Prosecution

4:30 Conference Ends

POST-CONFERENCE WORKSHOPS | Thursday, 2nd February 2017

9:00 a.m. – 12:30 p.m.

EXECUTIVE ROUNDTABLE: Focus on Corporate Compliance Programme and Culture

How to Transform your Compliance Programme into a Resourceful Programme Not Triggered by a Major Crisis but Supported by an Open Culture of Compliance

2:00 p.m. – 5:30 p.m.

Focus on Third Party Relationships Scrutinised

HYPOTHETICAL SCENARIOS: Due Diligence, Contract Performance, Payment and Monitoring of your Most Challenging Business Partners in High Risks Markets

9:00 a.m. – 1:00 p.m. (8:30 a.m. Registration and Coffee)

EXECUTIVE ROUNDTABLE FOCUSSING ON

Country-Specific Strategies to Ensure Compliance and Minimise the Risk of Costly Government Investigations in LATAM

A B C



ANTI-CORRUPTION YEAR IN REVIEW

FOCUS DAY

Monday, 30th January 2017

Meet the Facilitators

Martim Della ValleVice President, ComplianceAnheuser-Busch InBev

Mark MendelsohnPartnerPaul, Weiss, Rifkind, Wharton & Garrison LLP

Kyle WomboltPartnerHerbert Smith Freehills

8:00

Registration and Refreshments

8:30

Opening Remarks from the Chair

9:00

Notable Enforcement Developments in 2016: A Round Up of the Key Jurisdictions from Around the World

• What are the current enforcement developments and priorities of the year?

• What can be learnt from the countries with the most effective enforcement plans?

• What should compliance officers be focusing on and prioritising in order to prepare for the year to come?

• Review of US, UK and Germany• Reflecting upon the remediation companies are

making post settlement

10:00

Preparing for the Year to Come? Key Lessons to be Learnt from the Legal Changes and the DPAs and Declinations of the Year

• Identifying the warning and red flag signs throughout your business- What are the warning signs your procurement team

should be looking out for?

• What were the key risk indicators that arose in companies before issues arose?

• Learning from the key risk indicators in order to prepare for the year to come

• What key internal factors should you be looking out for?

10:45

Networking Break

11:00

The Risks of New Businesses Venturing in to Unfamiliar High Risk Jurisdictions: What do Companies Need to be Aware of?

• Knowing the high risk jurisdictions?• What is considered appropriate behaviour when

operating in countries where the government and varying industries are closely related?

• How to manage business relations with companies closely related to the government

• Best practices for managing expectations of those you are dealing with in a high risk jurisdiction?

• Ensuring improper financial relationships are not formed

Practical Lessons from the Most Recent Anti-Corruption Settlements, Critical Regulatory and Enforcement Updates


11:45

Strengthening Your Internal Systems and Processes to Prevent Bribery

• What are the lessons to be learnt from the 2016 cases such as the Olympus case?

• How to identifying your company’s internal weaknesses and identify any bribery early on?

• What are the risks when interacting with foreign officials?• Strengthening your internal controls and systems to

capture the risks before a situation arises• The case of VimpelCom and concealing bribery

schemes from other departments and falsely recording information

• Success fees and business development — keeping a look out for the red flags- Incorporating detailed steps with precision for new

business development• What systems can be implemented to prevent the risks

of withholding information?

12:30

Networking Lunch

13:45

What the Yates Memo Means to Companies: Learning from the Exposure of the Senior Executives

• Moving towards the trend of going after company individuals rather than companies

• To what extent as a company are you required to deliver up your offices?

• Where do the senior executives stand now in light of changing trends?

• Reputational management and handling external messaging

• Managing internal stakeholders during an investigation• Selecting the right lawyers to help

14:30

Hiring Practice Risks: The Regulatory and Competition Risks Arising Out of Hiring Practices

• What companies in the UK can learn from the hiring practices across jurisdictions?

• The consequences of hiring practices on financial institutions

• Hiring practice risks you need to be aware of in light of recent cases and legal rulings

• The risks of hiring practices surrounding intermediaries• Understanding the FCA regulatory and competition

risks arising out of hiring practices- What were the potential risks?- What are the next steps you should be aware of?

