备有中英翻译
ACI
Chinese-English
translation provided
8th Advanced China Forum on
Anti-Corruption
第八届中国反腐合规论坛
June 16 – 18, 2015 | Langham Xintiandi. Shanghai
Meet and Learn from an Exclusive Faculty of Senior Industry Speakers:
Standard Chartered Bank
UBS
AstraZeneca
BASF China
Dover
BP Lubricants
Eaton
Wyeth Nutrition
DSM
Tyco
Haier
Microsoft
CHC Healthcare
Zimmer
General Electric
Bosch
UCB Pharma
Honeywell
Nobel Biocare
IBM
Morgan Stanley Huaxin Securities
United Technologies
TUV Rheinland
Sino French Water Development
Company
ABB
Caterpillar
New Panels for 2015 Based on Recent Enforcement Activity and
Where Companies Face the Most Risk:
Conference Co-Chairs
• How to Avoid Being the Next Target: How Recent Chinese Government Enforcement
Activity Affects Compliance Programs in China
• Update on the Latest FCPA Investigations and Penalties Involving China
• Government Relations in the Chinese Landscape: Do’s and Don’ts for a Compliant and
Long Term Anti-Corruption Strategy
• How to Minimize Distributors and Channel Partners Risks: Focus on Audit Rights
• Practical Review of Complex Whistleblower Issues in China: Who Qualifies as a
Whistleblower, Legal Protections and Essential Steps when a Report is Filed
• Where Companies Go Wrong with Internal Investigations in China
• Managing and Responding to a Crisis: What to Do in the First 2 Weeks
• Latest Developments in Compliance Officer and Legal Counsel’s Liability and
Personal Responsibility
How to Upgrade Your Compliance Strategy — Learn How to:
 Allocate Human, Financial and Technical Resources to Optimize Anti-Corruption
Compliance and Third Party Management Programs
 Use High-Tech Tools and Channels to Detect and Prevent Employee Wrongdoing
 Minimize Corruption Incentives in your Sales and Marketing Operations: Focus on
Corporate Events, Sponsorship, and Kickback Schemes
 Leverage Data to Improve to Detect Early Sign of Corruption and Monitor Your Business
Lead Sponsor:
Agilent
Porsche
Unilever
Texas Instruments
3M
Dow Corning
Anheuser-Busch InBev
Baxter Healthcare
Keysight
Beatrice M. Schaffrath
UTC Global Ethics & Compliance Counsel – China
United Technologies
Katharine A. Bostick
Director, Compliance & Litigation
Microsoft
!
PLUS
Benefit from 2 New and Practical
Working Groups: June 18, 2015
A
How to Handle More Frequent Police, PSB, AIC and
PR Anti-Corruption Investigations in China
B
Third Party Management Benchmarking LAB
(Learn, Analyze Brainstorm)
Sponsors:
Earn
CLE
Credits
Earn
CPE
Credits
Media & Association Partners:
KILPATRICK TOWNSEND & STOCKTON LLP
Register Now | 44 20 7878 6888 | AmericanConference.com/AntiCorruptionChina
Unparalleled networking and benchmarking opportunities at China’s premier anti-corruption
compliance conference. An international faculty of senior-level executives who will provide you
with knowledge you can’t get anywhere else. No other conference delivers this much value.
For the past 8 years, ACI has produced the acclaimed China Forum on Anti-corruption. Every year, in-house counsel, ethics and compliance
executives, forensic accountants, finance and internal audit executives as well as senior attorneys and accountants from China and around the globe
attend our flagship forum. Reserve your place today for what’s regarded as the Anti-corruption event of the year in China.
It’s Where All the Key Industry Players Are!
Benchmark Best Practices and Tailor Strategy to your Company
There is a very limited number of attorneys or company executives who
can call themselves truly qualified anti-corruption or FCPA experts, and
even fewer who have successfully defended numbers enforcement actions
or built compliance program in China. Our event features the highest
concentration of these experts of any anti-corruption conference.
