The ACES Compliance Summit

BENEFIT
FROM
3 EVENTS
IN 1
Purposefully crafted to meet the distinct needs of the international trade community, gain unparalleled
access to a robust 2 day program specially formatted to provide comprehensive, world-class solutions
for traversing the toughest global anti-corruption, export controls and sanctions compliance challenges.
NEW FOR 2015 – FREEPASS!
Move freely between anti-corruption and export controls track sessions to custom build a conference experience.
The ACES Compliance Summit:
Anti-Corruption | Export Controls | Sanctions
The only event dedicated to addressing key anti-corruption, export controls and international
trade compliance challenges in an increasingly interconnected global regulatory landscape
April 21-22, 2015
•
Convene
•
Tysons Corner, McLean VA
“An excellent event. Momentum put together a terrific event,
and I was happy to be a part of it.”
— Head of Compliance Policy, Communications & Regulatory Affairs,
Allianz SE, Global Anti-Corruption Congress Attendee 2013
Whether you specialize in anti-corruption, export controls, sanctions or all three, The ACES Compliance Summit
offers targeted content in each of these areas in addition to advanced, plenary sessions addressing core global
trade compliance challenges. Gain unparalleled access to world-class organizations and subject matter experts as
they share cutting-edge tools and top-level strategies designed to meet the unique needs of the international trade
community.
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LEAD SPONSOR
WORKSHOP PARTNER
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DINNER SPONSOR
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MEDIA PARTNERS
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SUPPORTING ASSOCIATION
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ABOUT MOMENTUM
HOW WE DIFFER
Momentum is an international company that is on a mission to make attending conferences truly valuable again. By providing
every delegate with the highest quality speakers, content and format, full access to the attendee list via Momentum Connect,
complimentary workshop and webinar attendance, and a host of innovative amenities all at an attractive price point, we are
re-setting the conference experience.
With complimentary Wi-Fi, reinvigorated content formats and multiple networking breaks to ensure maximum facetime,
Momentum events are a centralized hub for fueling learning, partnering and idea exchange. With access to Momentum Hosts
who ensure the smooth running of the event and answer any questions you have, a “match and
meet” service, a money-back guarantee and a programming format that blends the
dissemination of critical information with the need for intimate discussion,
Momentum Events are unlike any other event you have ever experienced.
event group
ALL-INCLUSIVE PRICING
We charge one price for access to all aspects
of the event—general session, workshops and
master classes.
NETWORKING
All attendees are provided with access to their
fellow registered delegates in advance of the
conference. Start developing relationships
on your schedule.
MOMENTUM CONNECT
Access your fellow attendees in advance via oour powered online community designed
to enhance the networking experience associated
with attending the event.
MOMENTUM HOSTS
Our pleasant and professional hand-picked team
of greeters and problem solvers have been
specially trained to facilitate the best possible
conference experience.
POST EVENT ACTIVATION WEBINARS
We offer up to three free post-event
webinars to help maintain your
connection with fellow attendees
and continue your learning months
after the conference concludes.
MATCH AND MEET
Services to help facilitate your
introduction to the right people at
the event to make your conference
time even more productive.
A GUARANTEE
We offer a money-back guarantee. If you
attend this event and are dissatisfied simply
tell us after the first day and we will refund
your money in full. This eliminates any risk
for you and helps our team focus on always
providing an exceptional event experience.
* All refunds are subject to Momentum
approval.
www.theacesummit.com
THE ACES COMPLIANCE SUMMIT
Benefit from a conference format that blends plenary and track sessions across content areas,
engineered to maximize interaction and collaboration between and among you and your
peers. Gain proven tools, strategies and compliance-focused best practices for navigating the
myriad of global trade challenges currently facing today’s multi-national organizations.
•Tired of attending several different events a year in order to get the information you need to support your business?
•Interested in meeting Chief Compliance Officers and Senior Legal Counsel from the Fortune 500 who are on the cutting edge
of global trade compliance?
•Looking to directly interact with the industry’s top practitioners and partake in an exchange of solution-based practices that
you can implement immediately?
Join us at the ACES Compliance Summit and be part of a new kind of conference experience
focused on ensuring you derive maximum value from your time away from the office and at a
price you can afford.
300+
EXECUTIVES
Including representatives from the world’s top organizations have attended Momentum’s
Global Trade Compliance events over the past year alone – here’s just a sample:
Vice President and Chief Compliance Officer, Google Inc. • General Counsel, Senior Vice President and Chief Compliance Officer,
UniversalPegasus International, Inc. • Senior Vice President, General Counsel, eMagin • Director, Global Trade Compliance, Xilinx, Inc.
