ACI’s 4th Practical Guide to FCPA Data Analytics - WEB by C5Group

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ACI’s Practical Guide to

FCPA

Data Analytics

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November 28, 2023 Gaylord National Resort & Convention Center | Washington, D.C. Actionable Takeaways for Harnessing Data Analytics, AI and Machine Learning for FCPA Compliance, Monitoring and Investigations Whether you’re on the cutting-edge, just starting out or somewhere in between, benefit from proven best practices to scale and implement your data analytics program: ą U.S. Department of Justice Expectations: What Industry is Doing Right and Wrong

FEATURED SPEAKER Matt Galvin Counsel, Compliance & Data Analytics U.S. Department of Justice

on Data Analytics

ą Building, Scaling and Implementing Your Data Analytics Program ą ChatGPT, Generative AI, ML AND Predictive Analytics — Fact v. Fiction for Accurate Risk Scoring and Real-Time Detection

ą Special Focus on Monitoring: Implementing an Integrated Data-Driven Monitoring System

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PRE-CONFERENCE PRIMER

ç Pfizer ç Capital One ç Google ç Health Care Service Corporation

ç Nokia ç Takeda ç BDO

(HCSC)

CONFERENCE CO-CHAIRS Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer

Introduction to Data Analytics, AI and ML — and More Essential Concepts for Compliance and Monitoring

Supporting Sponsor

Rayne Towns Global Head, Risk & Monitoring Nokia Associate Sponsors

FCPA

Data Analytics

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The U.S. Department of Justice updated its Evaluation of Corporate Compliance Programs in March 2023, with renewed expectations for data analytics and testing. However, the specifics remain unclear, leaving companies and financial institutions uncertain if their compliance programs are measuring up — or not.

oin ACI’s 4th Practical Guide to FCPA Data Analytics, taking place in Washington, D.C., on November 28, 2023, to ensure that your organization is equipped with integral best practices for data-driven compliance, monitoring, audits and investigations. Hear industry leaders tell their data analytics “stories,” from humble beginnings to their latest successes, and gain a practical blueprint to take back to your desk.

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CONFERENCE CO-CHAIRS Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer

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GOVERNMENT SPEAKER

Rayne Towns Global Head, Risk & Monitoring Nokia

Matt Galvin Counsel, Compliance & Data Analytics U.S. Department of Justice

SPEAKER FACULTY Zachary N. Coseglia Co-Founder and Managing Principal R&G Insights Lab

Nathan Opheim Director, Legal Compliance - Controls, Data & Analytics Cisco Systems, Inc.

Jared Crafton Forensic Technology Practice Leader BDO

Zachary Opperman, CFE Director, Risk Management Capital One

Bryan Judice Former Global Head of Compliance Data Analytics and Monitoring Panasonic Corporation of North America (PNA)

Phanii Pydimarri Head of Data & Analytics Partnerships Health Care Service Corporation (HCSC)

Victoria Lane Head of Ethics and Compliance Pilgrim’s

Gina Salcedo Lannin Senior Manager, Insights and Analytics Takeda

Eugene F. Soltes Founder, Integrity Lab; McLean Family Professor of Business Administration Harvard Business School

Vincent Walden CEO Kona AI - Data Driven Compliance

David Yanofsky Manager, Data Visualization R&G Insights Lab

Aditya Yerramilli Office of Compliance & Integrity (OCI), Lead, Controls, Monitoring & Technology (CMT) Google

Andy Miller Chief Analytics Officer Lextegrity

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TUESDAY, NOVEMBER 28, 2023 7:30

Registration & Breakfast

8:30

PRE-CONFERENCE PRIMER

Introduction to Data Analytics, AI and ML What It Is and Isn’t! — and More Essential Concepts for Compliance and Monitoring Break through the noise and delve into what data analytics means, and how they can be applied in the real world. Don’t miss the opportunity to learn the essentials during this level-setting introductory session, as we lay the groundwork for the main conference discussions. Part I: Terminology and Definitions • What is and isn’t data analytics • The difference between predictive modeling and predictive analytics, and how supervised learning and unsupervised learning factor in

• Delineating between Machine Learning, Artificial Intelligence and predictive analytics • How data mining has different meanings in different contexts, and when it is applied to text mining

Bryan Judice Former Global Head of Compliance Data Analytics and Monitoring Panasonic Corporation of North America (PNA) Gina Salcedo Lannin Senior Manager, Insights and Analytics Takeda

Part II: Applications and Practices • Establishing what you want to accomplish from developing your program-and what is achievable based on your organization, industry and budget

• Identifying your data sources and resources • Using qualitative versus quantitative data • Monitoring and reporting essentials

Part III: Predicting • Identifying red flags and trends

• When does analytics jump from identifying to predicting bribery and corruption?

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9:30 Opening Remarks from the Co-Chairs Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer

9:45

Rayne Towns Global Head, Risk & Monitoring Nokia

FIRESIDE CHAT

U.S. Department of Justice Expectations: What Industry is Doing Right and Wrong on Data Analytics During this session, gain invaluable DOJ insights on the requirements and expectations for data-driven compliance and monitoring programs. Discover how the DOJ is defining data analytics, what they are looking for during investigations, trends in enforcement and what is considered a good-faith effort by companies.