ACI’s Anti-corruption Conference is attended every year by senior
representatives from Oil and Gas, Aerospace, Technology, Telecom, Real
Estate, Pharma, Financial Services, Manufacturing, Retail and Food
industries. ACI has been holding FCPA and anti-corruption events
for more than 15 years all over the world, which means that you are
virtually guaranteed to gain first-hand insights on the specific challenges
in dealing with China anti-corruption compliance.
Focusing on Innovative Solutions
ACI delicates more than six months of solid research into producing
every anti-corruption conference. This means that you benefit from
original, innovative and highly relevant contents and solutions rather
than recycled presentations. You are also able to benchmark with other
companies in the same industry and learn the insights on their daily
Anti-corruption compliance
Unparalleled Networking Opportunities!
The “critical mass” of more than 100 industry leaders attending one
flagship event ensures that you will be able to connect and reconnect
with the people who are most important to your business, in the most
efficient manners.
Reserve your place today before the conference is sold out. Advance pricing and group rates are available.
大会第一天：6月16日周二
9:00
大会主席致辞
14:30
9:15
如何避免成为下一个调查的目标：最新中国政府反腐执法的经验教训和
对企业在中国反腐工作的影响
分析中国纷繁复杂的举报人问题：谁才是真正意义的whistleblower，
举报后的法律保护及应采取的措施
15:15
前美国反腐检查官对最新有关企业在中国的FCPA案件的分析
10:15
如何维护及保持与政府的关系，及长期反腐策略
15:45
茶点休息
11:00
茶点休息
16:00
如何减少销售及市场人员的腐败诱惑：聚焦公司活动，赞助和回扣
11:15
如何降低经销商及其渠道的腐败风险经验的分享
16:45
12:15
内部调查最易犯的十大错误
减少在建筑工程和资本投资项目中的腐败，反贪污及经济衰退对项目的
影响
13:15
互动午餐
17:15
案例分析：复杂的娱乐和礼品案例和规则
18:00
会议第一天结束
13:45
如何控制员工的腐败风险：政府对员工背景调查，薪资结构的新规定；
如何使人力资源成为企业合规的守门员
会议第二天 6月17日 周三
9:00
大会主席致辞
9:05
如何在最初的两周内应对和管理危机
10:05
首席合规官圆桌讨论：如何利用公司人力资源，金融及IT部门控制腐败
和管理第三方
14:30
如何减少涉及旅行社的腐败风险： 如何对潜伏文件进行审计
15:15
茶点休息
10:50
茶点休息
15:30
反垄断和反腐败的交点：什么是正确的价格政策
11:00
如何运用数据分析及早发现和管理腐败问题
16:15
合规官个人承担的责任和义务
11:45
创新话题讨论：企业运用新技术防止员工腐败
17:00
大会结束
12:30
互动午餐
6月18日 周四
互动工作室A (9:00-12:30)：
如何应对纷繁的警察，纪委，工商局各部门反腐调查
互动工作室B (13:00-17:00)：
第三方腐败风险防控室
中文请咨询 会议监制 Jacqueline Xu j.xu@AmericanConference.com
Who You Will Meet at this Premier Event:
✓✓ Vice President and Directors of:
• Asia –Pacific Compliance
• Ethics and Global compliance
• Business Conduct and
Investigations
• Internal/Corporate Audit
2
Join the Conversation
• Corporate Responsibility
• Regulatory and Government Affairs
✓✓ General Counsel
✓✓ Anti-Competition Counsel
✓✓ Chief/Regional Legal Officer
✓✓ International Compliance Counsel
Anti-Corruption/FCPA
✓✓ Compliance and Litigation Counsel
✓✓ Compliance and Ethics Officers
✓✓ Controllers and Internal Auditors
✓✓ International Contract Managers
✓✓ Outside Counsel specializing in:
• International Compliance
• White Collar Crime
• Internal Investigations
• FCPA and Anti-Bribery
✓✓ Forensic Auditors
Day 1: Tuesday, June 16, 2015
8:00
Registration Begins and Coffee/Tea Served
9:00
Conference Co-Chairs Opening Remarks
11:15
Joyce Wong
Asia Pacific Ethics and Compliance Director
Eaton (Shanghai)
Beatrice M. Schaffrath
UTC Global Ethics & Compliance Counsel – China
United Technologies Corporation (Shanghai)
Jun Li
Senior Counsel and Trust & Compliance Officer
Greater China Group
GMU Business Partner Programs
IBM (Beijing)
Katharine A. Bostick
Director, Compliance & Litigation
Microsoft (Beijing)
9:15
How to Avoid Being the Next Target: What Can
Be Learned from Recent Chinese Government
Enforcement Activity and How it Affects
Compliance Programs in China
Randal Phillips
Managing Partner
Mintz Group (Beijing)
• How to establish appropriate front-end vetting and screening
protocols based on the type of relationship and level of risks
• Core elements of a pre-engagement distributor or channel partner
due diligence
• Spotting warning signs including non-standard pricing, lack of
beneficiary disclosures, and use of offshore agents
• Knowing what kind of information you are entitled to before
and during the relationship
• Do’s and don’ts when conducting the audit
• What to do if you discover a problem
• Knowing how far down the chain to explore
Sheana Chen
North Asia Legal Director
