TASA courses are taught by internationally recognized industry experts. Our distinguished faculty members include:
Kevin T. Abikoff, Partner, Hughes Hubbard & Reed LLP
Kevin T. Abikoff is currently a Partner at Hughes Hubbard & Reed LLP.
Areas of concentration:
- Chairman, Anti-Corruption and Internal Investigations Practice Group
- Co-Chairman, Securities Litigation Practice Group
- Executive Committee Member
- Securities and White-Collar Criminal Litigation, Enforcement, Regulation and Counseling with an emphasis on the representation of corporations, individuals and other entities in anti-corruption (including FCPA) matters (investigations, due diligence and counseling), securities and insurance litigation, regulatory, enforcement and arbitration proceedings, particularly class action litigation, securities disclosure counseling and designing and implementing insurance and securities compliance policies, procedures and programs.
- Corporate Governance with an emphasis on shareholder derivative proceedings, conducting internal investigations, counseling board committees and designing and implementing corporate compliance programs
Managing the Anti-Bribery Risks Posed by Joint Ventures, including SOEs
Gemma Aiolfi, Head of Compliance & Corporate Governance,Basel Institute on Governance
A barrister by training, Gemma has many years of experience in anti-corruption and anti-money laundering compliance gained at UBS in the Group Money Laundering Prevention Unit, and subsequently as Global Head of Anti-Corruption at the bank. Whilst at ABB AG in Oerlikon, Zurich, she was Legal Counsel to the Integrity Department and the internal Office of Special Investigations focusing on requirements under a Deferred Prosecution Agreement with the U.S. authorities, as well as responsible for the remediation of anti-corruption policies and procedures and the management of all third party intermediaries and agents at ABB. Gemma has wide experience of the development and promotion of industry standards and collective action initiatives in the areas of anti-money laundering and anti-corruption, and has returned to the Basel Institute to lead the Corporate Governance and Compliance Division and the Institute’s work on collective action under the International Centre for Collective Action.
Collective Action as a Tool to Counter Corruption: How Companies can Craft and Leverage Collective Action Initiatives
Lawrence Fubara Anga, Partner, ǼLEX
Mr. Anga is a lawyer and political economist. He focuses on the legal needs of companies operating in Nigeria. He is admitted to practice law in Nigeria, Ghana and England & Wales.
He has an active Business Fraud and Anti-Corruption practice advising clients on compliance with anti-money laundering and anti bribery laws in Nigeria. He heads the firm’s banking and finance practice and has broad experience and expertise in matters pertaining to project finance, banking and capital markets transactions. He advises clients from around the world on foreign direct investment in Nigeria.
He is an active member of the Section of Energy and Resources Law of the International Bar Association, the Section on Natural Resources and Energy Law of the American Bar Association, the UK Energy Lawyers Group. Mr. Anga was, until last year, the Chairman of the Nigerian Capital Markets Solicitors Association. He was formerly Chairperson, Aviation Committee, Section on Business Law Nigerian Bar Association and currently serves as a Council Member of the Section. He is the Country Chair for Nigeria of the International Law Section of the New York State Bar Association.
Mr. Anga obtained a Bachelor of Arts in Economics and Pol. Science from Yale University and degrees in Law from Cambridge University, England. He is a Notary Public of the Supreme Court of Nigeria.
Anti-Bribery Enforcement and Compliance Challenges in Nigeria
Kathryn Cameron Atkinson, Member, Miller & Chevalier Chartered
Kathryn Cameron Atkinson is a former Vice Chair of the International Department. Her practice focuses on international corporate compliance, including, in particular, the Foreign Corrupt Practices Act (FCPA), as well as export controls and economic sanctions, and anti-money laundering laws. She advises clients on corruption issues around the world. This advice has included compliance with the FCPA and related laws and international treaties in a wide variety of contexts, including transactional counseling, formal opinions, internal investigations, enforcement actions by the U.S. Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) and resulting monitorships, as well as commercial litigation raising improper payment issues. Ms. Atkinson is currently serving as a government-appointed Independent Compliance Monitor in an FCPA matter settled with the DOJ and SEC. She was a member of the original Transparency International task force that developed a compliance toolkit for small and medium-sized entities. She co-produced, with Homer E. Moyer, Jr., “Comply But Compete,” a versatile, video-based FCPA training program.
Conducting Anti-Bribery Compliance Due Diligence in the M&A Context
Kelly S. Austin, Partner Gibson, Dunn & Crutcher LLP, Hong Kong
Kelly Austin is a partner in Gibson Dunn’s Hong Kong office. Ms. Austin’s practice focuses on government investigations, regulatory compliance and international disputes. She has extensive expertise in corporate internal investigations, including those involving the Foreign Corrupt Practices Act, and in creating and implementing effective compliance programs.
Prior to her position with Gibson, Dunn & Crutcher, Ms. Austin served as the Compliance and Litigation Counsel for General Electric in Asia. In that role, she coordinated litigation, alternative dispute resolution proceedings, government and internal investigations and compliance matters for the GE businesses throughout the region.
Ms Austin has a BA from the University of Virginia and received her law degree from Georgetown University. She is a member of the bars of Virginia and the District of Columbia, and is admitted to practice in a variety of district and appellate courts in the United States.
Ms. Austin was named to Asian Legal Business’ 2010 Hot 100, which recognizes Asia “lawyers who have risen above the rest in the most challenging of years for legal markets across Asia.”
Anti-Bribery Enforcement and Compliance Challenges in India
Carlos Ayers, Partner, Trench, Rossi e Watanabe Advogados
Carlos Ayres is a founding partner of the law firm Maeda, Ayres & Sarubbi in São Paulo, Brazil. He focuses on anti-corruption, government enforcement and compliance issues, with a particular emphasis on Brazil and other regions of Latin America. Mr. Ayres co-chairs the Anti-Corruption and Compliance Committee of IBRADEMP (The Brazilian Institute of Business Law) and teaches FCPA and Compliance at the Post-Graduate Program of GVLaw, School of Law, in São Paulo. He is also a visiting professor at the Post-Graduate Program in Risk Management and Fraud Prevention of FIA (Fundação Instituto de Administração) Business School in São Paulo. Mr. Ayres has worked at the enforcement division of the U.S. Securities and Exchange Commission in Washington, DC and has worked at the Chicago office of an international law firm. He received his law degree from PUC – São Paulo and his masters in Comparative Law from University of Florida.
Operation Car Wash and Anti-Corruption Trends in Brazil
Margaret M. Ayres, Counsel, Davis Polk & Wardwell LLP
Ms. Ayres is counsel in Davis Polk’s Washington D.C. office. She concentrates in U.S. trade and investment laws applicable to cross-border transactions, including the Foreign Corrupt Practices Act (“FCPA”), U.S. economic sanctions, the U.S. anti-boycott laws and laws restricting foreign investment in the U.S. communications, shipping, aviation, nuclear and defense industries. She has advised many companies around the world, including software, pharmaceutical, travel industry, banking and investment banking clients, on the FCPA and related statutes, as well as the other laws just noted.
Her anti-bribery advice has focused on worldwide transnational anti-corruption measures and conventions as well as FCPA enforcement actions and developments. Ms. Ayres has drafted numerous agent agreements, guidelines and compliance codes, tailored to take account of differences in corporate operations, structures and cultures. She has also conducted intensive training programs for U.S. companies and their overseas subsidiaries in many parts of the world, as well as for foreign issuers of U.S. securities.
Gifts & Hospitality in the Anti-Bribery Context*
Roberto Berry, Assistant General Counsel for International Matters and Global Compliance for Fiat Chrysler Automobiles
Mr. Berry practiced law in Portland, Oregon until joining Delphi Automotive Systems in 2001 to become Delphi’s general counsel for Mexico and then Latin America, and lived in Sao Paulo, Brazil, from 2009 to 2011. Mr. Berry is currently the Assistant General Counsel for International Matters and Global Compliance for Fiat Chrysler Automobiles. His practice includes international commercial matters, international litigation, and global compliance, focusing on anticorruption programs and training. He is a frequent presenter on international Anticorruption events
Third Party Due Diligence in Brazil: Identifying Obscure Red Flags and Responding to Bribery Risk
Tom Best, Partner in Steptoe’s Washington office
Tom Best is a partner in Steptoe’s Washington office, where he focuses on representing multinational companies, their boards of directors and individuals in international investigations and enforcement matters. He has successfully represented clients in numerous matters involving the US Foreign Corrupt Practices Act (FCPA) and other countries’ anti-corruption laws before the DOJ and SEC. Mr. Best also represents companies and individuals before the World Bank and other International Financial Institutions (IFIs) in investigations of sanctionable practices, and in those institutions’ sanctions and debarment proceedings. Mr. Best advises companies in the development and implementation of corporate compliance programs addressing the full range of cross-border legal and regulatory risks facing multinational companies, including FCPA/anti-corruption, economic sanctions, export controls, AML, anti-boycott, and corporate social responsibility and human rights issues. He regularly provides international regulatory compliance training for company management and employees, creating benchmarking and auditing programs to measure program effectiveness, managing third-party relationships, and developing risk-mitigation strategies for specific transactions. A significant part of Mr. Best’s practice is focused on international regulatory compliance in mergers and acquisitions, counseling companies and investment funds throughout the transaction cycle from initial negotiations through closing and integration into the acquirer’s operations, to maximize transaction return and minimize compliance risks.
2016 Year in Review
Matt Birk, CPA and Partner, Deloitte Financial Advisory Services LLP
Mr. Birk is a CPA and Partner in the Deloitte Financial Advisory Services practice and has over 18 years of experience in providing auditing and forensic accounting services to businesses and law firms in a wide range of matters. Mr. Birk serves as one of the firm’s leaders on Foreign Corrupt Practices Act (“FCPA”) Investigations, M&A Due Diligence engagements and Corporate Compliance Reviews and has spent most of his time over the past 8 years consulting in this area with some of the world’s largest companies. He currently leads the FCPA practice for the Mid-America region of Deloitte. In addition, he has several years of external audit and internal controls experience. Mr. Birk has an undergraduate degree in Accounting from St. Louis University and a Masters in Business Administration from Washington University.
Anti-Bribery Books & Records – Background, Best Practices and Red Flags*
Sanjay Bhandari, Partner, Ballard Spahr LLP
Sanjay Bhandari represents clients in government enforcement proceedings, investigations and civil and criminal trials. He also advises clients on corporate compliance. He is a former federal prosecutor, a former SEC enforcement attorney and an experienced trial lawyer. He is a co-head of his firm's Anti-Corruption Practice Group.
Third Party Anti-Bribery Compliance Audits: How to Draft and Enforce Audit Clauses
Nicola Bonucci, Director for Legal Affairs, OECD
Nicola Bonucci is the Director for Legal Affairs and the coordinator for accession. He joined the OECD in 1993 as a Legal Counselor, and served as Deputy Director from 2000 until becoming Director in 2005. He focuses on general public international law issues, participating in the negotiation of international agreements, interpreting the basic texts of the Organisation, and providing legal opinions to the senior management (The Secretary-General and his Deputies), the Council (the governing body of the OECD), and its subsidiary bodies.
He plays an active role in the drafting and the negociation of the OECD legal instruments. He also deals with personnel matters, including litigation in front of the Administrative Tribunal of the OECD, budgetary issues and contracts. Since 1997, Mr. Bonucci has been closely involved in the monitoring and follow-up of the OECD Anti-Bribery Convention and is a regular speaker in international conferences on this subject.
Prior to joining the OECD, Mr. Bonucci served as a Legal Officer with the Food and Agriculture Organisation of the United Nations (FAO) in Rome, where he provided developing countries, especially those in Africa, with legal assistance on natural resources law.
Mr. Bonucci holds a DEA in Public International Law from the University of Paris X Nanterre, a DESS in International Administration from the University of Paris II-Assas, and a Master of International and Comparative Law from the University of Notre Dame.
Global Anti-Corruption Enforcement and Regulatory Update
James Brachulis, Senior Financial Investigator, DLA Piper LLP
James Brachulis is a Senior Financial Investigator focusing on white collar crime, fraud investigation, due diligence and forensic style financial review and services accessible for use by all DLA Piper offices worldwide. James has provided investigative and financial analysis services in matters related to DLA's diverse practice groups, including Trademark Defense, Tax Controversies, Restructuring and Bankruptcy, and Real Estate, and has played a key role in numerous successful cases at DLA Piper. He has assisted real estate clients in providing helpful and discreet background information on proposed counter-parties to high-profile transactions.
Compliance’s Next Frontier: Preventing Bribery through Shell & Shelf Companies
Lina A. Braude, Partner, Baker & McKenzie LLP
Lina A. Braude advises clients on corporate compliance issues, including the U.S. Foreign Corrupt Practices Act and U.S. money laundering laws and their application to the activities of multinational companies in emerging markets. Ms. Braude began her legal career in Kazakhstan in 1995 and has an in-depth understanding of the cultural and political challenges of doing business in developing countries, especially in the former Soviet Union. She earned her LL.M. from the University of California, Berkeley School of Law in 1999, and has been admitted to practice in New York, the District of Columbia and Kazakhstan.
Offsets, Charitable Donations, and Other Foreign Government Requests: What Are the Risks?
Sharie A. Brown, Partner, Troutman Sanders LLP
Sharie Brown is a recognized leader in ethics, compliance and internal investigations involving financial fraud and corruption for U.S. and non-U.S. companies. As a former federal prosecutor, a Mobil Oil compliance and ethics officer and a leader of white collar and compliance practices at major law firms, Sharie is regarded as a trusted advisor, counselor and skilled investigator for board audit committees, corporate senior management and general counsels in several regions of the world. Her experience, leadership and frequent media contributions regarding corporate fraud and corruption make her an international thought leader in the field.