• Ensuring your company falls within the bounds of legal hiring practices — what can we learn from the recent investigations such as JP Morgan Chase investigation and their ‘sons and daughters’ hiring initiative?

• Complying with internal hiring practices- Are your current practices up to scratch?- How can they be updated and improved regularly

to ensure that the risks can be identified?• The hiring of competent employees from the outset

- Hiring trustworthy employees- Tip and tricks from those that have made mistakes

15:15

Networking Break

15:30

Gifts and Entertainment Pitfalls: Drawing the Line Between What is Considered Modest and Reasonable• Understanding what is considered to be an adequate

procedure for receiving gifts and entertainment• What kind of approval processes should be set up in

light of cases such as BHP Billiton and Olympus?• Implementing a system for proper sign off when

receiving a gift• Is it possible to change the culture of the business —

can we really say we cannot accept a gift because there are universal rules in place?

• Effective communication of the obligations and cultural distinctions with people in locations you are operating in

• Ensuring relationships of agents and employees are compliant with the FCPA

16:00

Disclosure and Co-operation During Investigation: Striking the Right Balance When Under Investigation. What are the Current Tactics and Efforts Used By Companies on a Global Scale?

• What is the situation for companies that operate on a global scale and how can they ensure they are being co-operative when the regulators across the jurisdictions arrive?

• What is considered to be good co-operation?• What is considered to be effective disclosure and

where can we draw the Line?- Is there a favourable way to act without opening

Pandora’s box?• Approaching self-disclosure as a global company

and understanding what this entails:- Disclosure of personal data to the authorities- Balancing consent v doing as the authorities’ say

• Finding the balance between co-operation and the respecting of local laws — How do you deal with the duality during the settlement process?

• Managing internal cooperation between legal and compliance and overcoming friction

16:45

Chair’s Closing Remarks and End of Focus Day



8:00Registration Begins

8:30Opening Remarks from The Conference Chair


8:45 PANEL DISCUSSIONGlobal Compliance Risk Assessments Today: How Global Companies Capture and Monitor New and Inexistent Risks

Bo BerndtssonChief Compliance OfficerAB Volvo

Jan HansenHead of Compliance Risk, Strategy and Operations DepartmentSiemens AG

Andreas PyrcekPartner, Fraud Investigation & Dispute ServicesEY GmbH (Germany)

• The challenges of new, emerging and inexistent risks to the compliance and risk functions today

• How the Volkswagen scandal has changed the way companies conduct risk assessment today?

• Understanding the business challenges to improve compliance across the board and act on it

• How to prompt your internal policies and procedures, what critical questions to ask to all employees at all levels to ensure that potential weaknesses are dealt with at once

• The latest compliance analytics tools at your disposal

- Analysing emails to detect anomalous relationships

- Leveraging text mining to identify potentially suspicious terms within transactions in the financial accounting data

- Utilising visualisation tools to identify key risk areas on which to focus

- Monitoring tools and statistical techniques to identify data trends and potential anomalies

• What is the answer to the question: what area(s) of the business, procedures am I not assessing? And why?

• Protecting your employees: where the risks are and what tools companies can utilise

• How your training and compliance programmes will achieve employee engagement?

9:45Internal Investigations & Data Privacy; Cross-border Collaboration Between the Compliance Organisations for an Effective Internal Investigation

Robertson ParkPartnerMurphy & McGonigle (USA)


• What are the starting points and relevant sources of information that trigger an investigation?

• Best procedures for conducting a thorough and meaningful internal investigation within an organisation once a potential violation has been identified

• Investigating employee behaviour: what is and is not permissible when collecting and using personal evidence such as employee hardware, emails, telephone conversations and personal information

• What role does data analytics play in finding the key evidence?

• Complying with data protection regulations and your internal data protection programme for internal investigations

• How to report your findings: what are the potential risks and benefits of reporting potential violations to local and foreign regulators

10:45Morning Refreshments

MAIN CONFERENCE DAY ONE Tuesday, 31st January 2017


BREAKOUT SESSIONS

BREAKOUT SESSIONS A (11:15 – 12:15)

Track 1 – THE NEW ANTI-BRIBERY LAW FOR THE HEALTHCARE SECTORHow Companies are Re-assessing Existing and Future Collaborations with HCPs to Control Risks

Oliver JostChief Compliance OfficerFresenius Medical Care AG & Co. KGaA

Dr. Hans-Hermann AldenhoffPartnerSimmons & Simmons

• Scope of the new law: who is covered by the definition of healthcare professionals (HCPs)?