• Vice President, Trade Controls and Export Strategy, Virgin Galactic • Vice President, Deputy General Counsel & Chief Compliance Officer,
McDermott International, Inc. • Senior Attorney, Governmental Programs, IBM • Executive Counsel, International Trade Regulation, General
Electric • Vice President & Deputy General Counsel, 21st Century Fox • Vice President & Associate General Counsel, ATK • Senior Director
Trade Compliance, FutureWei Technologies Inc. • Director, Corporate Export Administration, AECOM • Vice President, International Trade
Compliance, Tyco International Ltd. • Director, Global Trade Compliance, Raytheon Company • Director, International Trade Compliance,
EADS-North America • Director of Global Trade Compliance & Offset, Northrop Grumman Corporation • Director, Strategic Export
Control – Americas, Rolls-Royce Corp. • Corporate Technology Control Officer & Director, Trade Compliance, Elbit Systems of America •
Senior Corporate Counsel, Anti-Corruption Program Office Lead, Pfizer • Assistant GC International Compliance, BAE Systems • Director,
Global Anti-Corruption Team, American Express • Senior Vice President, Co-General Counsel and Chief Compliance Officer, Weatherford
• Vice President Legal, Global Chief Compliance and Ethics Officer, Oracle • Director of Compliance, Legal Department, KBR Inc. • Vice
President & Deputy Chief Compliance Officer, NBC Universal Media LLC • Executive Director, Office of Ethics and Compliance, Boehringer
Ingelheim • Vice President, Chief Compliance & Regulatory Counsel, Covidien • Vice President- Legal, Barclays • Vice President Government
Affairs, Corporate Compliance & Business Ethics, Avis Budget Group, Inc. • Chief Compliance Counsel, CB&I • Senior Vice President, General
Counsel, Corporate Secretary & Chief Compliance Officer, Kosmos Energy • Vice President, Legal General Counsel, Gran Tierra Energy Inc.
• Business Ethics & Anti-Corruption Officer, MasterCard • Vice President - General Counsel and Secretary, Ensco Plc • Vice President, Chief
Compliance Officer, Senior Deputy General, Baker Hughes
80%+ Responsible for anti-corruption, global trade controls, compliance and legal affairs.
“The audience was just the right size – big enough to benefit from diverse views and experiences, but small enough to facilitate
meaningful benchmarking and dialogue. I also appreciated that the topics were current and meaningful for an experience
practitioner…I will definitely take part again.”
— Gwen K. Romack, PMP®, SSGB® Director,
Global Anti-Corruption and U.S. Public Sector Compliance Hewlett Packard
To register visit us online at www.theacesummit.com
www.theacesummit.com
The ACES Compliance Summit:
Anti-Corruption | Export Controls | Sanctions
As foreign contracting continues to expand, the risks associated with anti-corruption, export controls and sanctions violations
grows. Identifying and understanding various international trade laws and policies, in addition to designing and maintaining
an airtight compliance program will be essential for ensuring a successful global trade program. Intentionally crafted for
leaders and practitioners within the international trade community, the ACES Compliance Summit has been specially formatted
to include plenary and track sessions. Whether you specialize in anti-corruption, export controls, sanctions or all three, maximize
your conference experience by customizing the agenda to meet the needs of your global trade program. Key areas of
discussion will include:
TRACK A:
ANTI-CORRUPTION
TRACK B:
EXPORT CONTROLS
•Effective Due Diligence Strategies
for Vetting, Screening, Managing
and Monitoring Third Party
Relationships
•FCPA Internal Investigations:
Best Practices for Coordinating
a Cross-Functional Investigation
•What to Do Once a Violation
is Discovered and Surviving
in the Aftermath
•Export Control Reform
6 Months in Review
•Exploring Functions and
Uses of ITAR and EAR
Controlled Products
Post- and Interim-Reform
•Successfully Obtaining
Key Export Authorizations,
Licenses and Exemptions
PLENARY SESSIONS
•One-on-One: Insights from the Other Side of the
Bribe: Reflections From the Front Lines of
International Business
•Uncovering the Nexus between Export Controls,
Anti-Corruption and Sanctions
•An Inside Guide to Performing an Effective
Compliance Risk Assessment
•Employee Training Strategies for Ensuring a Risk
Aware Workforce That Can Successfully Manage,
Respond To and Promptly Address Threats
•Capitalizing On a Strong Audit, Legal &
Compliance Officer Relationship
Included as part of your registration, meet with your peers in smaller group settings during the
Interactive Roundtable Discussions on:
•
•
•
•
Best Practices for Navigating Foreign Customs and Corruption Legislation in China
Addressing the Top 5 FCPA Compliance Challenges Facing Today’s CCO in the Current FCPA Enforcement Environment
Insights for Strategically Managing Global Technology Transfer Regulations in a Borderless IT Environment
Empowered Officials: An Export Compliance Officer’s Guide to Meeting DDTC Expectations
Exclusively Designed for the ACES Compliance Summit: The Global Sanctions Master Class
Corey Phelps
Sanctions Compliance Officer,
Office of Foreign Assets Control
U.S. Department of the Treasury
Tina Shaughnessy
Counsel & Senior Program Mgr.
