Wednesday, November 30, 2022
The Big Return of Monitorships
Most compliance professionals anticipate that monitorships will return because of the DOJs more proactive approach to FCPA investigations.
The recent policy shift is likely indicative of what is to come, as the DOJ seeks to ensure that companies have strong compliance programs in place. In this session, featuring Lowenstein partner Robert A. Johnston, Jr., we will discuss key components and challenges for a monitorships successes and missteps, such as:
- Conditions, process, criteria and selection of monitors
- Companies seeking cooperation credit are now expected to disclose information about all culpable individuals, not just those substantially involved in misconduct
- How to conduct an effective compliance review and leverage the findings to revise your policies and procedures
Speakers:
- Robert A. Johnston, Jr., Partner, Lowenstein Sandler LLP
- Sergio Leal, Head of Compliance, Ericsson
- Tim Treanor, Partner, Sidley Austin LLP
- Corinne A. Lammers, Partner, Paul Hastings LLP
- Karyl Van Tassel, Senior Managing Director, J.S. Held, LLC
Time: 5:05 p.m. ET
Thursday, December 1, 2022
The SEC’s Enforcement of the FCPA’s Internal Controls Provision
A companys responsibility for its internal controls extends to its overall compliance program. As such, it is critical for a company trying to avoid internal accounting controls violations to focus on preventing corrupt payments of any kind, even if those payments would not strictly violate the FCPA provisions.
In this session, featuring Lowenstein partner Rachel Maimin, our experts will discuss how industry can strengthen controls with examples of what is adequate and also review where organizations have gone wrong.
Topics for discussion include:
- The latest no bribery cases enforcing the internal controls provisions against issuers
- Confirming that employees in finance and accounting functions and in higher-risk roles, appreciate their obligations help the company to manage risk
- Correcting inaccurate books and records and confirming that they have a well-documented account of how they addressed any control deficiencies
- Best practices for advising the organization on internal controls; including through legal, compliance and financial perspectives
- Identifying common examples of inadequate internal controls and related program deficiencies to avoid
Speakers:
- Rachel Maimin, Partner, Lowenstein Sandler LLP
- Robert Dodge, Assistant Director, FCPA Unit, U.S. Securities and Exchange Commission
- Cheryl J. Scarboro, Partner, Simpson Thacher & Bartlett LLP
- Andrew Coles, Partner, Resolution Economics LLC
Time: 11 a.m. ET
Conference Location: Gaylord National Resort & Convention Center, Washington, D.C.
*Disclaimer: This event is open to the public but requires a registration fee.