As a partner in the White Collar & Government Investigations Practice Group of Troutman Sanders, Sharie represents international corporations and conducts internal investigations, audits and transactional due diligence worldwide in the areas of the Foreign Corrupt Practices Act (FCPA), including the Dodd-Frank whistleblower program, the UK Bribery Act, OFAC compliance and international trade controls, corporate ethics and compliance, World Bank procurement frauds, the Economic Espionage Act (EEA) and USA Patriot Act anti-money laundering. Sharie regularly represents U.S. and non-U.S. clients in complex matters involving the U.S. Department of Justice, the U.S. Department of Treasury, the US Securities and Exchange Commission, the U.S. Department of Commerce, the U.S. State Department, U.S. Congressional Committees and other local regulatory agencies.
Sharie’s compliance reviews, M&A due diligence and internal investigations have involved the following countries: the U.S., Canada, Mexico, Costa Rica, Panama, Venezuela, Brazil, the UK, France, Italy, Bulgaria, Bangladesh, Pakistan, the United Arab Emirates, Saudi Arabia, Kuwait, Egypt, Israel, Jordan, Ghana, Djibouti, Kenya, Tanzania, South Africa, Nigeria, Angola, the DRC, Equatorial Guinea, China, Thailand, India, Vietnam, Indonesia, Russia, and Kazakhstan, among others.
Anti-Corruption Due Diligence in M&A Deals in Emerging Markets
What to do When a Company Receives a Dodd-Frank FCPA Whistleblower Letter: Key Considerations and Practical First Steps
Gregory S. Bruch, Partner, Willkie Farr & Gallagher LLP
Gregory S. Bruch is a partner in the Litigation Department of Willkie Farr & Gallagher LLP in Washington, D.C. Mr. Bruch represents public companies, audit committees and special committees, broker-dealers, hedge funds and asset managers, accountants and lawyers, and other institutions and individuals in connection with civil and criminal securities law enforcement, compliance and litigation.
Mr. Bruch is recognized as a leading attorney in the area of securities law regulation and white collar defense in the 2007 – 2011 editions of The Best Lawyers in America®; in securities regulation and litigation in the 2006 – 2011 editions of Chambers USA: America's Leading Lawyers for Business, including being ranked in the number 1 tier for Litigation: Securities in the District of Columbia; and is included among D.C.’s top lawyers in Washingtonian magazine. Additionally, he was named by Ethisphere magazine as one of the "2009 Attorneys Who Matter."
Mr. Bruch has been lead counsel for securities enforcement and related matters of a number of leading companies and financial services firms, including Time Warner Inc., Adelphia Communications Corp., Cablevision Systems Corp., Hain-Celestial Corp., E*Trade Capital Markets, and Van Wagoner Capital Management. Mr. Bruch also maintains an active FCPA practice representing institutions and individuals in counseling and investigations, and served as an independent compliance consultant to ABB Ltd. in connection with a major SEC settlement.
The Voluntary Disclosure Dilemma: Deciding When and How to Self-Report a Potential FCPA Violation to the DOJ and SEC
Luke Brussel, Global Head of Anti-Corruption Compliance for First Data
As the leader of First Data and GE Capital’s global anti-corruption programs, Luke developed compliance risk management programs and frameworks of internal controls to address the distinct risks faced by each company, and in each case drove efficiencies and enhanced effectiveness in connection with financial crime compliance programs.
As Chief Compliance Officer of Cengage Learning, a leading global media company focused on the education and research markets (formerly a part of Thomson Reuters), he initiated, developed and managed the company’s corporate governance, compliance, and risk management programs including for anti-corruption, privacy, government contracting and trade controls compliance and a variety of operational and financial risks, and prior to being named CCO, served as Corporate Counsel.
Nathan G. Bush, Partner, O’Melveny & Myers LLP
Nathan G. Bush ("Nate") is a partner in the Litigation Department in O’Melveny's Singapore office. He was based in the Washington, D.C. office before relocating to Beijing in 2004, and Singapore in 2012. Nate’s practice focuses on regulatory matters, commercial disputes, and litigation concerning antitrust and competition, fraud and corruption, and international trade. Nate received two of the highest rankings for Competition/Antitrust (International Firms) (China) and International Trade (International Firms) (China) by Chambers Asia 2011/2012 and Chambers Global 2011/2012. He is also recommended as a “Leading Lawyer” in the 2013 Edition of IFLR1000. Antitrust & Competition. Nate counsels clients regarding merger notifications, compliance strategies, and enforcement risks under the competition regimes of China and other jurisdictions in Asia. He is experienced with matters arising under U.S. antitrust laws, including merger filings, litigation of civil antitrust claims, and price-fixing investigations. Internal Investigations & Compliance. Nate conducts internal investigations and counsels clients on compliance with the U.S. Foreign Corrupt Practices Act and other anticorruption laws, securities fraud, anti-money laundering rules, and international sanctions. He has conducted over 30 internal investigations in diverse sectors involving Japan, China, Hong Kong, Singapore, India, Vietnam, and countries in Europe and South America. He routinely advises on compliance aspects of capital markets, M&A, private equity, and venture capital transactions in Asia.
Nate represents clients in U.S. litigation involving Asia and advises on the resolution of commercial disputes through arbitration and litigation throughout Asia. International Trade & Market Access. Nate represents multinational companies before the U.S. and Chinese governments on matters involving China’s WTO accession commitments, trade remedies, and the WTO dispute settlement process. He frequently publishes and speaks on competition and trade policy in Asia, and authored the China chapter of the ABA treatise on COMPETITION LAWS OUTSIDE THE UNITED STATES. He is active in the American Chamber of Commerce in China, serving as Legal Committee Chairman in 2008 and as General Counsel from 2009 through 2011.
Putting China’s Anti-Corruption Campaign in Context
Samuel W. Cantrell, Associate, Ballard Spahr LLP
Samuel W. Cantrell is an associate in the Litigation Department and a member of the Corporate and Government Investigations and White Collar Defense Group. He focuses on advising domestic and international clients in a broad range of compliance and dispute resolution matters, including internal investigations, white collar criminal defense and related civil litigation.
Before joining Ballard Spahr, Mr. Cantrell served as an Assistant U.S. Attorney in the U.S. Attorney's Office for the Eastern District of Texas, where he prosecuted more than 200 cases from grand jury investigation through conviction and sometimes appeal.
The Nexus of Bribery and Money Laundering: An Introduction to AML in the Anti-Corruption Context
Brigham Q. Cannon,Litigation, Kirkland & Ellis LLP
Brigham Cannon practices in the Firm's Litigation Group, where his work focuses primarily on white collar criminal matters and other government enforcement proceedings.
Brigham joined the firm after spending over four years as a prosecutor with the Department of Justice in the Fraud Section of the Criminal Division. He joined the Department of Justice as a Trial Attorney through the Attorney General's Honors Program and led investigations and prosecutions into a wide variety of white collar crimes, including bank, wire, mail and securities fraud, as well as the FCPA.
Brigham tried several cases in federal court, including against a defendant who stole over $120 million and received a 100-year sentence and another against the former CEO of a publicly traded company for securities fraud. He was also the lead prosecutor in the take-down of 26 defendants in nine states as part of an investigation into a multi-million dollar fraud on an FCC program.
Domestic Bribery Enforcement in the United States
Richard L. Cassin, Creator and Principle Writer, FCPA Blog
Richard L. Cassin is the creator and principle writer of the FCPA Blog.
Over the years, he has presented his ideas about the FCPA and anti-corruption enforcement to Silicon Valley CEOs, international bankers, law professors, company boards and management, auditors, journalists, students and others.
He dissects enforcement practices and policies and interprets their long-and short-term implications.
Cassin's articles about corruption and compliance have appeared in the Wall Street Journal (Asia), the Financial Times, the Business Times (Singapore) and many other leading publications. His influential opinions are often cited in The New York Times, the Wall Street Journal Online, Business Week, Compliance Week, Bloomberg's news wire and others.
He supports global compliance and the aims of the FCPA and laws like it. Through his talks, he provides audiences with an update on where FCPA enforcement has been and forecasts where it will go in the months and years ahead.
He received his law degree from Boston College Law School, where he served as an Editor of the Boston College Law Review. He's a member of the bars of the District of Columbia, Virginia and Florida.
He divides his time between Singapore and Charlottesville, Virginia.
International Anti-Bribery Enforcement Trends
Jeffrey D. Clark, Partner, Willkie Farr & Gallagher LLP
Jeffrey D. Clark is a partner in the Litigation Department of Willkie Farr & Gallagher LLP and is a member of the Compliance & Enforcement Practice Group in Washington D.C.
Mr. Clark represents corporations and individuals in a wide variety of civil and criminal investigations and enforcement matters, including grand jury investigations, SEC enforcement actions and Congressional inquiries. His practice includes conducting complex, worldwide internal corporate investigations and providing advice to corporate management and directors regarding enforcement matters. He also counsels companies on designing and implementing corporate compliance programs. Mr. Clark specializes in Foreign Corrupt Practices matters, and also has substantial expertise in other types of international business and white collar litigation.
- Conducting Effective Internal Investigations
- Voluntary Self-Disclosure, Cooperation and Remediation under the DOJ’s Pilot Program
David Chmiel, Managing Director, Global Torchlight
David J. Chmiel holds an MA from the War Studies Department at King’s College London, an LL.B (Hons) degree from University College London and a BA from the University of Victoria, British Columbia. Prior to co-founding Global Torchlight, he practiced law for ten years in the London and Chicago offices of Baker & McKenzie LLP where he advised on cross-border mergers & acquisitions and multinational corporate reorganisations. He has worked with a broad range of clients in diverse industry groups and jurisdictions, with a particular emphasis on counseling Fortune 500 companies on their overseas investments, acquisitions and divestitures. Dave is a specialist in East and South Asian security issues, state-based conflict and the regulation of Foreign Direct Investment activity for national security purposes.
The Politics of Sanctions: Russia
Marcus Cohen, Counsel, Sandler, Travis & Rosenberg, P.A
Marcus Cohen is Of Counsel with Sandler, Travis & Rosenberg, P.A., resident in the Washington, D.C., office. Mr. Cohen advises clients on compliance with U.S. and international anti-corruption measures such as the Foreign Corrupt Practices Act as well as U.S. anti-money laundering laws, export controls, economic sanctions and anti-boycott laws. He also advises clients in a wide array of industries on compliance with regulations administered and enforced by the departments of Commerce, State and Treasury. Specifically, he assists companies with classifying items on the Commerce Control List and the U.S. Munitions List, licensing exports and re-exports of items, developing and updating internal compliance programs and preparing voluntary disclosures for violations of export controls and sanctions laws.
Prior to joining the Firm, Mr. Cohen was an associate with a well-known law firm where he served as the lead associate on multi-jurisdictional investigations of potential violations of the FCPA and U.S. export controls and sanctions laws by clients with worldwide operations. Earlier in his career he served as an export policy analyst and then as a senior intelligence analyst with the Commerce Department’s Bureau of Industry and Security, focusing on violations of the Export Administration Regulations and the International Traffic in Arms Regulations. In these capacities he reviewed voluntary self-disclosures, conducted license reviews, pre-license checks and post-shipment verifications, authored numerous export regulations and drafted advisory opinions, and reviewed de minimis reports submitted by industry. Mr. Cohen has also served as editor-in-chief of The Export Practitioner, an international trade magazine focusing on export controls and trade logistics.
The Nexus of Bribery and Money Laundering: An Introduction to AML in the Anti-Corruption Context
Jordana Ragazzini Compagnoni, FCA Law Manager for Latam region for Fiat Chrysler automobiles
Mrs. Compagnoni practiced law in Sao Paulo office of Machado Meyer Sendacz and Opice, until joining Fiat Chrysler Automobiles in 2011 and structured the Legal Department for Chrysler operations in Brazil. Mrs. Compagnoni is currently the FCA Law Manager for Latam region and her practices includes regulatory, commercial affairs and compliance, including anticorruption programs and training for Latam.
Third party due diligence in Brazil: Identifying Obscure Red Flags and Responding to Bribery Risk
Kerry B. Contini, Associate, Baker & McKenzie LLP
Kerry Contini works in the Firm’s Outbound Trade Practice Group in Washington D.C. An active member of the office's Pro Bono committee, Ms. Contini has managed award-winning pro bono work involving Baker & McKenzie professionals in North America, Europe and Asia. She has written for several publications — including International Affairs Review and Legal Times.
The Politics of Sanctions: Russia
Susan Côté-Freeman, Programme Manager, Transparency International
Susan Côté-Freeman is a member of Transparency International’s private sector team. In this capacity, she manages the Business Principles for Countering Bribery initiative, which focuses on raising standards of corporate anti-bribery practice through advocacy and the development of practical tools for business.
Susan was closely involved in the development of the Business Principles for Countering Bribery and has been promoting them among corporate audiences since their publication in 2003. She works extensively with companies, industry associations and international initiatives. Her private sector advocacy work has taken her to countries as diverse as Lebanon, Mauritius, France, Indonesia, Argentina and Taiwan.
A native of Canada and graduate of Laval University, Susan has extensive international experience. She first joined Transparency International’s headquarters in Berlin in 1997 where her work focused on francophone Africa. She subsequently helped establish an office of the TI Secretariat in London. In 2002, she was appointed Director of External Relations and Communications for the United Kingdom chapter of Transparency International. From 2004 to 2007 Susan was based in TI’s United States chapter in Washington D.C. where she was involved in outreach to the US business community as well multilateral organisations including the World Bank. She is now based in Ottawa, where she continues to manage private sector projects on behalf of Transparency International.
Countering Bribery in Business – The Transparency International Suite of Tools
Michele Cross, Senior Manager, Deloitte Financial Advisory Services LLP
Ms. Cross is a Senior Manager in Deloitte’s Financial Advisory Services practice. She has over 15 years of experience spanning business/financial strategy development, financial management, internal controls assessment and FCPA compliance and investigations. While at Deloitte, she has participated in numerous engagements assisting clients in evaluating FCPA compliance programs, conducting FCPA-related investigations and assessing internal controls and remediating internal control deficiencies for regulatory compliance purposes. Ms. Cross’ industry specialties include technology, telecommunications and aerospace/defense and a geographic focus of China, Brazil, India and other emerging markets.