Texas Instruments (Shanghai)
Edwin C. Li
General Counsel & Compliance Officer
Legal, Insurance & Intellectual Property
BASF China (Shanghai)
Emmanuel Vignal – Panel Moderator
Partner, Fraud Investigation & Dispute Services
EY, Greater China
• Practical review of recent high profile China bribery cases:
Key highlights and risk areas for companies and their executives
• Current industry sectors and bribery schemes that have been
targeted by Chinese enforcement authorities
• Investigative procedures used by SAIC, Police, Party Discipline
Commission, and what they are looking for during the investigation
• What is driving current Chinese Government crackdown on bribery
• How China anti-bribery enforcement activity is affecting the
global compliance landscape
• What companies operating in China should focus on to strengthen
their China compliance initiatives
10:15
Government Relations in the Chinese
Landscape: Dos and Don’ts for a Compliant
and Long Term Anti-Corruption Strategy
Seth Yu
Compliance Officer
CHC Healthcare (Shanghai)
Leo Zhou
Executive Vice President, Legal
Sino French Water Development Company Limited (Shanghai)
Wu Wei
Partner
King & Wood (Beijing)
• The importance of setting up a function in the organization
dedicated to deal with government relationships
• Bottom line between business mode, culture and bribery
• What to do to always keep up with latest enforcement activity
• How and who to interact with, and how to show to government
that your company has compliant practices
• How to communicate with government when you receive an
investigation request
• When and how to communicate with Chinese authorities
regarding a violation? How much are you legally required to do?
11:00
Best Practices to Minimize Distributors and
Channel Partners Risks: Focus on Audit Rights
12:15
Where Companies Go Wrong with Internal
Investigations in China: Focus on the Top 10
Pitfalls
YunXia (KATE) Yin
Partner
Fangda Partners (Beijing)
Beatrice M. Schaffrath
UTC Global Ethics & Compliance Counsel – China
United Technologies Corporation (Shanghai)
Frank Chen
Legal Director
Wyeth Nutrition (Shanghai)
Amy L. Sommers
Partner
K&L Gates (Shanghai)
• How to conduct an appropriate and effective internal investigation
in China in compliance with China state secret law considerations
• What kind of data privacy pitfalls companies need to pay
most attention to: audit work papers, personal information,
background, technical know-how, work records, emails
• How to track and investigate information while protecting
company and employee’s data secrets
• How to collect effective evidence and secure records
• How social media, blogs, we-chats and industry groups are serving
as a form of checks and balance and how to minimize risks
instigated through social media
• How to determine the scope of an internal investigation and the
action plan
• Interview: Deciphering what interviewee is really saying and not
saying
• Employment decisions: which employees to terminate, which to
rehabilitate and how
• Customers: what and when make disclosures to customers
• Responding to Chinese government inquiries resulting from US
or UK disclosures
Coffee and Tea Break
Register Now | 44 20 7878 6888 | AmericanConference.com/AntiCorruptionChina
3
13:15
Networking Luncheon
14:30
Practical Review of Complex Whistleblower
Issues in China: Who Qualifies as a Whistleblower,
Legal Protections and Essential Steps when a
Report is Filed
• How to demonstrate to front-end business development department
that compliance is a competitive advantage not a hindrance to
doing business
• Closer analyzing the compensation structure: how to ensure the
compensation doesn’t inadvertently encourage employees to turn
a blind eye to compliance
• Assessing the risk of third party vendors that handle marketing
and sponsorship activities: how to ensure the message sinks
in on the importance of compliance
• Best practices for minimizing risk when organizing conferences,
travel arrangements, sponsorships, kickback advisory boards
and entertainment
• Communicating with business operations to understand the local