International Trade Compliance
GE
John Davidson
Vice President and Global Head
of Anti-Money Laundering
E*TRADE Financial
Master Class Chair:
Scott Maberry
International Law Partner
Sheppard Mullin
Structured in a fashion that allows the content to be set as close to the event as possible, you benefit from an overview of:
• New and emerging sanctions regulations in key high risk jurisdictions
• Jurisdiction-specific license and export requirements
• Insights for handling specific disclosure and screening issues
• Strategies for updating your global sanctions and international trade compliance program
To register, visit the website at www.theacesummit.com
www.theacesummit.com
www.theacesummit.com
THE GLOBAL TRADE ADVISORS
Comprised of a select group of pre-qualified industry leaders, Momentum’s Global Trade Advisors provide guidance on the overall direction of the global trade
event portfolio, including the identification of relevant speakers, emerging hot topics and current and emerging challenges in the global trade landscape.
Darrell Coleman
Vice President,
Trade Compliance
DynCorp International
Thad McBride
Partner, International Trade
Bass, Berry & Sims PLC
Don Fancher
Principal
Deloitte Forensic
Deloitte Financial Advisory Services LLP
Laura J. Molinari
Executive Counsel
International Trade Compliance
GE Corporate Legal
Jennifer Maki
Senior International
Trade Counsel
UTC
Candace Goforth
Managing Director
Goforth Trade Advisors
Scott Maberry
International Law Partner
Sheppard Mullin
SPEAKER FACULTY as of April 17, 2015
Ben Bard
VP, Global Chief Compliance Officer
Archer Daniels Midland
Bobby Butler
SVP, Global Partnership Management
Universal Weather & Aviation, Inc.
Darrell Coleman
VP, Trade Compliance
DynCorp International
Erin Crockett
Director Global Trade Compliance
Colfax Corporation
Catherine Razzano
Assistant General Counsel & Director
General Dynamics Corporation
Karen Jones
Director, Trade Compliance –
Electronic Systems
Exelis Inc.
Johanna Rogers
VP-Compliance &
Chief Compliance Officer
SunGard
Holly Keenan
Director of Export Compliance
Constellis Management Services
Heather C. Sears
VP, Trade Compliance & Associate
Corporate Counsel
DRS Technologies, Inc.
Jennifer Maki
Senior International Trade Counsel
UTC
Tom Donovan
Director, Export Operations
Northrop Grumman
Bahman Farahdel
Global Head of Sanctions and AntiBribery / Anti-Corruption Compliance
Bloomberg L.P.
Janette Filbert
Anti-Corruption Officer & VP,
Compliance
Prudential Financial
Steve Headley
Manager, Technical Advisor Community
Northrop Grumman
Jeff Schwartz
Global Trade Counsel- Ethics
and Compliance
Office of the General Counsel
Hewlett-Packard Company
Mary Menz
VP of Corporate Trade Compliance
Harris Corporation
Lynn Van Buren
Assistant General Counsel,
Global Trade Compliance
Verizon
Ash Mishra
Chief Compliance Officer
Mars Incorporated
Laura J. Molinari
Executive Counsel
International Trade Compliance
GE Corporate Legal
Song Volk
Assistant General Counsel
Inmarsat
WHO YOU WILL MEET AT THE ACES SUMMIT
v Representatives from the Fortune 500 including senior corporate counsel and business executives with responsibility for:
• International Trade
• Global Trade
• Trade Compliance
• Anti-Corruption Compliance/
Global Anti-Corruption Compliance
• FCPA Compliance
• Export Controls
• Trade Controls
• Licensing
• Corporate Compliance/
International Compliance
• Ethics & Compliance
• Business Conduct
• Internal /Corporate Internal Audit
• Internal Investigations/
Global Investigations
• Corporate Fraud
• Compliance Training
• Risk Assessment
v “Who’s Who” of the International Trade bar, including counsel from the nation’s top-ranked practices, as well as counsel practicing in:
• FCPA & Anti-Corruption
• Export Controls
• Government and Internal Investigations
• Corporate Criminal Investigations
• White Collar Crime
•Litigation
•Government Enforcement & Regulation
v Expert forensic accountants and consultants who have been directly involved with recent high profile cases and FCPA and
Export Controls enforcement actions
v Senior Government officials from the U.S. Department of Justice, Securities and Exchange Commission, Bureau of Industry
and Security, U.S. Department of Commerce and U.S. Department of State
ABOUT THE VENUE
CONVENE • TYSONS CORNER, 1800 TYSONS BLVD., WASHINGTON, DC • 855.427.4200
Convene at 1800 Tysons Blvd in Mclean VA is the most technologically advanced conference center in Tysons
Corner, VA. Six resource-rich conference rooms feature state-of-the-art built-in technology and can host up to
200 participants. Fresh, seasonal meals are created in our on-site kitchen to support an enjoyable and healthful
culinary experience. The location, layout, furniture and fixtures of Convene at 1800 Tysons Blvd have all been
designed and coordinated to produce the ideal environment for daytime professional meetings and evening
corporate events.