Anti-Bribery Books & Records – Background, Best Practices and Red Flags*
Michelle de Kluyver, Counsel, Allen & Overy LLP
Michelle de Kluyver is Counsel at Allen & Overy LLP specialising in representing clients in multi-jurisdictional bribery and corruption investigations and prosecutions and advising on financial sanctions, money laundering and anti-bribery compliance. Michelle’s experience in SFO corruption cases extends to investigations and prosecutions concerning the UK, U.S., Switzerland and various Middle Eastern countries and offshore jurisdictions. Michelle also acts for clients in a wide range of company law and contractual disputes, including claims for unfair prejudice, breaches of directors' duties and shareholder derivative claims. Michelle is a qualified solicitor advocate and has extensive experience in all areas of dispute resolution including litigation, arbitration and alternative dispute resolution.
Update on the UK Bribery Act: What’s on the Horizon for 2015?
Richard N. Dean, Partner, Baker & McKenzie LLP
Richard Dean advises on corporate compliance transactions —including mergers and acquisitions, foreign direct investments and joint ventures, among others — in the Firm's Washington, D.C. office. Prior to joining Baker & McKenzie, he served as managing partner in the Washington, D.C., Moscow and St. Petersburg offices of Coudert Brothers. Mr. Dean authored several articles for various publications, including Financier Worldwide and International Corporate Governance Review. He is also a lecturer on emerging markets and international financial crimes in the University of Virginia School of Law.
Mr. Dean focuses on the U.S. Foreign Corrupt Practices Act (FCPA) and related legislation, including U.S. money laundering laws and their application to the activities of US companies in emerging markets throughout the former Soviet Union as well as in Asia and Latin America. He advises on the structuring of foreign investment transactions to comply with U.S. laws and supervises the conduct of internal investigations and audits to determine compliance with laws and regulations, including the Sarbanes-Oxley Act. Mr. Dean also advises senior management and corporate audit committees on the consequences of such investigations and audits, including the development of appropriate defenses, disclosures, disciplinary actions and compliance policies. Mr. Dean has an in-depth understanding of the key political, economic and cultural issues facing organizations doing business in challenging markets, particularly in Russia and the rest of the former Soviet Union.
FCPA Compliance in Action*
Reagan R. Demas, Partner, Baker & McKenzie LLP
Reagan Demas has significant experience working on behalf of companies and investors conducting work or business in developing countries, with particular focus on Africa. He has worked on the ground evaluating investment and business opportunities with greater clarity and conducting investigations and due diligence on behalf of clients worldwide. Mr. Demas has also written and spoken extensively on corruption, compliance issues and how to do business in Africa.
- Focus on Africa: Minimizing Bribery and Corruption Risks in Nigeria, Angola, and Kenya
- Overcoming Compliance Challenges in Customs and Freight Forwarding Operations
- Offsets, Charitable Donations, and Other Foreign Government Requests: What Are the Risks?
Timothy L. Dickinson, Partner, Paul, Hastings, Janofsky & Walker LLP
Timothy L. Dickinson is a partner in the Washington D.C. law firm of Paul, Hastings, Janofsky & Walker LLP with over 30 years' experience in the field of anti-corruption law. Mr. Dickinson’s practice is devoted primarily to international commercial matters, including all aspects of the Foreign Corrupt Practices Act, U.S. export laws, economic sanctions and ITAR regulations (including enforcement actions). Mr. Dickinson works with a wide range of industries on FCPA matters, including establishment of compliance programs, due diligence in acquisitions, special investigations and defense before U.S. regulators. In 2005, Mr. Dickinson was appointed Independent Expert by Monsanto as part of a Deferred Prosecution Agreement with the Department of Justice. Mr. Dickinson was also selected by the World Bank to assist with the development of their new Voluntary Disclosure Program, and participates with Bank staff in evaluating and recommending improvements to a VDP participant's compliance program. Both Chambers USA 2009 and 2010 have recognized Mr. Dickinson as one of only three attorneys ranked as top-tier FCPA experts; he was also named by Ethisphere at the top of their FCPA 2009 list of Attorneys Who Matter.
The FCPA Year in Review and Looking Ahead to 2013
Thomas W. Donovan, Managing Partner, Iraq Law Alliance, PLLC
Thomas W. Donovan is partner of the Iraq Law Alliance, PLLC and divides his time between the firm’s offices in Basrah, Baghdad and Erbil – Kurdistan Region. His experience centers on petroleum and natural gas law and the surrounding corporate, employment, immigration and customs issues. He also has considerable amount of experience in public international law, procurement, general international investment concerning Iraq and structured and project finance. Mr. Donovan has published extensively on the judicial and political system of Iraq concerning the development of the Iraqi economy, petroleum production and exploration and general domestic political issues.
How to Minimize Exposure to Bribery Risks in Iraq and Afghanistan
Pascale Hélène Dubois Sanctions Evaluation and Suspension Officer, Office of Evaluation and Suspension, The World Bank
Pascale Hélène Dubois is the World Bank’s Chief Suspension and Debarment Officer. In this position, Ms. Dubois determines whether to suspend and debar firms and individuals accused of fraud and corruption in World Bank-financed projects. Ms. Dubois has been involved with the Bank’s anti-corruption efforts for more than a decade. Prior to her appointment as Chief Suspension and Debarment Officer, Ms. Dubois managed the Voluntary Disclosure Program (VDP) in the Bank’s Integrity Vice Presidency (INT) and also worked as an operational lawyer advising the Bank’s Africa region for seven years. Before the World Bank, she was in private practice for ten years in the USA and Belgium. Ms. Dubois is the Senior Advisor to the American Bar Association Section of International Law’s Anti-Corruption Committee (and served as Co-Chair of this Committee from 2010 to 2013). She was appointed as Vice-Chair of the International Bar Association Anti-Corruption Committee in 2014 after serving as Regional Representative for North America. She is a Certified Fraud Examiner (CFE) and also an Adjunct Professor at Georgetown University Law Center, where she teaches a course on international anti-corruption. Ms. Dubois received her Lic. Jur., cum laude, from the University of Ghent, Belgium, and her LL.M. from New York University.
- World Bank Sanctions and Anti-Corruption Efforts
- Comparing Debarment Regimes Worldwide: Risks and Processes
- The World Bank: Sanctions and Integrity Compliance
Corporal Kevin Duggan, International Anti-Corruption Unit, Royal Canadian Mounted Police
Kevin Duggan is a member of the RCMP’s International Anti-Corruption Unit which is based in Calgary and conducts investigations of Canadian individuals and companies involved in the bribing of foreign public officials. He has over 11 years with the RCMP, including specialized experience in the Integrated Proceeds of Crime program and Federal Drug Enforcement.
RCMP International Anti-Corruption Units – The Canadian Response
Charles Duross, Partner at Morrison & Foerster LLP
Charles “Chuck” Duross is a partner at Morrison & Foerster LLP where he heads the firm’s global anti-corruption practice. Prior to joining the firm, Chuck most recently served as a Deputy Chief of the Fraud Section in the Criminal Division of the U.S. Department of Justice, where he was in charge of all of the DOJ’s FCPA investigations, prosecutions and resolutions in the United States. Under his leadership, the FCPA Unit resolved more than 40 corporate cases, including two-thirds of the then-top 25 biggest corporate resolutions ever, resulting in approximately $1.9 billion in monetary penalties. During this time, the FCPA Unit also secured convictions of more than two dozen business executives and money launderers. Chuck’s tenure was also marked by his efforts to make FCPA enforcement more transparent and compliance with the statute more understandable to the business community. Working closely with his counterparts at the U.S. Securities and Exchange Commission, Chuck was one of the principal authors of the DOJ and SEC joint publication, A Resource Guide to the U.S. Foreign Corrupt Practices Act, which followed a series of consultations with business and compliance leaders. Chuck also served as DOJ’s principal representative to the Organisation for Economic Co-operation and Development’s Working Group on Bribery for many years. Chuck is the recipient of the Attorney General’s Distinguished Service Award for the prosecution and conviction of Congressman Jefferson, the first Member of Congress ever charged with violating the FCPA, and the Assistant Attorney General’s Exceptional Service Award for leading the United States’ response to the OECD’s Phase 3 Review. Chuck is an adjunct professor at Georgetown University Law Center where he teaches trial advocacy, and he has been a guest lecturer on foreign corruption issues at Harvard and the University of Michigan law schools.
Conducting Effective Internal Investigations
Toby Duthie, Partner, Forensic Risk Alliance
Toby Duthie is currently involved in various mandates:
- Oil-for-Food Investigations: Investigative and forensic accounting consulting, complex financial analysis and transactional data reconstruction, reconciliation and presentation, witness preparation and strategy formulation for companies under investigation - typically US-driven.
- Various internal investigations and regulatory responses – e.g., U.S. Foreign Corrupt Practices Act/OECD Corruption in the Middle East, Central Asia and West Africa.
- Pre-acquisition due diligences – e.g., anti-bribery audits and reconciliations in various countries and industry sectors.
- Damage models relating to the acquisition of a major financial institution.
- International Criminal Court: Trust fund and restitution advice – advising the court on all aspects of document and evidence management, reparations processes and interaction between the two, asset identification and seizure.
In 2002 Mr. Duthie also founded FRA’s sister company, IM Litigation Funding, which is the UK’s longest established litigation fund.
Mr. Duthie is a fluent German speaker with a good working knowledge of French. He is also a member of the Association of Certified Fraud Examiners and the Turnaround Management Association.
Forensic Accounting in the Audit and Investigative Contexts
Kathleen Edmond, Esq., Chief Ethics Officer, Best Buy
As chief ethics officer for Best Buy, Kathleen Edmond develops and directs global vision for the company’s ethics and business conduct and is a key partner in the corporate social responsibility work. Best Buy’s ethics function originally came together to assure compliance with the requirements of Sarbanes Oxley, but Edmond grew the focus to be one of creating and sustaining an ethical business culture. Ultimately, she wants to help create a culture that rewards employees for thoughtful deliberation on issues involving ethics, integrity and responsibility. She has been a pioneer in the use of social media to engage employees, customers and the community in conversations about ethics within Best Buy.
A Minneapolis native, Edmond earned her Juris Doctor from the University of Minnesota (cum laude) and her master’s degree in business ethics from the University of St. Thomas in St. Paul, MN. She serves on the boards of directors for Ethics and Compliance Officer Association (ECOA), Penumbra Theater, and the AARP Foundation.
Anti-Bribery Challenges in the Global Retail Sector
Frank Fariello, Lead Counsel, Legal Vice Presidency, The World Bank
Mr. Fariello is a Lead Counsel, Operations Policy, in the World Bank’s Legal Vice-Presidency. Since joining the Bank in 2005, Mr. Fariello is the Legal Vice Presidency’s focal point for Bank’s Governance and Anti-Corruption (GAC) strategy and the Bank’s sanctions regime. Mr. Fariello is legal advisor to the Bank’s Integrity Vice Presidency and to the Office of Evaluation and Suspension. Prior to joining the Bank in 2005, he was Special Advisor to the Vice President of the International Fund for Agricultural Development (IFAD) and Senior Counsel in IFAD’s Office of the General Counsel from 1996-2005. Prior to IFAD, he practiced law in a number of New York-based law firms, including Skadden, Arps, Slate, Meagher & Flom. His practice focused on cross-border lending and other corporate financial transactions. Mr. Fariello holds a B.A. in History magna cum laude from Brown University (1980) and a J.D. from New York University Law School (1983). He is admitted to practice law in the State of New York.
World Bank Sanctions and Anti-Corruption Efforts
Noreen M. Fierro, Vice President and Corporate Counsel, Prudential Financial
As Corporate Counsel, Noreen is responsible for providing legal advice on a variety of regulatory topics that impact the global organization, including the Foreign Corrupt Practices Act. Prior to transitioning to the Law Department, Noreen served as the AML/OFAC/FCPA Compliance Officer for Prudential Financial. In her position as AML/FCPA Compliance Officer, Noreen oversaw global initiatives for FCPA, AML and OFAC that were designed to homogenize the compliance approach for these regulatory areas across diverse Prudential business operations. In addition, Noreen was responsible for compliance oversight of Prudential Real Estate and Relocation Services, Inc.
Prior to joining Prudential Financial in 2006, Noreen worked as a Senior Manager for Deloitte Financial Advisory Services, LLP, in their Forensic and Dispute Services, Anti-Money Laundering Group. In this capacity, she was responsible for providing clients with subject matter expertise in the areas of AML compliance, Know Your Customer due diligence and overall USA PATRIOT Act and Bank Secrecy Act compliance. Prior to her consulting work, she served as Corporate Vice President, Associate General Counsel at UBS Financial Services, Inc, and was a member of the Money Laundering Prevention Group. In this capacity, she was responsible for AML investigations, drafting of the firm's anti-money laundering policies and procedures, and advising on various compliance responsibilities imposed by the USA PATRIOT Act, Bank Secrecy Act, and all other applicable anti-money laundering regulations. She also served as the Manager of the Money Laundering Prevention Group's Legal Staff. She began her career as an attorney with the law firm of Bressler, Amery & Ross, P.C., where she was a Securities Associate representing national and regional broker-dealers in securities and employment arbitrations and in federal and state court litigation. She then joined the law firm of Edwards & Angell, LLP, where she represented Fortune 100 Companies in all aspects of mergers and acquisitions.
Noreen is a graduate of Seton Hall Law School. She is an ACAMS member, a frequent speaker on the topics of AML and FCPA Compliance and published author on the topic of FCPA compliance.
Anti-Bribery Challenges in the Financial Services Industry
Thomas Firestone, Partner, Baker & McKenzie LLP
Thomas Firestone is a partner in the Washington, D.C. office. Since joining in 2012, he has worked in the Moscow and London offices and remains a member of London’s Compliance and Risk Management Group. He previously worked at the U.S. Department of Justice, first as an Assistant U.S. Attorney in the Eastern District of New York handling transnational organized crime, and then as Resident Legal Adviser and, intermittently, Acting Chief of the Law Enforcement Section at the U.S. Embassy in Moscow. In the latter capacity, he twice won the U.S. State Department Superior Honor Award for his work on U.S.-Russian law enforcement cooperation and promotion of the rule of law. He also won a special award from the Russian Federal Anti-Monopoly Service for promoting U.S.-Russian cooperation in combatting transnational criminal cartels.