reality, culture and behavior and the differences of operating in
one province versus another
• What are incentive options to encourage business people to control
and manage bribery behavior
• Benchmarking on how to engage sales, marketing to commit to an
anti-bribery compliance program
Mimi Yang
Partner
Ropes & Gray LLP (Shanghai)
Catherine Wang
General Counsel
DSM (Shanghai)
Matthew J. Nolan
Manager of Governance and Compliance, Greater China
Senior Counsel
Dow Corning (Shanghai)
Craig Katerberg
Legal Director
Anheuser-Busch InBev Services, LLC (Shanghai)
16:45
• Knowing what steps to take immediately once a claim has
been made
• How to establish contact with a whistleblower
• Strategies to managing and interviewing the employee in different
stage during the investigating process
• How to streamline the process when receiving a report from
employees
• Creating prescribed procedures for different kinds of whistleblowers,
plaintiff ’s counsel, competitors
• Working effectively with HR and audit team in different phases
• How to address and respond to claims or reports that make
incorrect assumptions or include incorrect facts
• UK new rules on incentivizing whistleblower
• Discuss the challenges and solution for social media whistleblower
• Disclosure protocol to the Board and Audit Committee
• How to protect a whistleblower
15:15
15:45
Coffee and Tea Break
16:00
Minimizing Corruption Incentives in your Sales
and Marketing Operations: Focus on Corporate
Events, Sponsorship, and Kickback Schemes
David Du
General Counsel
Bosch (Shanghai)
Angela Main
Regional Vice President, Legal & Compliance, APAC
Zimmer Pte Ltd. (Singapore)
Scott L. Marrah
Partner
Kilpatrick Townsend & Stockton LLP (Atlanta)
• Illustrating the meaty incentives for the business team to commit
bribery activities
• How companies can incentivize ethical behavior at all level in their
operations
4
Xin He
Partner, Fraud Investigation and Dispute Services
EY, China
Kyle Wombolt
Global Head - Corporate Crime and Investigations
Herbert Smith Freehills (Hong Kong)
• Capital project risks highlighted in today’s challenging and
dynamic business environment
• Compliance as it relates to local land acquisition, financing
and permitting
• Key areas of fraud and corruption during the lifecycle of a capital
project
• Importance of due diligence and vendor management when it
comes to capital projects
• Identifying, managing and remediating project overruns
• It’s never too late: Proactive measures implemented at various
phase of construction process to manage risks
Status Update on FCPA Investigations and
Penalties — Former US DOJ Prosecutor Reviews
Latest FCPA Cases Involving China
William C. Pericak
Partner
Jenner & Block (Washington, DC)
Former Assistant Chief and Counsel to the Chief of the Fraud Section,
U.S. Department of Justice
Join the Conversation
Anti-Corruption/FCPA
Minimizing Corruption Risks in Construction
and Capital Projects: How Anti-Graft Campaign
and Economic Slowdown Are Impacting Project
Risks
17:15
Case Studies in Complex Gift and Entertainment
Scenarios
Barbara Tsai
Executive Director,
APAC Regional Head of Anti-Bribery & Corruption
UBS (Shanghai)
Lei Fang
Compliance Director, Asia Pacific
ACS, Honeywell (Shanghai)
Brian G. Burke
Partner
Shearman & Sterling LLP (Hong Kong)
• How to distinguish between permissible gifts and corrupt payments
• Recent enforcement trends in gift and entertainment cases
• “Reasonable and bona fide” and “nominal value” standards across
jurisdictions
About EY’s Fraud Investigation & Dispute Services
Dealing with complex issues of fraud, regulatory compliance and business disputes
can detract from efforts to succeed. Better management of fraud risk and compliance
exposure is a critical business priority — no matter what the industry sector is. With
our more than 3,000 fraud investigation and dispute professionals around the world,
we assemble the right multidisciplinary and culturally aligned team to work with you
and your legal advisors. We work to give you the benefit of our broad sector experience, our deep subject
matter knowledge and the latest insights from our work worldwide.