To register visit us online at www.theacesummit.com
www.theacesummit.com
MAIN CONFERENCE AGENDA
EXCLUSIVE PRE-CONFERENCE SESSION
Day One - Tuesday, April 21, 2015
7:45am
Registration & Breakfast
8:15am
“CATCH ME IF YOU CAN.” A FORMER PROSECUTOR INTERVIEWS HIS FORMER TARGET:
AN UP CLOSE EXAMINATION OF BRIBERY ON THE FRONT LINES OF INTERNATIONAL BUSINESS
Part One – Viewpoints:
During this unique one-on-one interview, Orrick Partner, Billy Jacobson,
who in 2007 as DOJ Assistant Chief for FCPA Enforcement targeted
Richard Bistrong for prosecution in a FCPA investigation, will interview
Mr. Bistrong. Mr. Bistrong will reflect on how he “rationalized” bribery
on the front lines of international business, which ultimately led to his
covert law enforcement cooperation in two countries, and eventually to
his fourteen months of incarceration. Mr. Jacobson and Mr. Bistrong will
also reflect on the process of “flipping” Mr. Bistrong and convincing
him to cooperate undercover. Go behind the scenes with Mr. Bistrong
and Mr. Jacobson into the world of enforcement, corruption and bribery
as they share “real world” compliance insights, examining the practical
challenges that ultimately impact behavior and decisions.
Richard Bistrong
FCPA Speaker and Consultant
Former FBI/UK Cooperator
9:00am
CHAIRS WELCOMING ADDRESS
Lynn Van Buren
Assistant General Counsel,
Global Trade Compliance
Verizon
9:20am
William Jacobson
Partner
Orrick
Part Two – Q&A:
Are there lessons to be learned from Mr. Bistrong
and Mr. Jacobson’s extensive experience for
those working internationally, as well as for those
compliance professionals who are tasked with
helping others to manage overseas corruption
risk? Walk away from this session with invaluable
insights to ensure that your FCPA compliance
programs are structured to address the real-world
challenges which international business teams
face, and to prevent the sending of mixed
compliance messages to the field. Mr. Jacobson
will challenge Mr. Bistrong to address the
thoughts, emotions and temptations that are rarely
discussed or even acknowledged in the discussion
of compliance and ethics.
Jonathan Rusch
Head of Anti-Bribery & Corruption Governance Financial
Crimes Risk Management
Wells Fargo
ICEBREAKER- WHAT’S YOUR ACES IQ?
Kick off the event with a compliance IQ assessment exercise. Start the day with a series of true/ false, multiple choice and
fill in the blank questions that will engage you in a real-time assessment of your working knowledge of ACES.
Attendees will not be required to share their answers, however you will be encouraged to use your score as an
opportunity to self-guide your experience over the course of the two-day event. Maximize your time onsite by aligning
your learning experience to best correspond with your areas of expertise and enrichment.
9:35am
THOUGHT LEADERS IN DIALOGUE: UNCOVERING THE NEXUS BETWEEN EXPORT CONTROLS,
ANTI-CORRUPTION AND SANCTIONS - EXPLORING HEIGHTENED INTER-AGENCY COOPERATION
AND WHAT COMPANIES NEED TO KNOW TO SURVIVE THE NEXT ERA OF INTERNATIONAL
TRADE ENFORCEMENT
During this insightful panel, hear how anti-corruption, export controls and sanctions enforcement is overlapping and
explore recent case studies where an FCPA investigation has opened the door to export and sanctions violations. Identify
what controls companies need to put into place to avoid government investigations and learn what remedial steps to take
should the government come knocking.