- Compliance with International Sanctions: Making Sense of Increasingly Complex Sanctions Restrictions
- Offsets, Charitable Donations, and Other Foreign Government Requests: What Are the Risks?
- The Politics of Sanctions: Russia
Esther M. Flesch, Partner, Baker & McKenzie LLP
Esther Miriam Flesch practices general corporate and commercial law. She received her master of laws degree from the University of Michigan Law School in Ann Arbor, and obtained her doctorate from the Universidade de Sao Paulo Law School. Ms. Flesch is registered at the Brazilian Bar Association, Sao Paulo chapter.
Ms. Flesch focuses on legal issues involving compliance, entertainment, information technology, intellectual property protection, as well as licensing and technology transfer agreements. She also advises clients on pharmaceutical and healthcare matters, telecommunications law and media-related transactions.
Anti-Bribery Compliance in Brazil: Strategies for Managing Risk and Implementing Robust Controls on the Local Level
Elizabeth Lin Forder, Secretary to the Sanctions Board, The World Bank
Ms. Forder was appointed the first full-time Secretary to the World Bank Group Sanctions Board on September 1, 2010. In this position, she heads a new independent Secretariat charged with providing all legal and administrative support necessary to ensure the effective functioning of the Sanctions Board in taking final decisions in contested sanctions cases. Prior to her appointment as Secretary, Ms. Forder was Senior Counsel in the World Bank’s Legal Department. In her nearly ten years in the Legal Department, she provided legal advice on a wide range of matters including corporate governance, ethics, internal investigations and institutional policy. She played a key role in the World Bank’s early sanctions reforms culminating in the first Sanctions Board statute, procedures, and sanctioning guidelines, and extension of the sanctions regime across the World Bank Group. Before joining the World Bank, Ms. Forder worked for the law firm of Williams & Connolly LLP in Washington, D.C., where her litigation practice centered on white-collar criminal defense and defamation law. She clerked for the Honorable Harry Pregerson on the U.S. Court of Appeals for the Ninth Circuit. She received her law degree from the Yale Law School and undergraduate degree summa cum laude from Yale University. She is a member of the Bars of the State of California and the District of Columbia.
World Bank Sanctions and Anti-Corruption Efforts
Asheesh Goel, Partner, Ropes & Gray LLP
Asheesh Goel focuses on securities enforcement matters, including internal investigations, government investigations and enforcement actions. Over his career, Asheesh has developed substantial depth advising clients on the Foreign Corrupt Practices Act and other related anti-corruption laws, financial statement and disclosure issues, insider trading, auditor issues and industry matters.
Prior to joining the firm, Asheesh was a Branch Chief with the Securities & Exchange Commission, Division of Enforcement, where he spearheaded numerous high-profile investigations and litigation involving financial statement and disclosure fraud, the Foreign Corrupt Practices Act, insider trading, investment advisory fraud, auditor misconduct and broker-dealer misconduct. During his tenure at the SEC, Asheesh received three Special Act Awards for exemplary work on investigations and litigation, and his work was the subject of numerous articles by the Associated Press and in The Wall Street Journal and numerous other newspapers.
Anti-Corruption Risk for Private Equity Firms Dealing with Sovereign Wealth Funds
Rafael Mendes Gomes, Partner, Chediak Advogados, Formerly Legal Vice President, General Counsel and Chief Ethics and Compliance Officer of Wal-Mart Brasil
Mr. Mendes Gomes graduated in 1997 from the Law School of the University of the São Paulo - USP. He has a Post-graduate Degree in Business Law from the Catholic University of São Paulo – PUC-SP (1998) and in Business in the Digital Era from the Business School of the Fundação Getúlio Vargas – São Paulo– FGV/SP (2001). Mr. Mendes Gomes completed the Advanced Management Program – AMP – of the IESE Business School of the University of Navarra (2009) and has been a Certified Compliance and Ethics Professional - CCEP (Society of Corporate Compliance and Ethics) since 2009. Mr. Mendes Gomes began work at the business law firm Tozzini, Freire Advogados in 1996 and stayed until 1999.
He spent over seven years at Sun Microsystems, Inc., based in Santa Clara, California. During his time there he worked as legal manager of the companies subsidiaries in Brazil and Argentina, covering Brazil, Argentina, Chile and the Plata River and Andean regions, and was also responsible for legal matters concerning Latin America Channels, Distribution and Alliances legal matters. In 2005, Mr. Mendes Gomes became Assistant General Counsel at Sun Microsystems, Inc., as a member of the Channels Marketing, Competition Law, and Sun's Partner and Alliances Legal Team. He was directly responsible for the company's global channels program "Sun Partner Advantage Program." From 2007 until 2011, Mr. Mendes Gomes held the position of Legal Vice President, General Counsel and Chief Ethics and Compliance Officer at Wal-Mart Brasil. His main areas of expertise are Corporate Law, Contracts, Consumer Law, International Trade, Compliance and Anti-bribery/FCPA, mostly focused on technology, retail and e- commerce.
- How to Create and Manage a Sustainable Anti-Corruption Compliance Program for Your Latin America Operations
- Anti-Bribery Compliance Strategies for Multinationals Operating in Venezuela
- Brazil’s New Anti-Corruption Law: What Companies Operating in Brazil Need to Know
Priyanka Sharma Goswami, Advocate & Partner, Quad Law Associates
Ms. Goswami has been advising and representing domestic and international clients on a wide range of commercial litigation and arbitration matters. Her practice also focuses on anti-bribery matters (specifically those involving issues under the U.S. Foreign Corrupt Practices Act, UK Bribery Act and the Prevention of Corruption Act in India), white collar crimes, contract, specific relief, constitutional and administrative laws, employment law and matters relating to the law on insecticides / chemicals in India.
Over the past 15 years, Ms. Goswami has advised and represented clients across a variety of industries including infrastructure, packaging, automobiles, pharmaceuticals, chemicals, telecom, education, financial services, print media, spirits among others, before various judicial and arbitral forums in India.
She frequently writes on the topics of anti-bribery, governance and whistleblower protection and is regularly invited to speak on these topics at prestigious national and international events.
Proposed Amendments to the Prevention of Corruption Act in India: What Global and Local Companies Need to Know
Kristy Grant-Hart, Spark Compliance Consulting
Kristy Grant-Hart is an expert at transforming compliance departments into in-demand business assets.
She's the author of the highly acclaimed book, How to be a Wildly Effective Compliance Officer and is Founder and Managing Director of Spark Compliance Consulting, a boutique consultancy focusing on the creation, energizing and optimization of corporate compliance and data privacy programs.
She is also an adjunct professor at Delaware School of Law, Widener University, teaching Global Compliance and Ethics. Before launching Spark Compliance, Ms. Grant-Hart was the Chief Compliance Officer at United International Pictures, the joint distribution company for Paramount Pictures and Universal Pictures in 65+ countries.
Ms. Grant-Hart was shortlisted for the 2015 Chief Compliance Officer of the Year award at the Women in Compliance awards. She’s been featured in numerous international publications, including the Wall Street Journal, Financial Times, Compliance Week and Compliance and Ethical Professional Magazine.
Compliance Issues in the Media and Entertainment Sector
Lauren Higgins, Group Compliance Officer at Cambridge University Press
Cambridge University Press is a department of the University of Cambridge, and has over 2000 employees, based in over 40 countries globally. She previously was a Divisional Compliance Manager for Oxford University Press, and before that served as a Director for an international risk consulting firm. In this role, she focused on helping companies (primarily FTSE 250s) in developing compliance programs, in particular related to FCPA, UKBA and AML. She has over ten years’ experience in Compliance.
The Intersection between Anti-Bribery Compliance and the New Modern Slavery Act
Richard W. Grime, Partner, O’Melveny & Myers
Richard W. Grime is a partner in the Washington, D.C. office of O’Melveny & Myers. He represents clients on a full range of white collar, securities enforcement, regulatory and compliance matters. He often represents corporations conducting internal investigations with a particular focus on FCPA investigations. He frequently advises companies on implementing FCPA compliance programs and is a regular speaker at conferences on SEC enforcement matters.
Before he joined O’Melveny, Richard spent over nine years in the Division of Enforcement at the U.S. Securities and Exchange Commission in Washington, D.C. In his last four years at the Commission he was an Assistant Director. While at the SEC, Richard supervised the filing of over 70 enforcement actions covering a wide range of the Commission’s activities from accounting fraud, regulation FD, insider trading and offering frauds.
Richard played a prominent role in the Commission’s FCPA program working closely with the Department of Justice on countless parallel investigations. He supervised the Commission’s recent FCPA cases against Baker Hughes, Titan and Monsanto. Richard was also designated by the United States as one of its experts for the OECD Convention on Combating Bribery of Foreign Public Officials’ peer monitoring process for Japan and Canada.
Key Considerations in Anti-Corruption Investigations*
Tristan J. Grimmer, Senior Associate, Baker & McKenzie, LLP
Tristan has been an Associate in the EU Competition and Trade Department of Baker & McKenzie’s London office since March 2006, having previously trained with the Firm. As a member of the international trade team he specializes in advising clients on export controls, sanctions and anti-bribery and corruption, with a particular focus on providing clients from a wide range of sectors (including energy, technology, manufacturing and financial services) with advice on compliance policies and dealing with government authorities. He has also assisted clients with drafting and advising upon voluntary disclosures to government authorities, and more generally upon the handling of investigations.
Compliance with International Sanctions: Making Sense of Increasingly Complex Sanctions Restrictions
Dr. Sofia Halfmann, Head of BSP Compliance Office, Compliance Officer, Bayer Schering Pharma AG
Dr. Sofia Halfmann is Head of BSP Compliance Office and Compliance Officer for the Pharma Division of Bayer AG.
Dr. Halfmann joined Bayer Schering Pharma (BSP) in October 2010. She is responsible for BSP’s worldwide compliance program including establishment and implementation of compliance policies and processes, training, performance of investigations as well as monitoring and auditing activities.
Dr. Halfmann came to BSP from the Global Headquarters of Merck (former Schering-Plough) in New Jersey, where she most recently held the position of Director Compliance, Global Marketing/Global Medical Affairs, providing leadership support and guidance to the Global Marketing and Global Medical Affairs teams to assure compliance in all related areas, such as Foreign Corrupt Practices Act, U.S. Healthcare laws and scientific information. Prior to this position, Dr. Halfmann was Director Compliance & Business Practices and Compliance Officer for Schering-Plough’s German country operation, Essex Pharma GmbH, where she led and implemented the Compliance and Business practices department with responsibility for the compliance program in one of Schering-Plough’s core country operations as member of the management team and officer for equal treatment matters. Prior to that, she held the position of Manager, Legal Affairs, at Fujisawa GmbH, and Legal Advisor, at Pfizer GmbH. Before joining Pfizer, Dr. Halfmann, worked as a lawyer at the law firm Dr. Evelyne Menges.
Dr. Halfmann holds a law degree from the Ludwig-Maximilians-University in Munich, Germany, and a doctorate in law from the Friedrich-Schiller-University in Jena. She also attended the Health Care Compliance Certification Program at the Seton Hall Law School. Dr. Halfmann is a member of the Pharmaceutical Compliance Forum (PCF), a founding member of the European chapter of the Healthcare Businesswomen’s Association (HBA) and member of the Munich Bar Association. She is an active contributor to national industry boards as well as speaker at conferences and workshops on Compliance & Ethics.
Anti-Bribery Challenges in the International Health Care and Life Sciences Industries
Savaria B. Harris, Partner, DLA Piper LLP
Savaria Harris is a business litigation partner at DLA Piper, a Chambers-ranked global law firm and the largest in the world by revenue. Her practice focuses on anti-fraud litigation, compliance counseling and government investigations. Savaria was recently ranked by D.C. Super Lawyers on the 2014 List of Business Litigation Rising Stars. In conjunction with her practice, Savaria is a lecturer on Workplace Ethics at the Georgetown University School of Continuing Studies and on Financial Regulatory Compliance and Legal Ethics at the Practicing Law Institute. She is a member of the Association of Certified Fraud Examiners, the world’s largest anti-fraud organization and premier provider of anti-fraud training education and certification, as well as the NYU Program on Corporate Compliance and Enforcement, which promotes research on the effective enforcement of legal rules and on methods and strategies for enhancing compliance with applicable standards.
- The Other Anti-Bribery Litigation: Understanding Risk & Exposure Under the False Claims Act
- Compliance’s Next Frontier: Preventing Bribery through Shell & Shelf Companies
Roberto Hernández García, Socio director / socio director, COMAD, S. C.
Roberto Hernandez-Garcia is a Managing Partner of “Corporación Mexicana de Asesores en Derecho, S.C” (COMAD, S.C.). For more than 20 years, he has been involved in top-level projects related to construction; public procurement in Mexico and abroad; as well as disputes derived from these areas of practice as counselor and as adjudicator. More recently, he has been involved in important corporate compliance matters. Some of his current and former clients are considered among the 500 national and foreign most important businesses in Mexico in sectors such as: construction, energy and health. Mr. Hernandez-Garcia is a Member of the Board for the International Chamber of Commerce (México) and currently holds the title of President of the Anticorruption Commission. He also acts as the Co-Vice Chair of the Anticorruption Committee for the International Bar Association. In 1995, Mr. Hernandez-Garcia graduated a law degree from the Universidad Panamericana in Mexico City. Mr. Herndandez-Garcia received a number of specialty degrees from Universidad Panamericana, including Corporate Law Specialty Diploma (1995) Commercial Law Specialty Diploma (1996), Civil and Commercial Procedure Specialty Law Diploma 1996), International Trade Law Specialty Diploma (1997), Administrative Law Specialty Diploma (1997) and most recently, a Master in Law (2012).