• Red envelopes, birthday gifts, anniversary presents, wedding gifts
— is anything safe?
• Best practices for monetary and frequency thresholds on gifts
and entertainment
• Travel and hospitality: Side trips, leisure activities and sightseeing,
and what counts as “promotion, demonstration, or explanation
of products and services”?
• Practical review of real-life case studies
18:00
Conference Adjourns to Day 2
• Which risk-based factors should be used to allocate resources to
your anti-corruption compliance program
• Making decisions on the priority of anti-corruption initiatives:
who should have the final say and why
• How to report metrics to senior management and HQ to justify
the company’s anti-corruption investment and/or ask for more
• Benchmarking best-in-class anti-corruption compliance programs
in China: approaches to resource allocation
10:50
Coffee and Tea Break
11:00
Leveraging Data and Technology to Efficiently
Detect Risks and Build a More Sustainable
Compliance Program
Day 2: Wednesday, June 17, 2015
9:00
Conference Co-Chair’s Opening Remarks
9:05
Managing and Responding to a Crisis:
What to Do in the First 2 Weeks
Chen Hui
Global Head, Anti-Bribery and Corruption
Standard Chartered Bank (London)
Christine Yu
Director
Ethics and Compliance, Asia Pacific
Baxter Healthcare (Shanghai)
David Shen
Vice President Legal, General Counsel
AstraZeneca China (Shanghai)
Eric Young
Partner, Fraud Investigation & Dispute Services
EY, Greater China
Katharine A. Bostick
Director, Compliance & Litigation
Microsoft (Beijing)
• Maximizing efficiency to focus on high risk issues when increased
local enforcement action coupled with limited resources to do
more reviews have created a strain on compliance teams
• Learn how many multinational companies are utilizing forensic
data analytics as a proactive tool vs a reactive investigative tool
• See the benefits of having a multi-dimensional platform that risk
ranks employees, vendors, agents and transactions against each
other every day based on changes in data and behavior, as opposed
to using a risked-based approach to rank vendors/agents
• Predicting and preventing fraudulent and corrupt behavior before
it occurs
• How does data and behavior help you shape internal controls,
policies and procedures?
• Value: why it makes business sense to invest in technology and
ensure compliance sustainability
Michelle Gon
Partner
Baker & McKenzie (Shanghai)
William Michael, Jr. – Panel Moderator
Partner
Mayer Brown, LLP (Chicago)
• How to conduct a preliminary assessment of potential bribery
allegations
• Using in-house resources during the preliminary assessment
• Deciding when to retain outside counsel, forensic accountants and
other experts and key factors for the selection process
• Initial investigative actions at the early stage of an investigation
(Developing a detailed workplan, creating credible parameters for
the investigation)
• Developing a messaging strategy consistent for all audiences and
avoiding pitfalls related to external communications
• The keys to an effective document hold
• Establishing and maintaining privilege over the investigation
• Involvement of the Audit Committee and their independent right
to counsel
• Considering counsel for individuals and other Joint Defense
Concerns
• How to prepare for collateral damage and other contingent
liabilities associated with high profile investigation
10:05
11:45
Karen Eryou
Senior Director, Corporate Compliance APAC
UCB (Shanghai)
Celina Teh
Vice President, China and North Asia Region Integrity Officer
ABB (Shanghai)
• Which new apps and high-tech monitoring tools are companies
using in their anti-corruption initiatives in China
• Exploring social media channels to emphasize company
anti-corruption policy
• How to manage the potential risks on social media
• What are some effective in-house technologies that MNCs
company can apply
• How to evaluate and design a tool just for your company
Doing More with Less in China: How to Allocate Human,
Financial and Technical Resources to Optimize AntiCorruption Compliance and Third Party Management
Programs
Charlene Zhu
Chief Compliance Officer
General Electric (Shanghai)
Jeffrey Wu
Director
Global Internal Control & Audit
Haier Group (QingDao)