• What activities are still permissible under the new law?

• What a risk assessment to test the permissibility of existing dealings with HCPs will look for

• Robust risk management plan for the areas of collaborations with HCPs that are the most at risk

- Post market surveillance studies and monitoring registries

- Homecare services

- Research or consultancy agreements with HCP

- Granting of discounts to HCPs for products designed for patients

• The elements of the criminal liability to be established: the corruptive agreement vs. the corruptive intent — what do they mean?

• What defence and adequate procedures HCPs should put in place to demonstrate continued compliance

Track 2 – BENCHMARKING SESSIONInternal Audit and Compliance Teams in Tune to Detect Corrupt Payments and Minimise the Risk of Books and Records Violations

Brandon WrightCorporate Internal Audit (C/IA)Bilfinger SE

Gabriela RoitburdRegional Compliance Counsel – LATNokia (Brazil)

Andreas HilpertHead of Internal AuditBilfinger SE

• Interaction between compliance and internal audit teams while keeping their independence

• What your system of fraud risk and internal controls needs to accomplish

• Typical internal control gaps and how to spot them

• How to develop forensic audit skills in addition to financial audit skills

• Auditing within the remit of the company’s ABC policy

• Understanding and applying the company code of ethics

• Getting buy-in from senior management and the board

• Encouraging greater and more transparent information sharing among the risk, operations, finance and corporate development functions



BREAKOUT SESSIONS

BREAKOUT SESSIONS B (12:15 – 1:15)

Track 1 – BENCHMARKING SESSIONMoney Laundering Risks for Non-Financial Institutions: Compliance Tools for Effectively Assessing the Risks and Strengthening Internal Controls

Dr. Dirk ScherpOf CounselGleiss Lutz (Germany)

• Clarifying the scope of the regulation and the expectations

• Do “Designated non-financial businesses and professions”; “Commercial trader in goods” mean

• Who is subject to and who is not under FATF, the 3rd EU Directive and German AML rules: What are the inconsistencies between EU and local law and how to account for them?

• Identifying your organisation’s money laundering exposure

• Conducting a risk analysis to identify the highest Money Laundering risk businesses, customers and transactions — and to design respective safety measures

• What non-financial institutions can learn from banks and other institutions that have already implemented the tools to avoid money laundering offences

• How can you address practical issues related to Know your “Business Partner”, KYC and ultimate beneficiary identification?

• What systems to have in place to check and screen final beneficiaries

• How to implement AML structures within your existing group systems, product lines and sales processes

• How the new legislation is redefining the relationship between the banks and their client’s companies?

Track 2 – BENCHMARKING SESSIONOvercoming Compliance Fatigue and Getting Constant Buy in from Senior Management and All Employees

Flavio BertoliChief Compliance OfficerLEDVANCE GmbH

Torsten KrumbachHead of Compliance Office (ST/CPO)Bosch

• Analysing the signs of compliance fatigue companies have commonly noticed — how to spot them

• What are the direct and indirect causes for compliance fatigue in an organisation?

• Creative and innovative practices to ensure that the business and operations are refocussed into the compliance and internal controls systems

• Lessons learned for recent ramifications of weak compliance practices

• Addressing external and internal obstacles and challenges: how good is the communication among the departments and the reputation of the compliance organisation?

• How the compliance function can get the constant buy in from the senior management to re-engage and maintain a culture of compliance


1:15Networking Lunch

2:30 KEYNOTE ADDRESSStatus and Role of Corporate Compliance Systems in Criminal Proceedings and Sentencing: The View from the Judiciary

Anton WinklerPresiding JudgeDistrict Court, Munich I

3:00The General Prosecution Office and The Tax Court Speak About Tax Compliance Investigations and Enforcement Priorities

Dr. Hun Chai*Public ProsecutorProsecutor General's Office Frankfurt (Germany)

Dr. Franziska PetersJudgeThe Münster Tax Court (Germany)

Moderator:

Sascha KuhnPartnerSimmons & Simmons (Germany)

• What are the scope and powers of tax authorities in investigating tax compliance wrongdoing?