- Mexico: Anti-Bribery Regulatory and Enforcement Update
- México: Actualización de Legislación Contra el Soborno y Procuración de Justicia
Steven F. Hill, Of Counsel, Baker & McKenzie LLP
Steven F. Hill is a member of the Firm's Outbound Trade Practice. He has over 10 years of experience in a broad array of international trade regulation compliance and enforcement matters, particularly U.S. export controls and sanctions and anti-corruption laws, including the Foreign Corrupt Practices Act (FCPA). Mr. Hill regularly advises multinational businesses on strategies for responding to government enforcement actions and submission to government authorities of voluntary disclosures of presumed violations of international trade laws. He also regularly assists businesses in conducting international trade due diligence on proposed mergers and acquisitions, formation of joint ventures and retention of business partners and intermediaries. Mr. Hill likewise advises clients on national security reviews of foreign investments under the procedures administered by the Committee on Foreign Investment in the United States (CFIUS).
Compliance with International Sanctions: Making Sense of Increasingly Complex Sanctions Restrictions
Peter Hughes, Director of Sustainability for Pearson
Using Due Diligence to Manage Supply Chain Risks - Bribery, Human Trafficking and Deforestation
William B. Jacobson, Former VP, Co-General Counsel, Chief Compliance Officer, Weatherford International
William Jacobson is the Former VP, Co-General Counsel and Chief Compliance Officer for Weatherford International. For approximately 5 ½ years, he was a federal prosecutor at the Fraud Section of the Department of Justice’s Criminal Division. His last stint at the Fraud Section was as the Assistant Chief for FCPA Enforcement. In that role, Billy supervised roughly half of the Department’s FCPA investigations and prosecutions and had responsibility for all aspects of the FCPA program, including liaising with the SEC, participating in meetings of the OECD’s Working Group on Bribery, coordinating with prosecutors in other countries on investigations and drafting FCPA Opinion Procedure Releases. Billy graduated from Tufts University and Georgetown University Law Center. He began his career as an Assistant District Attorney in New York City and has also been a partner in private practice.
Anticorruption Challenges in the Oil and Gas Industry
Max Kaiser, Partner, CAYAD S.C., Mexico
Currently Mr. Kaiser is a partner at the Mexican Law firm CAYAD S.C. in charge of the public law practice. He is also building the Center for Anti Corruption Studies at ITAM, where he coordinates several executive programs in corruption, public procurement and administrative responsibilities. He is part of IACA's Law Faculty (International Anti Corruption Academy) and co-coordinator and lecturer in the PACT program (Procurement Anti Corruption Training). He is an active part of UNODC's ACAD (Anti Corruption Academic Initiative) and lecturer in the past two events of this Initiative. He has been a law professor for over 12 uninterrupted years at the “Instituto Tecnológico Autónomo de México” (ITAM), specialized in Administrative Law, Public Procurement, Administrative Responsibilities and Governmental Audit. Additionally, Max Kaiser has 12 years of experience as a federal public servant. He has been head of the Federal Audit Unit in charge of all governmental audits, head comptroller at the Ministries of Environment and Education and legal adviser to the General Council at the Federal Electoral Institute. He is also a former Under Secretary of Administrative Responsibilities and Public Procurement at the Federal Ministry of Public Function.
- Effective Anti-Corruption Strategies in the Public Procurement Process: Making Transparency Work
- Estrategias efectivas anticorrupción en el proceso de contratación pública: Hacer a la Transparencia Funcionar
Georg Kell, Executive Director, The United Nations Global Compact
Georg Kell is the Executive Director of the United Nations Global Compact, the world’s largest voluntary corporate responsibility initiative with more than 6,000 participants in over 130 countries. Spanning more than two decades, his career with the United Nations began in 1987 at the UN Conference on Trade and Development (UNCTAD) in Geneva. In 1997, Mr. Kell joined the Office of the UN Secretary-General in New York, where he spearheaded the development of new strategies to enhance private sector engagement with the work of the United Nations. As one of the Global Compact’s key architects, he has led the initiative since its launch in 2000, building the most widely recognized global business platform on human rights, labour, environment and anti-corruption. Prior to joining the UN System, Mr. Kell worked as a researcher at the Fraunhofer Institute in Germany and as a financial analyst evaluating multinational companies’ investment portfolios in Asia and Africa. A native of Germany, he holds advanced degrees in economics and engineering from the Technical University of Berlin.
Implementing the Global Compact 10th Principle against Corruption: from Learning and Dialogue to Collective Action and Disclosure
James M. Klotz, Partner and Co-Chair, International Business Transactions Group, Miller Thomson LLP
James Klotz is a partner in the Business Law Group of Miller Thomson LLP in Toronto and Co-Chair of the firm’s International Business Transactions Group. International business is his area of specialty; international anti-corruption is a related practice area. Having led complex corporate and commercial transactions in more than 108 countries, he is widely respected for his deep knowledge and practical experience in the international business arena. He advises multi-national organizations, commercial enterprises and government agencies.
Since 2009, Mr. Klotz has been President and Chairman of the Board of Transparency International Canada Inc, the Canadian chapter of the global organization dedicated to the fight against corruption. Mr. Klotz is currently the Chair of the Bar Issues Commission of the International Bar Association and the Canadian Bar Association’s Council Member at the IBA. He is an Adjunct Professor of International Law at Osgoode Hall Law School in Toronto (LL.B., 1982) and has written more than 100 papers on the topic of international business law to his credit. Business enterprises and lawyers around the world have also benefited from his very practical textbooks, including “Power Tools for Negotiating International Deals” and “International Sales Agreements: A Drafting and Negotiation Guide”, both of which are now in their 2nd edition by Kluwer International.
Mr. Klotz has been recognized as a “Leading International Trade Lawyer” by Lexpert; as a “Leading International Finance Lawyer” by Best Lawyers in Canada; and holds Martindale’s highest rating, AV.
Anti-Bribery Enforcement & Compliance Challenges in Canada
James M. Koukios, Partner at Morrison & Foerster LLP
James M. Koukios is a partner at Morrison & Foerster LLP and a member of its White Collar and FCPA and Global Anti-Corruption Practice Groups. His practice focuses on compliance counseling, internal corporate investigations, and government enforcement actions. Before joining MoFo, James spent six years in the U.S. Department of Justice, Criminal Division, Fraud Section, rising from a line prosecutor in the FCPA Unit to Assistant Chief of the FCPA Unit to Senior Deputy Chief, the Section’s third-ranking official with oversight over the FCPA, Securities and Financial Fraud, and Health Care Fraud Units. James served as a lead prosecutor in two landmark FCPA-related trials, United States v. Esquenazi and United States v. Duperval, for which he received the Assistant Attorney General’s Award for Distinguished Service. Before joining the Fraud Section, James was an Assistant United States Attorney in Miami, where he tried nearly 20 criminal jury cases in 4.5 years. While at the U.S. Attorney’s Office, James investigated and prosecuted United States v. AEY, Inc., et al., the defense procurement fraud case that served as the basis for the movie War Dogs. James also served a one-year detail as special counsel to then-FBI Director Robert S. Mueller, advising the Director and other FBI executives on policy issues involving criminal law and criminal investigations. A Harvard Law graduate, James also served as a law clerk to then-U.S. District Judge Edith Brown Clement in the Eastern District of Louisiana and worked as a litigation associate at Kirkland & Ellis LLP. James is an adjunct professor of trial advocacy at Georgetown University Law Center and is frequently asked to speak on FCPA and white-collar issues by law schools, conference organizers, and media outlets. He is also a co-author and editor of MoFo’s industry-leading monthly newsletter, Top Ten International Anti-Corruption Developments.
Conducting Effective Internal Investigations
K. Lesli Ligorner, Partner, Simmons & Simmons LLP
Ms. Ligorner's areas of focus include employment hiring and termination; establishment and enforcement of company policies, including the Foreign Corrupt Practices Act (FCPA) and local anti-corruption compliance; discrimination and harassment trainings, policies and investigations; leaves of absence; downsizing; wage and hour laws; protecting intellectual property; unionization and collective bargaining; global mobility and immigration; and employment and anti-corruption due diligence and employee transition issues in M&A transactions. Ms. Ligorner's experience cuts through many industries, with a focus on the financial services, technology, and life sciences sectors. She trains employees on workplace anti-harassment and diversity policies, codes of conduct, FCPA compliance and best practices for human resources and compliance professionals. Ms. Ligorner conducts and supervises investigations into anti-corruption and employment-related misconduct and counsels companies globally on compliance matters with respect to the FCPA and UK Bribery Act. From 2011-2013 she has been annually named as one of the Attorneys Who Matter in the “Labour & Employment” category by the Ethisphere Institute for her hard work and commitment to advancing corporate ethics and compliance, is ranked in Chambers Global Guide 2013 and was named 2013 Lawyer of the Year for Labour & Employment by China Law & Practice and AsiaMoney Women in Business Law. She regularly speaks and publishes articles on employment and anti-corruption related topics. Ms. Ligorner is also a founding member of the Asia Turnaround & Transformation Association.
The PRC Labor and Employment Law Regime and Its Effects on Investigations
Benjamin R. Lindorf, Associate General Counsel and Export Compliance Manager, Institute for Defense Analyses (IDA)
Mr. Lindorf is Associate General Counsel and Export Compliance Manager for the Institute for Defense Analyses (IDA), where he is responsible for managing international trade compliance and other regulatory matters related to government-sponsored international academic and research activities. Prior to joining IDA, he was a Senior Associate Attorney in Reed Smith’s Global Regulatory Enforcement practice group, where he was heavily involved in internal corporate investigations and compliance counseling on issues related to export controls, FCPA compliance, trade sanctions, customs compliance and U.S. antiboycott regulations. Mr. Lindorf also served as an Associate Attorney with Williams Mullen’s International Trade practice group and as a Paralegal Specialist with the U.S. Department of Justice, Office of the Solicitor General. He currently serves as a working group co-chair for the Coalition for Excellence in Export Compliance (CEEC), and as a committee chair for the J. Reuben Clark Law Society. Mr. Lindorf is also a regular speaker on issues related to international trade law and associated compliance obligations. He received his undergraduate degree from Brigham Young University and his law degree, with a Global Law Scholar certificate, from Georgetown University.
At the Crossroads of Anti-Bribery Compliance and International Trade Compliance
Michael R. Littenberg, Partner and Head of Public Companies Practice, Schulte Roth & Zabel LLP
Michael R. Littenberg is a partner in Schulte Roth & Zabel’s Business Transactions Group and heads the firm’s public companies practice. His clients range from well-known large-cap companies to growing micro-cap companies and his experience spans every major industry. As part of his practice, for more than 25 years, Michael has been active in advising public and private companies on corporate social responsibility and supply chain matters, including relating to, among other areas, conflict minerals and other commodities and human trafficking. Michael was recently listed as one of the Top 15 Conflict Minerals Influence Leaders by Assent Compliance. Michael also is listed in Who’s Who in Securities Law and in New York Super Lawyers for securities and corporate finance and was voted by his peers to New York Super Lawyers Top 100 Lawyers in the New York Metro area (multiple years).
Human Trafficking in the Supply Chain – Complying With Federal, State and Foreign Requirements
Lucinda A. Low, Partner, Steptoe & Johnson LLP
Lucinda A. Low is a partner in the Washington office of Steptoe & Johnson LLP, where she is a member of the International Department, heads the firm’s FCPA practice, and has served on the firm's Executive Committee. She has a practice focusing on U.S. and international anti-corruption laws, advising clients on matters ranging from preventive work to representation in internal investigations and enforcement matters worldwide. She is a widely recognized authority in the U.S. Foreign Corrupt Practices Act (FCPA) and related international conventions from the OECD, OAS, United Nations and European Union.
Corporate Compliance with World Bank Regulations: Investigations, Sanctions and Debarment
2016 Year in Review
Michael J. Madigan, Senior Counsel, White Collar & Corporate Investigations, Orrick, Herrington & Sutcliffe LLP
Michael J. Madigan is a litigation partner in Orrick's Washington, D.C., office. Mr. Madigan has more than 30 years of experience in white collar criminal investigations, congressional and corporate investigations, corporate governance issues and Washington, D.C., legislative and political issues. He began his legal career by serving as a federal prosecutor where he tried more than 100 jury trials. At age 30, he served as Counsel to Senator Howard Baker on the historic Senate Watergate Committee. In addition, Mr. Madigan has served as Chief Counsel for Senator Fred Thompson’s Campaign Finance investigation, Counsel to the Church Committee and Minority Counsel of the Senate Intelligence Committee.
Mr. Madigan has successfully defended corporate and individual clients (including law firms and accounting firms) in a variety of complex criminal, civil and congressional investigations; conducted corporate internal investigations and counseled on corporate governance and Foreign Corrupt Practices Act issues.
The Shot Show Case: FCPA Lessons Learned from the Frontlines
Jay G. Martin, Vice President, Chief Compliance Officer and Senior Deputy General Counsel, Baker Hughes
Jay G. Martin is the Vice President, Chief Compliance Officer and the Senior Deputy General Counsel for Baker Hughes Incorporated (“BHI”). Prior to joining BHI, Mr. Martin was a Shareholder at Winstead Sechrest & Minick P.C., a Partner at Phelps Dunbar and Andrews & Kurth, and the Assistant General Counsel of Mobil Oil Corporation’s Worldwide Exploration and Production Division in Fairfax, Virginia. Mr. Martin has also served as General Counsel of Mobil Natural Gas, Inc. in Houston, Texas. Mr. Martin holds JD, MPA and BBA degrees from Southern Methodist University in Dallas, Texas.
While in private practice, Mr. Martin was engaged in a wide variety of domestic and international energy transactions, and regulatory matters for natural gas exploration and producing companies, oil field service companies, marketers, pipelines and refiners. Mr. Martin’s practice involved such diverse matters as participating in generic federal and state restructuring proceedings in the natural gas and electric industries, drafting virtually every type of domestic and international oil and gas agreement, working on mergers and acquisitions, asset acquisitions and divestitures, handling a significant number of energy lending transactions including but not limited to mezzanine and conventional production based financings and work-out situations, and advising clients on a wide variety of natural gas marketing and processing matters. Mr. Martin also regularly handled problems for clients arising under the Foreign Corrupt Practices Act, the U.S. Economic Sanctions Laws and Arab Boycott Regulation. In addition, Mr. Martin developed broad experience in crisis management, designed corporate compliance programs for clients, and conducted many types of internal investigations for clients.