Innovations Panel: How Companies are Using
High-tech Tools and Channels to Detect and
Prevent Employee Wrong Doing
12:30
Networking Luncheon
Susan Munro
Partner
Steptoe & Johnson LLP (Beijing)
Register Now | 44 20 7878 6888 | AmericanConference.com/AntiCorruptionChina
5
13:45
Managing your Own Employee Risks:
What Government Now Expects for Employee
Screening, Compensation — and How to Use
HR as a Gatekeeper
15:30
Lingling Yan
Compliance Counsel
Agilent Technologies (Guangzhou)
Janice Tsang
Compliance Counsel
Legal and Compliance Department
Porsche (China) Motors Limited
Ying Zhang
Legal Vice President
General Counsel, North Asia
Unilever China (Shanghai)
Jason Cao
General Counsel
Dover Corporation China (Shanghai)
Fay Zhou
Partner
LinkLaters (Beijing)
Lesli Ligorner
Partner
Simmons & Simmons LLP (Shanghai)
• Understanding HR’s role in anti-corruption training and screening
employees and potential hires
• How to align compliance performance factors with compensation
structures
• What recent cases in Asia tell us about government priorities and
expectations for employee screening
• How compensation structures can impact employee behavior
• Strategies for monitoring employees to avoid collusion with vendors
• How to screen candidates for high-level positions to identify
public officials and politically exposed persons
• How to handle Chinese data protection laws and records on
employee vetting and disclosure
14:30
• Recent anti-bribery cases involving anti-trust issues
• How do PRC antitrust enforcement efforts relate to current
China Anti-bribery enforcement efforts
• What is the best strategy to comply with anti-trust law and
anti-bribery regulation
• What steps should MNCs be taking to assess and reduce the
risk of anti-monopoly enforcement in China and the possibility
of triggering an anti-bribery enforcement action
• What you should do when you are in the dawn raid of either
investigation
16:15
Minimizing Travel Agency Risks: How Effectively
Audit Underlying Documentation
Stanley Lui
General Counsel APAC
Nobel Biocare Asia Ltd (Hong Kong)
Bingna Guo
Parnter
O’Melveny & Myers LLP (Beijing)
• How to play a role as a compliance officer in this fast evolving
anti-corruption environment
• Understanding the compliance ethics and non-ethics liability in
the China anti-corruption landscape
• How to report wrong doing of employees and company from
ethical point of view, how much you should disclose, what is the
bottom line
• Representing executives under investigation: Walking the fine line
to preserve corporate interests
• What to do when individual and corporate interests collide
• When and how to provide separate counsel for individuals
• Practical review of the most significant challenges compliance
officers face in China, and how to address them
• What is the personal liability and pitfalls when you approve
payment and business activities
• What are the new corrupt activities discovered by the Companies
through travel agency
• How to detect red flags in using travel agency
• How to conduct due diligence for on-boarding and monitoring
of travel agency
• What kind of documentation you need to ask for Audit
• What is the underlying documentation?
• How to detect issues in the underlying documentation
• Crafting permissible guidelines for the use of travel agency
• What is the best practice to monitor the travel agent more closely
Refreshment Break
17:00
Global Sponsorship Opportunities
As a member of our sponsorship faculty, your organization will be
deemed as a partner. We will work closely with your organization to
create the perfect business development solution catered exclusively to
the needs of your practice group, business line or corporation.
For more information about this program or our global portfolio of
events, please contact:
Tel: 212-352-3220 x5242
w.tyler@AmericanConference.com
6
Join the Conversation
Conference Concludes
Continuing Legal Education Credits
With more than 300 conferences in the United States, Europe, Asia
Pacific, and Latin America, American Conference Institute (ACI)
provides a diverse portfolio devoted to providing business intelligence
to senior decision makers who need to respond to challenges spanning
various industries in the US and around the world.