• What are the expectations put on companies and what is tax non-compliance? — what kind of compliance would be enough to avoid prosecution?

• What do they look for in these investigations?

• Common mistake in tax fraud and how cases are brought?

• At what point public prosecutors get involved and how do they cooperate?

• What is the role of the General Prosecution office about the cases?

• How the tax authorities and the general prosecution office cooperate?

4:00Afternoon Refreshments

4:15 PANEL DISCUSSIONRecent U.S. Enforcement Trends and What the Change in the U.S. Administration Means

Stuart F. DeleryPartnerGibson, Dunn & Crutcher LLPFormer Acting Associate Attorney General of the United States

Dr. Thomas AltenbachAssistant General Counsel and Regional Head of Anti Financial Crime EMEADeutsche Bank AG

Lauren ReynoldsSenior Attorney, Compliance, Central and Eastern Europe (CEE) & GermanyMicrosoft

Dr. Benno SchwarzPartnerGibson, Dunn & Crutcher LLP

• Moving Chairs – How the transition of power will impact ongoing investigations

• Revising Policies – What the new administration may change and what is likely to stay

• Recent Enforcement Trends – Lessons learnt for globally operating businesses

• The New Normal – Impact of a potential policy shift on non-U.S. investors and, in particular, the German industry

5:30 KEYNOTE ADDRESSThe G20 in the Fight Against International Bribery

Nicola BonucciDirector for Legal AffairsOECD

6:00Drinks Reception & Conference Adjourns to Day 2

“Excellent, definitely recommend”Investigative Lawyer, Serious Fraud Office (UK)

“Very high level conference. Good overview of topics. Very impressed with the quality of speakers and panels, we really got to hear from all the right people”Aibel AS

“Very well organised conference in a very nice venue. Interesting discussions.”Allianz SE

“Very useful and informative. Good insight into trends particularly the regulators perspective. This helped to put other presentations into perspective.”NBC Universal

“Very good conference. Probably the best for European coverage I have attended. The level of detail is exactly right.”Rolls Royce Plc

“Very useful, good and practical content that I will recommend to colleagues”Baker Hughes

HERE'S WHAT DELEGATES HAVE TO SAY ABOUT THE ANTI-CORRUPTION & COMPLIANCE PORTFOLIO:



8:30Registration Begins

8:45Opening Remarks from The Conference Chair


9:00 PANEL DISCUSSIONThe Impact of BREXIT on the Legal and Compliance Community in Europe and Beyond

Lord Charles FalconerPartner, former Lord Chancellor and first Secretary of State for JusticeGibson, Dunn & Crutcher LLP

Dr. Michael FischerGeneral CounselUBS Deutschland AG

Michael WaltherPartnerGibson, Dunn & Crutcher LLP

• Immediate Impact – How companies handle today’s uncertainty regarding the future legal regime relating to the U.K.

• Mid-Term Impact – Likely changes expected in the field of data protection and cooperation in the legal enforcement arena

• Industry Focus – How key industries particularly affected by BREXIT handle the situation (Financial Sector, German Automotive Industry)

9:45 KEYNOTE ADDRESS

Dr. Ulrich BergmoserDirector for Finance, HR and ComplianceDeutscher Fußball-Bund e.V. (DFB) (Germany)

10:15Morning Refreshments

10:45Sponsorship, Partnership, Marketing, and Hospitality: Compliance Management System Capable of Combining Traditional Sporting Values and the Business Competitive Culture in Sports

Inka Müller-SchmähManaging DirectorAssociation of Sport Sponsorship Providers eV (VSA)

Dr. Ulrich BergmoserDirector for Finance, HR and ComplianceDeutscher Fußball-Bund e.V. (DFB) (Germany)

Dirk SeeburgMember of Working Group SportTransparency International Germany

• How compliance and transparency requirements blend with the unique structure and the complexities of the sport industry

• What the sport industry can learn from other industries when it comes to building a culture of compliance

• Why sponsorship is important for sport and a great marketing tool

• Considerations for developing sponsorship for sports and making it more transparent and compliant

• What is the role and responsibilities of sponsors in regards to compliance in sport?