Political and Charitable Donations: Pre-Donation Due Diligence and Effective Controls
Jason P. Matechak, General Counsel, International Relief & Development (IRD)
Jason P. Matechak is IRD’s General Counsel and in this role serves as chief legal counsel on all IRD government contracts and grants, corporate compliance, intellectual property, real estate and various other employment matters. Matechak also maintains IRD’s relationships with various law firms around the world who provide strategic counsel to IRD in support of its humanitarian, stabilization and development activities.
Before joining IRD, Matechak served as outside counsel with IRD for more than 3 years as a partner of Reed Smith LLP, a law firm. He brings more than 12 years of legal experience to IRD, together with 7 years at the U.S. Agency for International Development (USAID) as a Contract Negotiator and Legal Reform Officer. Most recently, his practice at Reed Smith involved International Regulations/Transactions and Public Procurement/Government Contracts. Matechak has served clients and managed development projects worldwide and has worked on short term assignments in Bangladesh, Bolivia, China, Egypt, Ghana, India, Jamaica, Morocco, Nepal, Peru, Sri Lanka, Tanzania and Tunisia.
In addition, Matechak served as the General Counsel/Legal Advisor to the International Development Law Organization (IDLO), which is an intergovernmental organization headquartered in Rome, Italy, dedicated to promoting the rule of law through training and technical assistance for lawyers and judges in developing countries. In this role, he was responsible for advising the Director General and Board of Directors on a wide range of legal issues facing the organization. He also facilitated the design and delivery of legal training programs, covering issues such as anti-corruption, private sector infrastructure development and international public procurement, to lawyers and judges from more than 40 developing countries.
Tough Compliance in Tough Places: Diligence in Development Assistance
Lamia R. Matta, Member, Miller Chevalier
Lamia Matta practices in the area of litigation and global compliance. Ms. Matta counsels and represents clients on matters involving the Foreign Corrupt Practices Act (FCPA) and trade policy. She has conducted internal investigations in multiple countries on behalf of multinational corporations and has worked on numerous FCPA due diligence reviews in the lead-up to major acquisitions and mergers. Ms. Matta has also represented multinational companies in connection with potential or ongoing Securities and Exchange Commission (SEC) and/or Department of Justice (DOJ) investigations including matters arising in the United States and around the world. In addition, Ms. Matta is experienced in all phases of civil litigation and has successfully defended clients in multi-million dollar suits involving numerous jurisdictions and taking place in multiple countries.
Ms. Matta has recognized experience in the Middle East and North Africa and has represented both U.S. and non-U.S. clients -- private and public businesses, as well as governments -- in international trade, commercial and criminal defense matters arising from the transaction of business between the United States and the Arab World. Ms. Matta also has significant experience in international public law issues and has delivered numerous presentations on these matters at international conferences and before international diplomats. Before joining Miller & Chevalier, Ms. Matta worked for a number of years as a legal adviser in the peace negotiations between Israel and the Palestinian Authority. In that role, she prepared numerous opinions relating to governance and anti-corruption, judicial reforms, land laws, land policy regimes and elections laws.
Ms. Matta has managed advocacy campaigns for international non-profits, served as a Federal Court law clerk and worked at a number of human rights organizations.
Anti-Bribery Compliance Challenges in the Middle East
Frances McLeod, Partner, Forensic Risk Alliance
Frances McLeod is one of the three co-founders of Forensic Risk Alliance - FRA - a dispute analysis and litigation support company.
She was responsible for design and implementation of the claim evaluation and administration systems of the $1.3 Billion Swiss Bank and $2.5 Billion German Slave Labor Holocaust settlements advised on by FRA. In order to develop appropriate systems for such complex and challenging claims, she drew on her experience in evaluating long tail liabilities, corporate and banking/insurance archaeology, forensic accounting and asset tracing, and in the use of databases and statistical analysis.
From mid-2004, Frances was involved in advising a high profile client in its dealing with the UN-IIC and congressional Oil-for-Food investigations in respect of their investigative and forensic accounting needs - from contributing to the formulation of strategy, presenting complex financial analysis and data, electronic and other discovery, to conducting a comprehensive evaluation of the database system, which underpinned the whole Oil-for-Food Programme, and preparing witnesses for interview. Drawing on experience gained on the Swiss Banks investigations, Frances was instrumental in finding solutions to allow for the presentation of analysis in a manner that was not in breach of Swiss Banking Secrecy and/ or the Swiss Criminal Code.
Frances continues to advise diverse clients on FCPA/OECD related issues both in terms of response to investigations/litigation and in a compliance context. Having lived and worked in the developing world, the US, and Europe, she has first-hand experience in balancing regulatory demands with the working practices of emerging markets. Frances is currently advising on several anti-corruption driven matters.
Most recently, Frances has been working on a highly complex U.S.-EU securities class action defense case, drawing on her experience in multi-jurisdictional litigation support. This has included developing an e-discovery strategy that is compliant with French and EU privacy laws, performing forensic accounting analysis in respect of U.S./French reporting obligations and overseeing a team of technicians performing data collection, conversion, loading and analysis.
Frances continues to advise a number of European clients on data protection, privacy and related matters in the context of U.S.-driven discovery requests with an emphasis on providing practical solutions that are compliant with the demands of all relevant jurisdictions.
Frances has also advised the Asian Development Bank (ADB) and Asia Pacific Group on Money Laundering (APG) on counter-money laundering projects in SE Asia and the South Pacific. Specifically, she worked with a leading U.S. law firm in formulating preventative technical solutions for nine countries, which referenced best practices in existing legislation and measures and reporting requirements.
Forensic Accounting in the Audit and Investigative Contexts
Mark F. Mendelsohn, Partner, Paul, Weiss, Rifkind, Wharton & Garrison LLP
A partner in the Litigation Department, Mark F. Mendelsohn is a member of the White Collar Crime and Regulatory Defense, and Securities Litigation Practice Groups.
Prior to joining Paul, Weiss, Mr. Mendelsohn served as the deputy chief of the Fraud Section of the Criminal Division of the United States Department of Justice (DOJ), and is internationally acknowledged and respected as the architect and key enforcement official of DOJ’s modern Foreign Corrupt Practices Act (FCPA) enforcement program.
As deputy chief of the Fraud Section from 2005 to 2010, Mr. Mendelsohn was responsible for overseeing all DOJ investigations and prosecutions under the FCPA, and for supervising a team of trial attorneys with respect to investigations and prosecutions of a wide variety of federal white collar crimes including money laundering, mail and wire fraud, procurement fraud, Arms Export Control Act and International Traffic in Arms Regulations (ITAR) violations and violations of economic and trade sanctions laws and regulations, including with respect to the United Nations Oil for Food Program. During his tenure, Mr. Mendelsohn handled hundreds of voluntary disclosures of illicit corporate payments, worked closely with attorneys in the Division of Enforcement at the U.S. Securities and Exchange Commission, helped establish and worked closely with the Federal Bureau of Investigation’s FCPA squad at the Washington Field Office, negotiated numerous corporate plea, deferred and non-prosecution agreements on behalf of DOJ and participated in the appointment of, interaction with and reporting by more than 16 corporate compliance monitors. Mr. Mendelsohn led an effort to forge closer working relationships with foreign regulators in connection with transnational bribery cases, resulting in coordinated settlements with the Munich Public Prosecutor in Germany in the Siemens prosecutions and coordinated settlements with the U.K.’s Serious Fraud Office in the BAE and Innospec prosecutions, among others. Mr. Mendelsohn was also responsible for administering DOJ’s FCPA Opinion Release Procedure, including issuing the seminal opinion on FCPA transactional diligence and successor liability (Op. Rel. 08-02).
- Introduction to the FCPA: the History, the Law and the Lore*
- Types of Resolutions: New Trends and Patterns
Deborah R. Meshulam, Partner, Chair, Securities Enforcement Practice, DLA Piper LLP
Deborah Meshulam has more than two decades of securities enforcement defense experience trying the full range of cases arising from allegations of securities law violations and related breaches of fiduciary duty. Deborah represents clients in SEC and Department of Justice (DOJ) investigations, securities class actions and derivative lawsuits relating to claims of securities law violations, FCPA violations and counsels clients on compliance, regulatory and corporate governance matters, including issues relating to the Dodd Frank whistle blower program. She also represents clients in Public Company Accounting Oversight Board (PCAOB) investigations, FINRA and Exchange proceedings and in Exchange delisting hearings. Deborah regularly conducts investigations on behalf of public companies or their audit committees, often relating to FCPA questions, accounting issues, alleged securities law violations and employee misconduct. She also regularly advises clients on securities law compliance and litigation avoidance. She has written on securities law issues for legal publications and is a frequent speaker at professional programs on securities-related issues. She also represents clients in rulemaking proceedings and in SEC inquiries from the Divisions of Corporate Finance and Trading and Markets, the Office of Chief Accountant and the Office of Compliance Inspections and Examinations. Deborah’s securities practice also includes counseling on a wide range of corporate governance and regulatory matters, including financial reporting and disclosure issues, design and implementation of compliance programs under the securities laws and the FCPA as well as issues faced by brokers/dealers, investment advisers and other regulated entities.
The Other Anti-Bribery Litigation: Understanding Risk & Exposure Under the False Claims Act
Robert J. Meyer, Partner, Willkie Farr & Gallagher LLP
Robert J. Meyer is a partner in the Litigation Department of Willkie Farr & Gallagher LLP and is a member of the Compliance & Enforcement Practice Group in Washington, D.C.
Mr. Meyer represents corporations and individuals in civil and criminal lawsuits and investigations involving fraud, bribery, whistleblower allegations, securities, ethics and conflicts of interest. He has conducted numerous domestic and international internal corporate investigations, and regularly counsels corporations on compliance and government enforcement matters. Mr. Meyer has substantial expertise in matters involving government ethics, the Inspector General Act, accounting fraud, the Foreign Corrupt Practices Act, False Claims Act, qui tam litigation and securities enforcement. As a former federal prosecutor with substantial trial experience, Mr. Meyer is frequently called upon to defend criminal and civil enforcement matters involving all of these subject matter areas.
Conducting Effective Internal Investigations
Alison Micheli, Lead Counsel, Legal Vice Presidency, The World Bank
Ms. Micheli is Lead Counsel, Procurement in the Operational Policy Unit of the World Bank's Legal Vice Presidency. Until September 2010, she also served as Secretary to the World Bank Group Sanctions Board. Prior to joining the Bank in 1999, Ms. Micheli worked for the Washington, D.C.-based law firm Arent Fox LLP in the government contracts practice group. She received her Juris Doctor degree from Georgetown University Law Center.
World Bank Sanctions and Anti-Corruption Efforts
Lisa K. Miller, Integrity Compliance Officer, World Bank Group
Lisa K. Miller is an Integrity Compliance Officer in the Integrity Compliance Office of the World Bank Group’s Integrity Vice Presidency. She previously was a Senior Counsel in the World Bank’s Legal Vice Presidency. Prior to joining the World Bank, she was in private legal practice in the U.S., where her practice focused on public procurement, sanctions and integrity compliance matters. She is a graduate of The School of Foreign Service at Georgetown University (B.S.), George Washington University National Law Center (J.D.) and Georgetown University Law Center (LL.M).
The World Bank: Sanctions and Integrity Compliance
Dominique Mondoloni, Partner, Willkie Farr & Gallagher LLP
Dominique Mondoloni is a partner in the Litigation Department of Willkie Farr & Gallagher LLP in Paris. Mr. Mondoloni handles general commercial litigation, securities litigation, white-collar criminal investigations and other civil litigation and arbitration including merger and acquisition-related matters.
Mr. Mondoloni’s practice includes conducting complex, worldwide internal corporate investigations, as well as counseling companies on the design and implementation of corporate compliance programs. Mr. Mondoloni regularly counsels companies regarding the Organization for Economic Co-operation and Development's Convention on Combating Bribery of Foreign Public Officials in International Business Transactions and Foreign Corrupt Practices Act compliance.
Anti-Bribery Enforcement and Compliance Challenges in France
Gaye Montgomery, Founder, Montgomery Compliance Law PLLC
Gaye Montgomery is an experienced attorney and corporate compliance advisor and recently founded the boutique corporate compliance firm Gaye Montgomery Law. Previously, Montgomery was vice president at Altria Client Services. During her 20-year career at Altria, she spent more than ten years on the law department’s leadership team and led a number of law department practice groups. Montgomery received her undergraduate degree from Princeton University, majoring in the Woodrow Wilson School of Public and International Affairs, and her J.D. degree from Yale Law School. She is a member of several non-profit boards and an adjunct law professor at University of Richmond Law School.
Prior to joining Altria, Montgomery was an associate at the law firm of Simpson Thacher & Bartlett in New York City, which she joined after a judicial clerkship with a United States District Court Judge for the Southern District of California.
Are Facilitating Payments Dead? A look at the FCPA's facilitating payments exception through the Wal-Mart case
Patrick J. O'Malley, Milan-based international corporate and securities lawyer, dually qualified both in the United States and in England & Wales
European Anti-Corruption Update: France, Italy & Spain
Theodore A. Paradise, Partner, Davis Polk
A member of Davis Polk’s Corporate Department, Mr. Paradise is also one of our two resident partners in the Tokyo office. Fluent in Japanese, he has practiced in the Tokyo office since 1991. His primary practice areas include: capital markets, dispute resolution and mergers and acquisitions, including joint ventures. He also regularly advises on: banking, credit, fund formation and private equity. Mr. Paradise regularly advises Japanese companies listed in the United States in connection with their SEC and exchange reporting obligations. In 2010, he advised Sumitomo Mitsui Financial Group and Chuo Mitsui Trust Holdings in connection with their respective SEC registrations.