Wendy Tyler
Director of Sales, American Conference Institute
How to Prepare for the Rise of Compliance
Officer and Legal Counsel’s Liability and
Personal Responsibility
Ada Jin Wang
General Legal Counsel & Regional Compliance Officer
TUV Rheinland, Greater China (Beijing)
Tony Liu
AP Compliance Counsel
Keysight
15:15
The Convergence of Anti-Trust and Anti-Bribery
Investigations: What is a Correct Pricing Strategy for China
Earn
CLE
Credits
Accreditation will be sought in those jurisdictions requested
by the registrants which have continuing education
requirements. This course is identified as nontransitional
for the purposes of CLE accreditation.
ACI certifies that the activity has been approved for CLE credit by the
New York State Continuing Legal Education Board.
ACI certifies that this activity has been approved for CLE credit by the
State Bar of California.
You are required to bring your state bar number to complete the
appropriate state forms during the conference. CLE credits are processed
in 4 – 8 weeks after a conference is held.
ACI has a dedicated team which processes requests for state approval.
Please note that event accreditation varies by state and ACI will make
every effort to process your request.
Questions about CLE credits for your state? Visit our online CLE Help
Center at www.americanconference.com/CLE
Anti-Corruption/FCPA
Continuing Professional Education Credits
American Conference Institute (ACI) will apply for
Continuing Professional Education credits for all
conference attendees who request credit. There are no
pre-requisites and advance preparation is not required
to attend this conference.
Course objective: Update on the FCPA and anti-corruption compliance
with regards to procedures to prevent inappropriate payments.
Recommended CPE Credit: 12 hours and 4.0 for each workshop.
ACI is registered with the National Association of State Boards of
Accountancy (NASBA) as a sponsor of continuing professional
education on the National Registry of CPE Sponsors. State boards
of accountancy have final authority on the acceptance of individual
courses for CPE credit. Complaints regarding registered sponsors may
be addressed to the National Registry of CPE Sponsors, 150 Fourth
Avenue North, Suite 700, Nashville, TN, 37219-2417 or by visiting the
web site: www.nasba.org
To request credit, please check the appropriate box on the Registration
form.
Day 3: Thursday, June 18, 2015 – Interactive Working Groups
A
9:00 – 12:30 (registration begins at 8:30)
How to Handle More Frequent Police, PSB, AIC
and PR Anti-Corruption Investigations in China
B
13:00 – 17:00 (registration begins at 12:30)
Third Party Management Benchmarking LAB
(Learn, Analyze Brainstorm)
Connie Dong
Senior Legal Counsel
BP Lubricants Greater China (Shanghai)
Iris Xie
Corporate Counsel, Compliance & Ethics, Greater China
Tyco (China) Investment Co., Ltd (Shanghai)
Helen HaiXiao Zhang
Partner
Zhonglun Law Firm (Shanghai)
Cheng Wang
Chief Legal Officer
Morgan Stanley Huaxin Securities Company Limited (Shanghai)
Ivy Li
Compliance Counsel, GCA
Compliance & Business Conduct
3M (Shanghai)
Michael Hickman
International Partner
Haiwen & Partners (Shanghai)
This new LAB format is designed to allow active participation from
both the speakers and the participants. Attendees will be seated in
roundtables led by facilitators for the entire working group. By the
end of the session, you will have met and shared compliance best
practices with all LAB participants and are guaranteed to walk-away
with new ideas and potential solutions for your third party compliance
challenges. This new and practical third party LAB will focus on the
following areas:
In China, there are new extortion schemes that are more sophisticated
and harder to detect. Participate in an exclusive and confidential session
about real world experience in China and strategies for how to deal
with those bureaus’ investigations.
• The roles of Police, Tax authorities, the SAIC, the PSB,
the NDRC, industry regulators and others — drawing the
lines based on allegations and consequences
• What is the trend the authorities looking for, what is their
common and different goals
• How to communicate and negotiate with the enforcement
authorities
• Cooperation across locations and offices, and the uneven nature
of regulatory approaches
• What kind of documents and evidence you should provide —
how to support the investigation and protect the needs of your
on-going business and operations
• Are you prepared with clear contingency plans and procedures,
and are management and staff adequately trained?