• Defining a compliance management system that provide tools for both the business-driven and the volunteering parts for sport clubs

• What tools to put in place to ensure transparency and track the flow of the money for professional teams

11:30 PANEL DISCUSSIONCorporate Compliance, Ethics and Integrity Management Programme: How to Change the Culture of Your Organisation

Savoula DemetriouCompliance Implementation and Assurance Team (CIAT)Allianz SE

Torsten KrumbachCompliance Office (ST/CPO)Bosch Sicherheitssysteme GmbH

Andreas Ansel, LL.M. (Stellenbosch)Head of GRC / Compliance Officer – Governance, Risk & Compliance – GOMAN Truck & Bus AG (Germany)

Katharina WeghmannExecutive Director, Fraud Investigation & Dispute ServicesEY GmbH (Germany)

Main Conference Day Two Wednesday, 1st February 2017


• Understanding the undisputable role of values

• Who are the stakeholders of an integrity management programme?

• How do you assess the strengths and the weaknesses of your compliance and integrity culture?

• How to use the technology to enable business integrity, non-compliance and unethical business conduct gaps?

• How do you incorporate anti-bribery and corruption in an enterprise risk programme?

• Developing a new version of Code of Business Conduct focusing on values and a tool to daily decisions

• Pros and cons of aligning compliance, internal audit and enterprise risks functions for a better

• Monitoring your third parties and business partners’ integrity management programme

12:30Networking Lunch

1:45 PANEL DISCUSSIONActive Investors and Responsible Shareholders Focusing on Compliance

Eli LundHead of SecretariatThe Norwegian Government Pension Fund Global

Tim GoodmanDirectorHermes EOS (UK)

Eric MayerPartnerPohlmann & Company

Jason A. MasimoreLawyer, Disputes and InvestigationsKobre & Kim

• Why does compliance matter for investors at all?

- Reduction of ethical risk equals reduction of financial risk

• The Value of Compliance to Investors in the Face of Enforcement Risks

• U.S. enforcement and cross-border investigations

• Investigation costs and outcomes of cooperation

• Compliance culture and practices: How U.S. authorities look at compliance in assessing a “just” outcome

• Corporate gatekeepers and the role they play

• Danger zones: How to deal with rules and procedures in various jurisdictions

• How would you define the term “compliance”?

- Anti-corruption vs. other compliance risk categories?

• Against which standards do you measure good compliance management systems in your portfolio companies?

• How do you manage the complexity of the portfolio and pick the right companies?

• What is the benefit in active dialogues between investors and portfolio companies? Level of personal involvement from written communication to multiple on-site visits

2:45Afternoon Refreshments

3:00Practical Applications in the Use of Forensic Data Analytics to Improve Corruption Investigation Outcomes

Stefan SchafferPartner, Fraud Investigation & Dispute ServicesEY Gmbh (Germany)

Deciding whether to undertake an internal investigation is a key part of an organisation’s response to detected or suspected corruption. Today however the cross border aspects of corruption investigations have significantly increased the size, cost and complexity of undertaking such investigations. It is critical that investigative resources are able to be organised quickly, are sufficiently skilled and use common tools and methodologies to accomplish an effective and thorough investigation. During this session, you will be part of a demonstration of how data analytics can be used in these circumstances based on a set of hypothetical scenarios.

3:45The Modern Slavery Act and Human Right Compliance: Proactively Controlling the Risks in your Supply Chain to Avoid Shareholders/Public Scrutiny and Prosecution

Michael HarrisHead of Screening and Enhanced Due Diligence, EuropeThomson Reuters

• Preparing for the first annual slavery and human trafficking statements

• Scope and jurisdiction of the Modern Slavery Act 2015

• Assessing the labour environment and human right abuse in which your business operates

• The rising importance of Human Rights compliance

• Balancing a thorough risk-based approach to your due diligence process and maintaining consumer assurance

• How do you understand your business exposure to the risks in the supply chain?

• How can companies unwittingly fail to spot slavery and human trafficking

• What controls you need to put in place or how can you improve your current internal controls?

• What information should you publish in the statement

• How could the first annual slavery and human trafficking statements look like?