Mr. Paradise concentrates on mergers and acquisitions and joint ventures, particularly cross-border transactions involving Japanese parties, as highlighted by his role as counsel to Nikko Cordial Corporation (now Nikko Cordial Securities Inc.) in a share exchange with Citigroup Inc. involving the first-ever use of a triangular merger structure by a foreign firm in Japan. More recently, Mr. Paradise has advised on cross-border transactions involving Shionogi, Nippon Mining Holdings (now JX Holdings), Chuo Mitsui Trust Holdings and Nippon Life Insurance.
Mr. Paradise advises clients on a broad array of corporate finance transactions, including privatization and IPOs, representing issuers, underwriters and governments in global and U.S. targeted securities offerings, both SEC-registered and exempt, by Japanese issuers. His capital markets clients have included: The Japanese Ministry of Finance, ACOM, Aiful, Aozora Bank, Canon, Cybird, Dai-ichi Mutual Life, Fuji Television Network, Hitachi, Konami, Millea (now Tokyo Marine Holdings), Nippon Life Insurance, ORIX, Promise, Sumitomo Mitsui Financial Group and Taiyo Life Insurance. He has worked on other capital markets transactions for Bank of Yokohama, Chuo Mitsui Trust Holdings, JR West, Mitsubishi UFJ Financial Group, NEC, Nippon Commercial Investment, NS Solutions, NTT, Oracle Corporation Japan, Plat’Home, RHJ International, Shinsei Bank, Sony and Usen.
Mr. Paradise has represented Japanese companies in SEC investigations and securities litigation, among other matters. He also regularly advises on antitrust, bank regulatory matters and FCPA compliance.
Mr. Paradise advises on the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) as well as the developing body of regulations thereunder.
Anti-Bribery Enforcement and Compliance Challenges in Japan
Kimberly Parker, Partner, Wilmer Cutler Pickering Hale and Dorr
KIMBERLY A. PARKER is a partner at Wilmer Cutler Pickering Hale and Dorr in Washington, D.C. Her practice focuses on white-collar criminal matters, internal investigations and congressional investigations, with a special focus on matters involving the Foreign Corrupt Practices Act. She has represented companies and individuals in a variety of FCPA enforcement matters, including defense company Armor Holdings in its July 2011 FCPA settlement involving conduct related to the United Nations, oil driller Helmerich & Payne in its July 2009 FCPA involving payments to customs officials in Argentina and Venezuela and the Titan Corporation in its landmark 2005 FCPA case. She has conducted internal investigations in the United States, Asia, Africa, Europe and Latin America. She regularly counsels clients on FCPA compliance, assists in developing and conducting FCPA training and compliance programs and conducts anti-corruption due diligence and risk assessments. In addition to co-authoring several articles on the FCPA, Ms. Parker is a co-author, with Roger M. Witten and Jay Holtmeier of the firm’s New York office, of a leading treatise in the field, Complying with the Foreign Corrupt Practices Act (Matthew Bender, 8th ed. 2013). Ms. Parker is ranked for FCPA work in Chambers USA: America's Leading Lawyers in Business. In 2013, WilmerHale’s FCPA practice was named Practice Group of the Year by the Main Justice publication as well as an “FCPA Powerhouse” by Law360.
FCPA Year in Review 2014
Thiago Jabor Pinheiro, Partner, Mattos Muriel Kestener Advogados
Thiago is a Partner, head of the Corporate Ethics & Compliance practice group of Mattos Muriel Kestener Advogados, a full service corporate law firm with offices in São Paulo and Brasília, Brazil. He has advised multinationals and local companies on several aspects of the Clean Company Law and other anti-corruption laws and regulations, including setting up and improving compliance programs, conducting internal and third party due diligence and risk assessments, leading training programs and supervising investigations. Thiago holds a LL.B. from Universidade de Brasília (2006), a Masters of Law from Universidade de Brasília (2009) and a LL.M. from Harvard Law School (2010). Prior to joining the firm, he was a Visiting Lawyer at the New York office of Sullivan & Cromwell LLP (2010-2012).
Brazil: The Clean Company Act and the Changing Risk Landscape for MNCs
Sgt. Pat Poitevin, Senior Investigator – Outreach Coordinator, Royal Canadian Mounted Police, Sensitive and International Investigations, National Division
Sgt. Patrice Poitevin is a 32-year veteran of the Royal Canadian Mounted Police who has worked on proceeds of crime and fraud investigations and is sought for his knowledge on drugs, organized crime and international corruption issues. Sgt. Poitevin has extensive experience in community capacity building. He has developed and/or managed a number of outreach programs and projects at the local, provincial and national levels. He has also provided training at the national and international levels on a range of issues that impact businesses and communities. In his role as senior investigator and outreach coordinator for the Sensitive and International Investigations unit of National Division, Sgt. Poitevin’s mandate is to connect with Canadian businesses and stakeholders in order to provide them information on the RCMP’s global efforts to combat corruption. In addition to sharing information on the costs and impact of corruption on businesses and communities, Sgt. Poitevin advises on tools, strategies and good practices that will minimize risks, help individuals and companies to recognize red flags and enhance the role of businesses in preventing and fighting corruption. Sgt Poitevin has completed studies in business administration as well as the Canadian Securities Course. He is a frequent guest lecturer on Anti-corruption at the MBA and EMBA level, co-founded the Global Anti-Corruption University project and sits on the Canadian committee for the upcoming ISO 37001 Anti-Bribery management system standard.
The New Canadian Anti-Bribery Landscape: Review of CFPOA Amendments and Enforcement Trends
Trevor Potter, Member, Caplin & Drysdale
Trevor Potter is a member in Caplin & Drysdale’s Washington, D.C. office, where he leads the firm’s Political Activity Law Practice. He is one of the country’s best-known and most experienced campaign and election lawyers, and a former Commissioner and Chairman of the Federal Election Commission.
Mr. Potter is a leading authority on lobbying regulation, government ethics and campaign finance issues. He is nationally recognized for his experience in designing compliance programs, responding to campaign finance investigations, and questions concerning lobbying registration and disclosure and federal and state ethics rules. He advises corporations, nonprofit organizations, and candidates on structuring new political efforts and administering their political, lobbying, and issue-advocacy projects.
Mr. Potter served as General Counsel to the Rick Scott 2010 gubernatorial campaign as well as the John McCain 2008 and 2000 presidential campaigns. He also served as Deputy General Counsel to the George H.W. Bush 1988 campaign. He is the founding President and General Counsel of the Campaign Legal Center, a Washington, D.C.-based nonprofit that focuses on campaign finance issues in the courts and before the FEC.
Compliance with U.S. Lobbying and Government Ethics Regulations
Sarah Powell, Global Compliance Manager for Pearson
Sarah Powell is Global Compliance Manager for Pearson, the world's leading learning company. She has spoken and written internationally on the topic of human trafficking and slavery. Sarah works in the Global Compliance Office at Pearson helping to manage risk and due diligence for the company across the globe.
Using Due Diligence to Manage Supply Chain Risks - Bribery, Human Trafficking and Deforestation
Elizabeth Prewitt, Partner, Hughes Hubbard & Reed LLP
Elizabeth Prewitt is an antitrust partner and trial litigator in Hughes Hubbard’s New York office. Her practice focuses on international cartel and criminal matters, government and internal investigations and complex litigation. For 16 years, Ms. Prewitt was an investigator and trial lawyer for the Antitrust Division of the U.S. Department of Justice (DOJ). She served as Assistant Chief of the Antitrust Division’s New York office from 2012-2014 where she managed a team of approximately 25 prosecutors investigating and litigating domestic and international criminal antitrust and fraud cases, as well as civil antitrust matters, with a focus on financial markets.
The Antitrust and Anti-corruption Connection: Bid Rigging in Procurement
Staff Sergeant George Prouse, International Anti-Corruption Unit, Royal Canadian Mounted Police
George Prouse is currently in charge of the RCMP International Anti Corruption Unit in Calgary and has been involved in the Financial Crimes Program for the past 10 years. George has 39 years with the RCMP, including specialized experience in Commercial Crime and Homicide Investigations.
RCMP International Anti-Corruption Units – The Canadian Response
Paul Radu, Executive Director of the Organized Crime and Corruption Reporting Project
Paul Radu is the executive director of the Organized Crime and Corruption Reporting Project, a co-creator of the Investigative Dashboard concept and of Visual investigative Scenarios software and a co-founder of RISE Project, a platform for investigative reporters and hackers in Romania. He has held a number of fellowships, including the Alfred Friendly Press Fellowship in 2001, the Milena Jesenska Press Fellowship in 2002, the Rosalyn Carter Fellowship for Mental Health Journalism in 2007, the 2008 Knight International Journalism fellowship with the International Center for Journalists as well as a 2009-2010 Stanford Knight Journalism Fellowship. He is the recipient of numerous awards including in 2004, the Knight International Journalism Award and the Investigative Reporters and Editors Award, in 2007, the Global Shining Light Award, the Tom Renner Investigative Reporters and Editors Award, the 2011 the Daniel Pearl Award for Outstanding International Investigative Reporting and the 2015 European Press Prize. Paul is a board member with the Global Investigative Journalism Network.
Investigative Journalism, the Media, and Corporate Due Diligence in Eastern Europe
Eileen Radford, Former Director, Member Services and Advocacy, TRACE
Eileen Radford has extensive experience as an attorney specializing in anti-corruption enforcement and compliance. She most recently worked as an Investigator for the Global Fund to Fight AIDS, Tuberculosis and Malaria (the "Global Fund"), focused mainly on investigations in West Africa. She has managed all aspects of investigations into high-level African government officials and agencies accused of corruption, money laundering and fraud. She has also represented the Global Fund on joint missions with the U.S. Government and international organizations. Prior to joining the Global Fund, Eileen worked for several years as an attorney at Miller & Chevalier, where she counseled clients on compliance with the U.S. Foreign Corrupt Practices Act ("FCPA") and other international anti-bribery regulations. She also conducted FCPA-related investigations and assisted in representing clients before the U.S. Department of Justice ("DOJ") and the U.S. Securities and Exchange Commission ("SEC"). Prior to her legal career, Eileen was a journalist in Poland and in Washington, D.C. She is a graduate of the Georgetown University Law Center, and also holds a Master of International Affairs from Columbia University's School of International and Public Affairs.
She is a member of the New York, New Jersey, and Washington, D.C. bar associations.
Anti-Bribery Compliance Audits – A Checklist of Essentials
Susan Ringler, Vice President, Alcoa Chief Ethics and Compliance Officer, Alcoa
Susan Ringler joined Alcoa in June 2013 as Vice President and Chief Ethics and Compliance Officer. In this critical function, Sue leads Alcoa's global ethics and compliance programs and ensures alignment to Alcoa's Values as well as compliance with applicable regulations.
Most recently she was a Deputy General Counsel at Xylem Inc., a global water technology company that was spun off from ITT Corporation in 2011. She is the former Senior Counsel for International Compliance at ITT, where she provided strategy and regulatory advice, as well as oversight and supervision of policies and programs involving compliance with U.S. and foreign laws and regulations. Sue joined ITT In 2006, where she created and implemented its first global anti-corruption program.
The UN Oil for Food Investigation: The Price of Corruption and its Aftermath
Lloyd D. Schoepp, Senior Investigator, International Anti-Corruption Unit, Royal Canadian Mounted Police
Corporal Lloyd Schoepp is a member of the Royal Canadian Mounted Police International Anti-Corruption Unit based in Calgary and conducts investigations of Canadian individuals and companies involved in the bribing of foreign public officials. He has over 9 years with the RCMP, including specialized experience in Commercial Crime. Previous to joining the RCMP, Lloyd spent 11 years working at a financial institution.
RCMP International Anti-Corruption Units - The Canadian Response
Sulaksh Shah, Director, PricewaterhouseCoopers LLP
Mr. Shah is a director in PricewaterhouseCoopers' Global FCPA practice based in Washington, D.C. He routinely works on matters involving the SEC and the US DOJ. Mr. Shah has led FCPA projects in Asia, North America, South America, Africa, as well as Europe. Mr. Shah is the primary contact person in the Global FCPA practice for India and the Middle East. Mr. Shah's FCPA case experience includes FCPA investigations, FCPA compliance assessments and FCPA due diligence projects. Mr. Shah is a CPA, CFE and CFF.
FCPA Financial Risk Assessment
Aleksandr Shkolnikov, Director for Policy Reform Programs, Center for International Private Enterprise
Aleksandr Shkolnikov is Director for Policy Reform programs at the Center for International Private Enterprise (CIPE). He manages a variety of programs on corporate governance, anti-corruption, democratic development and business association advocacy. He has authored a number of articles and policy papers focusing on democratic and economic reform issues in developing countries. A native of Moscow, Russia, Shkolnikov holds a Ph.D. in Economics, a master's degree in International Commerce and Policy, and a bachelors degree in Marketing – all from George Mason University in Fairfax, VA.
The Role of the Private Sector in Combating Institutionalized Corruption in Emerging Markets*
Amy L. Sommers, Partner, K&L Gates LLP in Shanghai
Amy L. Sommers' strong skills in corporate structuring, governance and operations issues in China make her a valued resource to the clients she counsels. A former Chair of the China Committee of the American Bar Association's Section of International Law and a current Vice Chair of the Section's International Anti-Corruption Committee, Ms. Sommers is a frequent speaker and commentator on China issues. Her involvement in China goes back over 25 years, when she first started studying Mandarin, later developing deep appreciation of China's history, politics, culture and legal system. Her clients benefit from her ability to bring these insights to bear on their strategic China projects. Ms. Sommers is the recipient of the 2007 award for Professional Excellence from the Expatriate Professional Women's Society of Shanghai. The Shanghai Financial Arbitration Centre appointed her as one of only 14 foreign arbitrators asked to serve the Centre. Ms. Sommers regularly counsels clients on strategies for compliance with the FCPA and PRC anti-bribery rules, and works to provide global solutions for clients facing the challenges of increasingly complex regulation and intensified global enforcement.