• Who are these third parties — how to evaluate effectively by type
and exposure
• Vetting up front — get ahead of the risk and manage it actively
• Who can help you do the checking, and how to check the checkers
• On-going dialogue — from monitoring to audits, the tool should
suit the task
• Creating value for your business partners through robust compliance
• What happens when it goes wrong — protecting the business and
not compounding the problem
• How to end the relationship — and what to watch out for in the
regulatory and cultural context
© American Conference Institute, 2015
REGISTRATION INFORMATION
CONFERENCE CODE: 958L15-SHA
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Standard Pricing
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AntiCorruptionChina
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Register Now | 44 20 7878 6888 | AmericanConference.com/AntiCorruptionChina
7
8th Advanced China Forum on
Chinese-English
translation provided
备有中英翻译
Morgan Stanley Huaxin Securities
United Technologies
TUV Rheinland
Microsoft
CHC Healthcare
Zimmer
General Electric
Bosch
UCB Pharma
Honeywell
AstraZeneca
BASF China
Dover
BP Lubricants
Eaton
Wyeth Nutrition
DSM
Caterpillar
ABB
Sponsors:
Earn
Earn
Credits
CPE
Media & Association Partners:
Credits
CLE
Third Party Management Benchmarking LAB
(Learn, Analyze Brainstorm)
How to Handle More Frequent Police, PSB, AIC and
PR Anti-Corruption Investigations in China
Benefit from 2 New and Practical
Working Groups: June 18, 2015
KILPATRICK TOWNSEND & STOCKTON LLP
B
A
!
PLUS
Katharine A. Bostick
Director, Compliance & Litigation
Microsoft
Beatrice M. Schaffrath
UTC Global Ethics & Compliance Counsel – China
United Technologies
Conference Co-Chairs
Keysight
Baxter Healthcare
Anheuser-Busch InBev
Dow Corning
3M
Texas Instruments
Unilever
Porsche
Agilent
Register Now | 44 20 7878 6888 | AmericanConference.com/AntiCorruptionChina
Lead Sponsor:
 Leverage Data to Improve to Detect Early Sign of Corruption and Monitor Your Business
 Minimize Corruption Incentives in your Sales and Marketing Operations: Focus on
Corporate Events, Sponsorship, and Kickback Schemes
 Use High-Tech Tools and Channels to Detect and Prevent Employee Wrongdoing
 Allocate Human, Financial and Technical Resources to Optimize Anti-Corruption
Compliance and Third Party Management Programs
How to Upgrade Your Compliance Strategy — Learn How to:
• Latest Developments in Compliance Officer and Legal Counsel’s Liability and
Personal Responsibility
• Managing and Responding to a Crisis: What to Do in the First 2 Weeks
• Where Companies Go Wrong with Internal Investigations in China
• Practical Review of Complex Whistleblower Issues in China: Who Qualifies as a
Whistleblower, Legal Protections and Essential Steps when a Report is Filed
• How to Minimize Distributors and Channel Partners Risks: Focus on Audit Rights
• Government Relations in the Chinese Landscape: Do’s and Don’ts for a Compliant and
Long Term Anti-Corruption Strategy
• Update on the Latest FCPA Investigations and Penalties Involving China
• How to Avoid Being the Next Target: How Recent Chinese Government Enforcement
Activity Affects Compliance Programs in China
New Panels for 2015 Based on Recent Enforcement Activity and
Where Companies Face the Most Risk:
IBM
Haier
UBS
Sino French Water Development
Company
Nobel Biocare
Tyco
Standard Chartered Bank
Meet and Learn from an Exclusive Faculty of Senior Industry Speakers:
June 16 – 18, 2015 | Langham Xintiandi. Shanghai
第八届中国反腐合规论坛
Anti-Corruption
ACI
American Conference Institute
45 West 25th Street, 11th Floor
New York, NY 10010
ATTENTION MAILROOM: If undeliverable to addressee, please forward to:
General Counsel, Ethics and Compliance Officer, Attorney International Trade and Corruption
PRIORITY SERVICE CODE
958L15.S