4:30Conference Ends



9:00 a.m. – 12:30 p.m.EXECUTIVE ROUNDTABLE: Focus on Corporate Compliance Programme and CultureHow to Transform Your Compliance Programme into a Resourceful Programme Not Triggered by a Major Crisis but Supported by an Open Culture of Compliance


Dr. Kai SchumacherChief Compliance OfficerBuyIn


• Taking the initiative in creating your culture of compliance- What creating a culture of compliance entails

• Clearly defining first and second lines of defence- Ensuring that “First Line of defence” thinks like it’s

the Last Line of defence- Making sure that respective responsibilities for First

and Second Lines are clearly defined and agreed• Taking the initiative in monitoring for emerging risk

and noncompliance- The importance of visual analytics

• With a few clicks of a button, how a compliance professional could drill down from a high-level representation of millions of transactions to specific events that pose an elevated risk of corruption- Recognise trends and identify abnormal historical

patterns

• The structure of the anti-bribery management system (ABMS) Standard ISO 37001- Defining the Context of the organisation and

evaluating the leadership- Planning the ABMS; Support and ressources- Operation to prevent and detect bribery- Performance evaluation; Improvement

• Confronting challenges directly- Avoid creating compliance requirements that

would create burdens to legitimate business operations clearly outweighing the benefits to compliance oversight

- But protect your business with vigorous and consistently applied compliance measures

2:00 p.m. – 5:30 p.m.Focus on Third Party Relationships ScrutinisedHYPOTHETICAL SCENARIOS: Due Diligence, Contract Performance, Payment and Monitoring of your Most Challenging Business Partners in High Risks Markets

Anja DrewGlobal Compliance & Ethics DirectorDIAGEO (South Africa)



Screening and monitoring your third parties when your organisation operate in High Risks Markets is a perennial compliance challenge for companies. The challenges start with the on-boarding process and continue throughout the life of the third party relationship. This interactive and practical working group will discuss best practices and identify tools and tactics that peer companies are using to on board and monitor third parties. Walk away with proven-effective strategies that your company can incorporate when evaluating third party vendors, contractors, brokers, agents, or partners.

• The statutes of the business associates in the ISO 37001- Typology: joint ventures, partners, clients….- Risks associated with the different type of business

associates- The ISO requirement on business associate- How to use the ISO 37001 with business associates?

• Who is responsible for the proposal and the business case for using third parties?

• What should be in the proposal and the business case?• What the latest investigations reveal about having

a good due diligence report on third parties• Who gets to see the due diligence report?• Filtering and risk grading: what questions should

you ask yourself?- Does the business proposal make sense?- Does the third party have the skills/resources

to perform the contract?- Any other payments/connections the third party

(or any of its shareholders/employees) have to the company?

• When should the relationship be approved and who should approve it?

• Audit rights and compliance training for third parties• Contract performance and payments: the importance

of the “proof of services”• Auditing the third party

A

B

POST-CONFERENCE WORKSHOPS Thursday, 2nd February 2017


9:00 a.m. – 1:00 p.m. (8:30 Registration and Coffee)

POST-CONFERENCE EXECUTIVE ROUNDTABLE FOCUSSING ONCountry-Specific Strategies to Ensure Compliance and Minimise the Risk of Costly Government Investigations in LATAM

Gabriela Roitburd*Regional Compliance Counsel – LATNokia (Brazil)


BRAZIL: The Anti-Corruption Compliance & Enforcement Landscapes

• Brazil Clean Company Act guidelines

• Requirements for anti-corruption compliance programs under the new regulations

• Key requirements that differ from the FCPA and other jurisdictions

• The anticipated impact of new requirements for companies operating in country

ARGENTINA, COLOMBIA & MEXICO: New and Ongoing Legal, Regulatory and Political Changes Affecting Your Local Anti-Corruption Compliance Status

• Mexico:

- The National Anticorruption System: how and why anti-corruption legislation has recently changed so dramatically

- How Mexico’s enforcement agencies are empowered by the constitutional reforms, and the new anti-corruption bodies (Federal Administrative Justice Court, FAJC)

- Anticipated secondary legislation, and additional anti-corruption provisions

• Colombia:

- Status update on the Colombian anti-corruption statute and Whistleblower legislation

- Which government agencies have jurisdiction over enforcement of the new laws

- How the new legislation is being implemented and enforced in practice?