Adrienne Braumiller
Partner
Braumiller Law Group PLLC
Bobby Butler
Senior Vice President, Global Partnership Management
Universal Weather & Aviation, Inc.
Bahman Farahdel
Global Head of Sanctions and Anti-Bribery/
Anti-Corruption Compliance
Bloomberg L.P.
Catherine Razzano
Assistant General Counsel & Director
General Dynamics Corporation
To register visit us online at www.theacesummit.com
www.theacesummit.com
MAIN CONFERENCE AGENDA (continued)
10:20am
COMPLIANCE HEALTH CHECK: AN INSIDE GUIDE TO PERFORMING AN EFFECTIVE COMPLIANCE
RISK ASSESSMENT - PRACTICAL TIPS FOR UNEARTHING WEAK SPOTS IN YOUR INTERNATIONAL
TRADE COMPLIANCE PROGRAM
•Defining a compliance risk assessment- who is involved, what is the scope, how often should it be done?
•How to determine if your current compliance program is meeting the needs of your global business operations
•Identifying when to take a deeper look – ensure your team knows what triggering red flags are within your global
compliance organization
•What to do with the results – deciding when and how to take corrective action based on findings from the assessment
•Assessing the assessment – maintaining a record and auditing the process for future assessments and duplication
across jurisdictions
Darrell Coleman
Vice President, Trade Compliance
DynCorp International
11:05am
Refreshment Break
11:25am
TRACK SESSION 1
Bob Schuettler
Vice President, International Regulatory Affairs
Vista Outdoor Inc.
Thad McBride
Partner, International Trade
Bass, Berry & Sims PLC
TRACK A: ANTI-CORRUPTION
AN INTERVIEW WITH THE SEC AND DOJ: AN INTERACTIVE DIALOGUE ON CURRENT ANTI-CORRUPTION
ENFORCEMENT PRIORITIES
•Overview of the top anti-corruption prosecutions and what recent cases reveal about trends in FCPA enforcement
priorities and corporate targets
•What role international, multi-agency cooperation has played in recent FCPA prosecutions
•Common red flags for enforcement – understanding the range of behavior that can trigger a deeper look
by the Government
•Advice on how to update global compliance protocols in light of “guidance” included in recent settlement
agreements, DPAs and NPAs
•Addressing what lies ahead - high risk jurisdictions, sweep activity, facilitation payments
Time will be reserved at the conclusion of the session for Q&A with the panel.
Tracy Price
Assistant Director, FCPA Unit, Division of Enforcement
U.S. Securities and Exchange Commission
Leo Tsao
Assistant Chief, FCPA Unit
U.S. Department of Justice
In Conversation With:
Charles Duross
Partner
Morrison Foerster
TRACK B: EXPORT CONTROLS
AN INTERVIEW WITH THE DDTC: AN INTERACTIVE DIALOGUE ON CURRENT EXPORT ENFORCEMENT
PRIORITIES
Hear directly from Government representatives as they discuss the year’s most high profile investigations and share
insights into common red flags that trigger Government enforcement. At the conclusion of the panel, attendees will
be provided with an overview of lessons learned from these investigations as well as best practices and practical
compliance tips for mitigating exposure to downstream liability and ensuring your company does not become the
subject of an enforcement action.
Time will be reserved at the conclusion of the session for Q&A with the panel.