- Anti-Bribery Compliance Strategies for Multinationals Operating in China
- China: 2014 Enforcement Outlook and the Impact of Landmark Cases on Compliance
Lee Stein, Partner, Perkins Coie LLP
Lee Stein, a former Assistant U.S. Attorney and Special Assistant Attorney General, is Co-Chair of the firm's Investigations and White Collar Defense Practice. He is an accomplished trial lawyer who represents Fortune 500 companies and individuals in sensitive internal investigations and criminal prosecutions in both federal and state courts. Mr. Stein has represented a number of public officials accused of various forms of public corruption. He also frequently represents clients in matters alleging fraud, forfeiture, money laundering and RICO.
A particular emphasis of Mr. Stein's practice involves advising companies on compliance with the Foreign Corrupt Practices Act ("FCPA"). Mr. Stein has conducted FCPA investigations all over the world, most recently in Shanghai, Bangalore, Cairo, Brazil, Munich and the Philippines. Mr. Stein has represented businesses in connection with voluntary disclosures of suspected FCPA violations to the U.S. Department of Justice and the Securities and Exchange Commission. He has also worked with companies to develop policies, investigation protocols, training and due diligence practices to ensure compliance with the Act.
Mr. Stein is a frequent speaker on white collar issues. He has trained corporate investigators on conducting internal investigations, appeared on panels on the FCPA and other white collar issues and spoken to in-house counsel on ethical issues in internal investigations. Mr. Stein has also taught classes at the University of Arizona and Arizona State University law schools on corporate criminal issues and the lawyering process.
Anti-Corruption Risk for Private Equity Firms Dealing with Sovereign Wealth Funds
Tom Stocker, Partner, Pinsent Masons LLP
Tom is a regulatory lawyer with expertise in compliance, investigations and corporate criminal defence. He is experienced in cases concerning fraud, bribery, money laundering, export controls & trade sanctions, tax offences, criminal cartels, health and safety and other regulatory offences.
Tom has successfully defended numerous criminal cases and he has represented clients in a number of public inquiries. He has advised on several internal investigations into financial criminality and he is experienced in the making of money laundering disclosures and self-reporting. He recently acted for Abbot Group Limited in a bribery case which led to the first civil settlement with the Scottish public prosecutor.
The Bribery Act 2010 – The SFO’s Approach & International Compliance
Dianne Thomas, Vice President & Compliance Leader, NBC Universal
Dianne Thomas is the Vice President & International Compliance Leader for NBCUniversal, a joint venture between Comcast Corporation and General Electric (USA). From the headquarters of the international operations based in London, Dianne provides compliance oversight and support for operations in Europe, MEA, Latin America and Asia Pacific. Dianne joined GE Money Australia in 1996 and has held management roles in business development and marketing as well as compliance prior to taking up her current role in 2005. She is a qualified accountant and a member of CPA Australia.
Anti-Bribery Challenges in the Global Entertainment and Media Sector
Linda Chatman Thomsen, Partner, Davis Polk & Wardwell LLP and formerly the Director of the SEC’s Division of Enforcement
Ms. Thomsen is a partner in Davis Polk’s Litigation Department and practices in our Washington, D.C. office. Her practice concentrates in matters related to the enforcement of the federal securities laws.
She returned to the firm after serving for 14 years in various positions within the SEC. Ms. Thomsen joined the SEC staff in 1995 as Assistant Chief Litigation Counsel. In 1997, she was named Assistant Director of the Enforcement Division. She became an Associate Director in 2000, Deputy Director in 2002 and was named Director of the Enforcement Division by Chairman William H. Donaldson in 2005, a position she held through February 2009. During her tenure as Enforcement Director, she led the Enron investigation, the auction rate securities settlements, the stock option back dating cases and the expansion of the enforcement of the Foreign Corrupt Practices Act. Prior to joining the SEC, Ms. Thomsen served as an Assistant U.S. Attorney for the District of Maryland.
The U.S. Securities and Exchange Commission: Enforcement Tools and Priorities
Roberto Torres Velasco, Associate, SOLCARGO, Mexico City
Roberto Torres Velasco is experienced in federal and local environmental regulation drafting; environmental counsel, advisory and audit to private and public sector; and emission reduction and certification projects under Kyoto Protocol. He is on the advisory board to the Commission for Environmental Cooperation of North America and an expert in standardization themes. He currently represents a foreign investor in an ICSID investor-state arbitration.
In the academic sector, Mr. Torres Velasco has worked as a substitute professor of Environmental Law at the Universidad Anahuac del Sur (México City). He is also the co-founder of Young Lawyers for the Environment, a not-for-profit association intended for consulting in better environmental protective lawmaking.
Anti-Bribery Enforcement and Compliance Challenges in Mexico
Albert A. Vondra, Senior Partner, PricewaterhouseCoopers LLP
Mr. Vondra is a senior partner PricewaterhouseCoopers' Global FCPA practice based in Washington, D.C. He regularly provides specialized advisory services to attorneys, boards of directors, audit committees and senior management in the area of FCPA and other relevant regulatory regimes. He is a nationally recognized speaker and regular contributor to national and international seminars/ publications on the FCPA. Mr. Vondra is a JD, CPA, CFE and CFF.
FCPA Financial Risk Assessment
Michael Ward Former Senior Director, Compliance Services, TRACE
Michael Ward is both a former federal prosecutor and an experienced chief compliance officer who has built and led award-winning compliance programs at Fortune 500 companies. As Senior Director of Compliance Solutions, Mr. Ward led TRACE’s Advisory Services Practice and provided strategic compliance guidance to members and clients. Most recently, Mr. Ward was Deputy General Counsel and Vice President of Compliance Systems and Investigations with Cisco Systems in San Jose, California. Before joining Cisco, he was the Chief Compliance Officer at Adobe Systems and he had previously established and directed ethics and compliance programs at McKesson Corporation and Target Corporation. As a chief compliance officer, he has built risk-based programs that help senior management prioritize their attention and limited program resources on the most significant risks through enterprise compliance risk assessments and other proactive tools. He has led internal investigations in Russia, China, India, Korea, Indonesia, Thailand, Taiwan, Germany, Poland, Belgium, Spain, Switzerland, United Kingdom, Australia, Singapore and South Africa and other jurisdictions.
For over 16 years, Mr. Ward was an Assistant US Attorney with the U.S. Department of Justice specializing in the prosecution of fraud, public corruption, insider trading, money laundering, price fixing and other white-collar crimes. Before entering public service, he was an attorney with Shearman & Sterling in both New York and San Francisco. He was judicial law clerk to the Chief Judge of the U.S. Court of Appeals for the Tenth Circuit. He graduated from George Washington University Law School in Washington, D.C. and is also a graduate of the University of Minnesota School of Business and Economics. Mr. Ward is based in San Francisco, California.
Conducting an Effective Anti-Bribery Risk Assessment
Howard Weissman, Of Counsel, Baker & McKenzie LLP
Howard Weissman is a counsel in Baker & McKenzie's Compliance & Investigations Practice Group in Washington, D.C.. He has decades of experience in advising on U.S. laws and regulations directly impacting international business operations such as the Foreign Corrupt Practices Act (FCPA) and U.S. antiboycott laws, International Traffic in Arms Regulations, Export Administration Regulations and foreign agency and anti-bribery laws. Mr. Weissman has designed and implemented corporate anti-corruption compliance programs and training programs. He served as vice president and associate general counsel at Lockheed Martin Corporation, where he worked for more than 25 years.
Offsets, Charitable Donations, and Other Foreign Government Requests: What Are the Risks?
Robert Wieck, Forensic Audit Senior Manager, EMEA, Oracle Corporation
Robert Wieck, CPA, CIA, CFE is Senior Forensic Audit Manager, EMEA for Oracle Corporation based in Bucharest, Romania. Mr. Wieck is responsible for conducting compliance investigations across Europe, the Middle East and Africa. Mr. Wieck has 14 years of experience in audit and advisory roles in Big 4 firms in Central Europe and in internal audit/forensic roles for U.S.-listed multinationals. Mr. Wieck is a Certified Public Accountant (U.S.), Certified Internal Auditor and Certified Fraud Examiner.
Internal Investigations in Russia and the CIS
Severin Wirz, Consultant, Eastern and Southern Africa, TRACE
Based out of Nairobi, Mr. Wirz engages with both multinationals and local, small and medium-sized companies operating in the region to develop joint, anti-bribery compliance solutions.
Prior to assuming this role, Mr. Wirz served as Director of Member and Advisory Services at TRACE. In that role, he helped companies to develop compliance program policies and procedures, to conduct enterprise-wide anti-bribery risk assessments, to perform in-person employee training, and to oversee on-the-ground due diligence and training of numerous potential joint venture partners and merger and acquisition targets.
Before joining TRACE, he practiced in the litigation department of Hughes Hubbard & Reed LLP, a New York City-based law firm, specializing in international commercial disputes, corporate bankruptcy as well as government investigations under the Foreign Corrupt Practices Act.
Mr. Wirz is the co-editor of the 2016 and 2014 editions of the How to Pay a Bribe: Thinking Like a Criminal to Thwart Bribery Schemes series, and is a contributing author for the treatise Practicing Under the U.S. Anti-Corruption Laws (2014) (Aspen). He also serves as Vice Chair of the American Bar Association’s International Anti-Corruption Committee, and is admitted to the state bars of New York and New Jersey. He received a B.A. from Columbia University and a J.D. from Cornell Law School.
Anti-Corruption Due Diligence in Mergers and Acquisitions: Uncovering Bribery Risks and Mitigating Potential Successor Liability Issues
Yukiko Yamada, Attorney, Nishimura & Asahi
Ms. Yukiko Yamada is an attorney with the law firm Nishimura & Asahi in Tokyo, Japan, where she practices in the firm’s International Corporate Crisis Management, Compliance, Anti-Trust and Litigation departments. Among other matters, she provides advice on the prevention of bribery of foreign public officials, illegal acts or misconduct of employees, insider trading and information management of business secrets. Ms. Yamada joined Nishimura & Asahi in 2008 after serving as a Public Prosecutor for 11 years. Her previous experience also includes serving as Deputy Director in the Criminal Affairs Bureau of the Ministry of Justice, as well as First Secretary (Legal Advisor) in the Permanent Mission of Japan to the United Nations and Other International Organizations in Geneva. On behalf of the Japanese Government, Ms. Yamada participated in the OECD Working Group on Bribery, the UN Commission on Crime Prevention and Criminal Justice and in the pre-sessions of the G8 Justice and Home Affairs Ministerial Meeting. She has also dealt with extradition procedures and mutual legal assistance on criminal matters.
Ms. Yamada holds an LLB degree from Waseda University, an LLM degree from Harvard Law School and is admitted to practice law in Japan. She publishes articles and conducts seminars on various foreign bribery topics, including how to establish compliance programs and internal control systems in Japanese companies.
Anti-Bribery Enforcement and Compliance Challenges in Japan
Stephen Zimmermann, Director of Operations, Integrity Vice Presidency, The World Bank
Mr. Zimmermann is the Director of Operations for the World Bank Group Integrity Vice Presidency. Mr. Zimmermann directs a multi-disciplinary team of lawyers, investigators, analysts and anti-corruption experts charged with detecting, investigating and sanctioning fraud and corruption in Bank-financed activities. He is also the World Bank Group focal point for the Agreement on Mutual Enforcement of Debarment Decisions among Multilateral Development Banks (MDBs) referred to as “Cross Debarment”. Prior to rejoining the World Bank Group, Mr. Zimmermann was the former Chief of the Office of Institutional Integrity for the Inter-American Development Bank. He also served as the interim Chief of Staff for the Independent Inquiry Committee into the United Nations Oil for Food Program. Mr. Zimmermann had previously worked as the Senior Policy Officer and Senior Counsel for the World Bank’s Department of Institutional Integrity, the predecessor to the Integrity Vice Presidency. Prior to that, Mr. Zimmermann was the Executive Vice President and General Counsel of the Mintz Group, an international research and investigations firm. From 1991 until 1999, Mr. Zimmermann was an Assistant United States Attorney in the District of Maryland. During his tenure as a federal prosecutor, he successfully prosecuted numerous complex cases involving corruption, financial fraud, tax evasion, health care fraud, securities fraud and money laundering. He has worked closely with the major federal law enforcement agencies, including the Federal Bureau of Investigation, the Internal Revenue Service, the United States Customs Service, the Securities and Exchange Commission and the Food and Drug Administration. Prior to joining the United States Attorney’s Office, he worked as an attorney with Wilmer, Cutler & Pickering. His practice involved matters involving securities fraud, white-collar criminal matters and a variety of commercial civil litigation.
World Bank Sanctions and Anti-Corruption Efforts
Lewis D. Zirogiannis, Managing Director, CCO & Supervisory Affairs, GE Energy Financial Services
Lewis D. Zirogiannis graduated from Hofstra University School of Law in New York in 2001 with a JD. He joined GE Energy Financial Services in June 2012 as Managing Director and Chief Compliance Officer. Prior to joining GE, Lewis served as Associate General Counsel and Global Anti-Corruption Officer at American International Group, Inc. (“AIG”) in New York and Core Compliance Leader at Chartis, Inc., a business unit of AIG. Before joining AIG, Lewis practiced law at Hughes Hubbard & Reed LLP and Wilson Sonsini Goodrich & Rosati PC. Lewis also served as judicial law clerk to the Honorable Richard M. Berman, U.S. District Judge, Southern District of New York. In addition to holding a J.D., Lewis is a Certified Fraud Examiner.
Anti-Bribery Challenges for the Financial Services Industry: Risk Areas and Compliance Best
Nikolay Zyryanov, Global youth Anti-Corruption Network Coordinating Board Member
Nikolay Zyryanov is a well-known compliance specialist in Russia who has worked in GE Capital as senior compliance officer, Transneft as due diligence officer, MTS Group as anti-bribery compliance manager and acted as editor-in-chief of a Siemens Integrity Initiative funded site, business-standards.ru. Nikolay also contributed to a Center for International Private Enterprise (CIPE) compliance project in Russia as an Advisory Board member. Currently, he is a board member of World Banks` Global Youth Anti-Corruption network.
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