• Argentina:

- Overview of prohibitions in the Criminal Code, including the prohibition of active and passive bribery of public officials, and foreign public officials

- Status and impact of proposed new anti-corruption regulations, including corporate liability for corruption, asset recovery, increased government transparency, and incentives for those who cooperate with authorities

1:00 End of the Roundtable

C

GLOBAL SPONSORSHIP OPPORTUNITIESC5 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 500 conferences held in Europe, Russia and the CIS, China, India, the US and Canada, C5 provides a diverse portfolio of first-class events tailored to the senior level executive.

To find out how to position your firm as an industry leader by sponsoring this event, please contact Chris Murphy on +44 (0)20 7878 6955 or email [email protected]

(*) Denotes Speakers Invited

MEDIA PARTNERS:



LEAD SPONSOR

ASSOCIATE SPONSORS

EXHIBITORS

The leading provider of the richest, most reliable private company information in the market – Bureau van Dijk is in the business of certainty. Our product range combines data from regulatory and other sources, including 150 information partners, with flexible software we deliver fast insight on your customers and business partners, and the individuals behind them for governance, risk management and compliance (GRC).

NAVEX Global’s comprehensive suite of ethics and compliance software, content and services helps organisations protect their people, reputation and bottom line. Trusted by more than 12,500 clients, our solutions are informed by the largest ethics and compliance community in the world.

The University of Liverpool’s London-based Executive Masters in International Trade Compliance sets the industry standard, no comparable Executive Masters programme exists. Created in partnership with Full Circle Compliance a leading ITC consultancy, we combine the latest regulatory insights with action learning that produce directly implementable results for your business. https://www.liverpool.ac.uk/management/executive/

K2 Intelligence is an investigative consultancy founded by Jeremy Kroll and Jules Kroll, the originator of the modern corporate investigations industry. We advise governments, companies and high net worth individuals in: cybersecurity investigations & defence; complex investigations; forensic accounting; business intelligence; investigative due diligence; anti-money laundering and regulatory compliance. We consistently produce remarkable — and remarkably efficient — results for clients by knowing how and when to employ cutting-edge technology.

Thomson Reuters provides the trusted answers to identify the hidden risks of doing business with a customer or third party. With Thomson Reuters you can confidently anticipate, mitigate, manage and act on the risks your customers, vendors, suppliers, and partners may pose to your revenue or reputation.

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 more than 4,500 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 benefit of our broad sector experience, our deep subject matter knowledge and the latest insights from our work worldwide.

Kobre & Kim focuses exclusively on disputes and investigations. Our team includes numerous former U.S. Department of Justice prosecutors, Hong Kong solicitors, English solicitors and barristers (encompassing three Queen’s Counsel), and offshore lawyers. We often work with other law firms as conflict counsel or special litigation counsel, to provide exceptional client service through close teamwork.

Simmons & Simmons is a leading international law firm with offices in key business centres around the world. Time and again, businesses worldwide bring us their most difficult commercial challenges. Our Corporate Crime Group is one of the largest in Europe and includes experts across our network. We offer clients sophisticated and innovative advice on a range of matters, including compliance programmes, investigations and representation in criminal proceedings. “Simmons & Simmons is ‘one of the leading firms’ in the corporate crime arena’” – UK Legal 500 2016

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. www.gibsondunn.com

©C5, 2016


Select Your Level of Engagement Register & Pay by25 November 2016

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Venue Information at a Glance

Date: 31 January – 1 February 2017

Time: 8:00–5:30 // 8:30–4:00

Venue: Villa Kennedy Frankfurt

Address: 70 Kennedyallee, 60596, Frankfurt, Germany

Telephone: +49 69 717120

This year marks 30 years since the inception of C5 Group. It is time to match our brand with the dynamic strides we have made.

See inside for details…C5Business Information in a Global Context

12th Advanced Conference on

INTERNATIONAL COMPLIANCE, LEGAL RISKS AND CORPORATE INTEGRITY

31st January & 1st February 2017 | Villa Kennedy Frankfurt, Germany

Documents

617L17_S Int Compliance, Legal Risks and Corp Integrity