Sue Gainor
Director
Defense Trade Controls Compliance
U.S. Department of State
In Conversation With:
Harry L. Clark
Partner
International Trade & Compliance
Orrick
To register visit us online at www.theacesummit.com
www.theacesummit.com
MAIN CONFERENCE AGENDA (continued)
12:15pm
TRACK SESSION 2
TRACK A: ANTI-CORRUPTION
THE CCO’S THIRD PARTY RULEBOOK: EFFECTIVE DUE DILIGENCE STRATEGIES FOR VETTING, SCREENING,
MANAGING AND MONITORING THIRD PARTY RELATIONSHIPS
Benchmark your current approaches for evaluating potential third parties and partners with those of Chief
Compliance Officers representing diverse industries that work routinely with third parties. Benefit from the
lessons learned of those who have crafted and put their own strategies to the test and found them to be most
useful when working with third parties across jurisdictions. Topics to be discussed during this session will
include tried and true insights for:
•Developing a targeted, risk-based and right-sized approach for vetting potential partners and subagents –
exploring effective tools for vetting third parties
•Conducting effective due diligence re-screening - how often to re-screen certain third parties and partners
based on risk exposure
•Ensuring ongoing oversight of third parties is undertaken-practical strategies for continuously evaluating
compliance with the terms of the contract as agreed upon – what terms to include in your contract
•Establishing a process to verify third party compliance with your corporate compliance program
• Compliance certifications
• Continuous/periodic training benchmarks
• Certifying codes of conduct
• Utilizing transaction proactively detect and actively monitor and audit people, partners and payments
Ben Bard
Vice President,
Global Chief Compliance Officer
Archer Daniels Midland
Ash Mishra
Chief Compliance Officer
Mars Incorporated
In Conversation With:
Marshall Billingslea
Director
Deloitte Financial Advisory Services LLP
Johanna Rogers
Vice President-Compliance
and Chief Compliance Officer
SunGard
TRACK B: EXPORT CONTROL REFORM
THOUGHT LEADERS IN DIALOGUE: EXPORT CONTROL REFORM 6 MONTHS IN REVIEW: A LOOK AT
WHERE WE ARE AND HOW FAR WE STILL HAVE TO GO
During this exclusive panel, take note as leading government officers exchange insights and knowledge while
providing a status update on the Export Control Reform. Listen in as panelists discuss the major strides that have
been made in the past year, including the transfer of certain military aircraft, vehicles, ships and related parts and
components to the CCL- as well as impending transfers of satellite-related and certain military electronic items.
Furthermore take note as they share ambitious plans for the next year, including publishing the few remaining
categories in proposed form, working through public comment, revising and simplifying encryption controls and
explore a new area of focus-cyber-intrusions and data exfiltration.
Matthew Borman
Deputy Assistant Secretary of Commerce
for Export Administration
Bureau of Industry and Security
Department of Commerce
1:00pm
Karen Nies-Vogel
Director, Office of Exporter Services
Bureau of Industry and Security
Department of Commerce
Networking Luncheon
To register visit us online at www.theacesummit.com
Ed Peartree
Director
Defense Trade Controls Policy
U.S. Department of State
www.theacesummit.com
MAIN CONFERENCE AGENDA (continued)
2:00pm
TRACK SESSION 3
TRACK A: ANTI-CORRUPTION
MOCK EXERCISE: FCPA INTERNAL INVESTIGATIONS- BEST PRACTICES FOR COORDINATING A CROSSFUNCTIONAL INVESTIGATION TEAM, AND FISHING OUT ALLEGED CORRUPT ACTIVITY WHILE REMAINING MINDFUL OF GLOBAL PRIVACY REGULATIONS
During this interactive session learn what steps to take when conducting an internal investigation into potential
or suspected violations under the FCPA and foreign anti-bribery regulations. Attendees of this session will benefit
from an advanced discussion of how to remain mindful of key global privacy regulations while conducting your
investigation, practical tips for forming an effective investigation team and key red flags the Government often
looks for when checking into potential violations of the FCPA. Points of discussion during this panel will include:
•How to properly set the scope for your investigation from the outset
•Who should/should not be involved conducting the investigation – in-house counsel, outside counsel, both?
•When the circumstances and timing are right to initiate an investigation – how to know when it’s time to dig
a little deeper
•What to do with the results of the investigation once concluded
•How to interact with Government should they request the findings of your investigation
•How to navigate data privacy law and privilege issues when conducting an investigation
Ron Schwartz
Partner
Deloitte Financial Advisory Services LLP
Nathaniel Edmonds
Partner
Paul Hastings
TRACK B: EXPORT CONTROLS
EXPLORING FUNCTIONS AND USES OF ITAR AND EAR CONTROLLED PRODUCTS POST- AND INTERIM-REFORM: PRACTICAL TIPS FOR MAKING PROPER JURISDICTIONAL AND CLASSIFICATION DETERMINATIONS
•Distinguishing items covered under the ITAR vs. the CCL
•How to address various factors that can impact jurisdiction
•Commercial and “dual use” items – understanding when the ITAR does/does not apply
•Effective strategies for tackling unique classification issues surrounding • Foreign commercial products, technology and related services
• Unclassified defense articles
Mary Menz
Vice President of Corporate Trade Compliance
Harris Corporation
Chuck Barry
Of Counsel - Export Controls - Contracts - ADR
Eckland & Blando LLP
To register visit us online at www.theacesummit.com
www.theacesummit.com
MAIN CONFERENCE AGENDA (continued)
2:45pm
TRACK SESSION 4
TRACK A: ANTI-CORRUPTION
TO DISCLOSE OR NOT TO DISCLOSE: WHAT TO DO ONCE A VIOLATION IS DISCOVERED AND SURVIVING
IN THE AFTERMATH
•5 steps to take immediately when a violation is suspected
•Exploring the DOJ’s latest alternative to prosecution: the “restitution and remediation agreement”
•How to structure voluntary disclosure so as to minimize downstream exposure to an outside audit
•Addressing disclosure challenges when multiple parties are involved in the transaction being reported
•What’s next – anticipating and preparing for a directed/outside audit and enforcement
•Strategies for successfully implementing remedial measures
Jennifer Maki
Senior International Trade Counsel
UTC
Pamela Parizek
Advisory Partner
KPMG LLP
TRACK B: EXPORT CONTROL REFORM
PREPARING FOR REVISIONS TO LICENSING REQUIREMENTS- SUCCESSFULLY OBTAINING KEY EXPORT
AUTHORIZATIONS, LICENSES AND EXEMPTIONS IN AN EVOLVING GLOBAL REGULATORY ENVIRONMENT
Join in on this comprehensive discussion to learn how export officers and senior trade counsel are navigating the
latest licenses and exemptions to improve efficiency and expedite processes. Additionally, speakers will explore:
•US export authorization management in a global community
•Effective agreement strategies
•How BIS and DDTC are reviewing license applications post-reform
•What items and technical data are affected by the new rules
•Exploring recent global agreements and determining if and when to use a Technical Assessment Agreement
(TAA) and Strategic Trade Authorization (STA)
•Utilizing the US-UK and Australia Treaty for efficient trading practices
Laura J. Molinari
Executive Counsel
International Trade Compliance
GE Corporate Legal
Song Volk
Assistant General Counsel
Inmarsat
3:30pm Afternoon Refreshment Break
3:45pm
TRACK SESSION 5
TRACK A: ANTI-CORRUPTION
THOUGHT LEADERS IN DIALOGUE: THE ERA OF THE WHISTLEBLOWER - HOW TO ENSURE YOUR
COMPANY IS BEST PREPARED TO PREVENT OR RESPOND TO WHISTLEBLOWER ALLEGATIONS
During this insightful panel, hear from leaders within the government as well as compliance officers from top
organizations as they engage in discourse on the whistleblower provision and the importance of having a working
system in place. Examine the facts behind recent whistleblower rewards and identify practical solutions and tools
for ensuring your whistleblower hotline is effective and employed.
To register visit us online at www.theacesummit.com
www.theacesummit.com
MAIN CONFERENCE AGENDA (continued)
TRACK B: EXPORT CONTROLS
SPEAKING THE SAME LANGUAGE: BRIDGING THE KNOWLEDGE GAP BETWEEN EMPOWERED OFFICIALS
AND ENGINEERS
How often to do you find yourself trying to translate the technical and scientific information you receive from your
engineer into usable data? Conversely, what communication strategies are you employing to ensure that your
engineering teams adequately and accurately understand complex regulations and legalese?
Having a clear understanding of key terminology and how particular items works is paramount to for streamlining
processes, performing your job to the best of your ability and ensuring that compliance protocols are met. During
this exclusive interview, listen-in as an Empowered Official and Engineer engage in an open dialogue as they
address the challenges, communication and translation hurdles that are shared by both sides as well as best
practices for getting beyond them.
Tom Donovan
Director, Export Operations
Northrop Grumman
Steve Headley
Manager, Technical Advisor Community
Northrop Grumman
4:30pm Open Q&A, Day One Concludes
4:30-5:30pm COCKTAIL RECEPTION Sponsored by:
Day Two - Wednesday, April 22, 2015
8:10am
Chair’s Remarks and Recap from Day One
8:30am
ANTI-CORRUPTION AND EXPORT CONTROLS ROUNDTABLE DISCUSSIONS
Benefit from the opportunity to sit side-by-side with your peers as you discuss discrete anti-corruption and export control
compliance issues. Sit at one table session for the entire time or rotate to the second table topic after 20 minutes.
TRACK A ROUNDTABLES: ANTI-CORRUPTION
Session One: Best Practices for Navigating Foreign Customs and Corruption Legislation in China
Session Two: What Keeps You Up at Night? Addressing the Top 5 FCPA Compliance Challenges Facing
Today’s CCO in the Current FCPA Enforcement Environment
Janette Filbert
Anti-Corruption Officer and VP, Compliance
Prudential Financial
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Anti-Corruption Experts
with 2800+ members
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@momentumeventco
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MAIN CONFERENCE AGENDA (continued)
TRACK B ROUNDTABLES: EXPORT CONTROLS
Session One: Insights for Strategically Managing Global Technology Transfer Regulations in a Borderless
IT Environment
Jennifer Maki
Senior International Trade Counsel
UTC
Jeff Schwartz
Global Trade Counsel- Ethics and Compliance Office
Office of the General Counsel
Hewlett-Packard Company
Session Two: Empowered Officials: An Export Compliance Officer’s Guide to Meeting DDTC Expectations
and Ensuring Your EO Has a Clear Understanding of Required Duties and Responsibilities
Holly Keenan
Director of Export Compliance
Constellis Management Services
9:15am
Karen Jones
Director, Trade Compliance – Electronic Systems
Exelis Inc.
ANTI-CORRUPTION AND EXPORT CONTROLS ROUNDTABLE DISCUSSIONS
TRACK A ROUNDTABLE: ANTI-CORRUPTION
Session One: Exploring Your Books and Records with an FCPA Eye: Highlighting What Should Be Your Top
5 Books and Records Enforcement Red Flags
David Stuart
Partner
Cravath
TRACK B ROUNDTABLE: EXPORT CONTROLS
Session Two: World-Class Strategies for Minimizing Un-Authorized Re-Exports- Valuable Tools and Insights
for Successfully Navigating Extraterritorial Transfers
Heather C. Sears
VP, Trade Compliance & Associate Corporate Counsel
DRS Technologies, Inc.
9:45am Refreshment Break
10:15am
EMPLOYEE TRAINING STRATEGIES FOR ENSURING A RISK AWARE WORKFORCE THAT CAN
SUCCESSFULLY MANAGE, RESPOND TO AND PROMPTLY ADDRESS THREATS
•Insights for best structuring your local compliance organization – do you have the right team in place to do the job?
•Resource maximization – best practices for effectively training employees on a global scale when working with
limited resources
•Training protocol by risk level – how to outline effective training measures for employees based on operation with
low risk vs. high risk markets and points for exposure
•Ownership and empowerment – how to train locally-based management and employees to properly vet, identify and
address risk and also ensure the trickle down of compliance within partner organizations, third parties and vendors
Erin Crockett
Director Global Trade Compliance
Colfax Corporation
Eileen Radford
Director, Member Services and Advocacy
TRACE International
To register visit us online at www.theacesummit.com
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MAIN CONFERENCE AGENDA (continued)
11:15am
BUSINESS TALK: HIGH SPEED, HIGH IMPACT - CAPITALIZING ON A STRONG AUDIT, LEGAL &
COMPLIANCE OFFICER RELATIONSHIP
Often siloed within enterprises, hear as industry leaders provide useful insights on how to bridge the gap between
audit, legal and compliance departments to ensure that bribery and corruption risk are spotted early with an eye
towards minimizing corruption risk exposure.
Janette Filbert
Anti-Corruption Officer and VP, Compliance
Prudential Financial
Jonathan Rusch
Head of Anti-Bribery & Corruption Governance
Financial Crimes Risk Management
Wells Fargo
Michael F. Zeldin
Special Counsel
Buckley Sandler
12:15pm Conference Closing Remarks
LUNCH FOR SANCTIONS MASTER CLASS ATTENDEES ONLY
SANCTIONS MASTER CLASS
1:00pm
DELOITTE’S SANCTION SURVEY RESULTS
Michelle Pakula
Manager
Deloitte Financial Advisory Services
1:15pm
GLOBAL SANCTIONS UPDATE ON NEW AND EVOLVING SANCTIONS REGULATIONS IN KEY
HIGH RISK JURISDICTIONS
Benefit from a comprehensive update on new and emerging sanctions regulations in key high risk jurisdictions as
you are immersed in a deep dive discussion of what your organization needs to know before engaging in trade these
jurisdictions. Structured in a fashion that will allow the content to be set as close to the event as possible so as to ensure
the content is relevant and focused in on the key countries of concern in April 2015, attendees of this session will benefit
from an overview of jurisdiction-specific license and export requirements, insights for handling specific disclosure and
screening issues as well as strategies for updating your global sanctions and international trade compliance program
to ensure it is in line with protocols across your anti-corruption and export controls compliance program.
Corey Phelps
Sanctions Compliance Officer,
Office of Foreign Assets Control
U.S. Department of the Treasury
4:15pm Workshop Ends
Tina Shaughnessy
Counsel, International
Trade Controls
GE
John Davidson
Vice President and Global Head
of Anti-Money Laundering
E*TRADE Financial
Master Class Chair:
Scott Maberry
International Law Partner
Sheppard Mullin
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THE ACES SUMMIT
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