Matt Galvin Counsel, Compliance & Data Analytics U.S. Department of Justice

Moderated By Zachary N. Coseglia Co-Founder and Managing Principal R&G Insights Lab

10:45 Networking Break

11:00 DATA ANALYTICS PROGRAM BEST PRACTICES Building, Scaling and Implementing Your Data Analytics Program How do you really know if your data analytics program is well designed? Are you able to connect data across your entire organization, and have a holistic view of risk, instead of a siloed one? And, is the program being applied “earnestly and in good faith” as stated in the U.S. Department of Justice, Criminal Division, 2023 update.

Victoria Lane Head of Ethics and Compliance Pilgrim’s

This session will outline the newest lessons for building, scaling and implementing your program with DOJ Guidance at the core.

Tara Palesh Senior Director, Compliance Analytics CoE Lead Pfizer

Key takeaways for this session include: • Build it or buy it? Determining whether to build a program in-house or purchase an external product/solution

• Getting the data, building the data and doing the analysis

• Behind the scenes of the strategy and methodology for building a program from scratch

• How to build it, how to make it useful

• Ensuring the datasets are equal

• Ensuring "scalability" when you have built the infrastructure • The Pros and Cons of building a custom system versus buying an off-the-shelf solution

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Phanii Pydimarri Head of Data & Analytics Partnerships Health Care Service Corporation (HCSC)

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11:50

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DATA COLLECTION AND INTEGRITY

How to Know If You Are Capturing Clean Data: Assessing Quality, Accuracy, Consistency and Relevance What does good data look like? Join this session as speakers review real-world examples of data-output reports, discuss how to assess the data, and whether a program is capturing the right data. • Identifying inconsistent data and missing data, what data is important, and what is being captured accurately (and not) • Implementing periodic reviews and scrubbing data, including updating and standardizing datasets across systems • Acquiring and accessing significant industry data for your company and sector • Gaining access to data and how to engage with relevant stakeholders such as owners of relevant systems

Gina Salcedo Lannin Senior Manager, Insights and Analytics Takeda Zachary Opperman, CFE Director, Risk Management Capital One David Yanofsky Manager, Data Visualization R&G Insights Lab

12:45 Networking Luncheon

2:00

FOCUS ON MONITORING

Implementing an Integrated Data-Driven Monitoring System A data-driven compliance program requires integration between multiple systems, databases, and different parts of the business. However, integrating monitoring tools to retrieve data from multiple sources can be difficult to set up. Delegates will gain insight from case study examples of how to monitor data, and learn how to create a fluid and adaptable program.

Bryan Judice Former Global Head of Compliance Data Analytics and Monitoring Panasonic Corporation of North America (PNA)

Key takeaways for this session:

Andy Miller Chief Analytics Officer Lextegrity

• Effective ways to automate, including when your company has multiple, different systems • Evaluating how monitoring changes when you have a small localized team versus a larger global team • Ensuring that data feeds and monitoring tools are working in real time • Developing processes for determining if an internal investigation is necessary and any additional action • Identifying which transactions to monitor and how to monitor them, including gifts and donations

Aditya Yerramilli Office of Compliance & Integrity (OCI), Lead, Controls, Monitoring & Technology (CMT) Google

• Deciding which pre-approval systems need to be set up before rolling out a monitoring program

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DATA ANALYTICS “JOURNEYS”

A “Then and Now” Look at How Companies Have Launched and Upgraded their Data Analytics Programs: Critical Lessons — Whether You Are Getting Started or Off and Running Hear industry professionals share their companies’ journeys to data analytics compliance, including what prompted their decision-making, and how they are aligning data analytics programs with DOJ Guidance. Topics will include: • Past, Present and Future: A closer look at where the companies started, how the program was scaled and how it has evolved • Implementing a data analytics program based on a government settlement agreement vs. none • Gaining senior management buy-in and resources

3:30

Networking Break

3:45

ChatGPT, AI, ML, AND PREDICTIVE ANALYTICS

Nathan Opheim Director, Legal Compliance Controls, Data & Analytics Cisco Systems, Inc. Rayne Towns Global Head, Risk & Monitoring Nokia

Fact v. Fiction on How to Achieve Accurate Risk Scoring and Real-Time Detection This session will delve into the current application and best ways to leverage artificial intelligence, predictive analytics and machine learning for effective FCPA compliance and monitoring. Is it just risk scoring, or can we see suspicious transactions happening in real time, and furthermore, what is the capability (and limits) of predictive analytics?

Jared Crafton Forensic Technology Practice Leader BDO

• How Machine Learning can support the analytics program, including automation and implementation

Vincent Walden CEO Kona AI - Data Driven Compliance

• Advanced capabilities for processing large sets of data and finding anomalies • Training your AI to find anomalies • Pros and cons of using ChatGPT for writing analytic code and generating test data • Testing for errors in the code • Gathering and using customer information from Chatbots

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RISK PROFILE

Resources and Risk: Re-Evaluating Your Risk Profile for Better Resource Allocation and Data Analytics Program Effectiveness In accordance with the U.S. Department of Justice’s guidance, corporate compliance programs must be tailored to each company’s unique challenges and be able to address all Key Risk Indicators (KRIs) identified. This session will examine best practices for identifying the threats and developing your risk profile.

Rayne Towns Global Head, Risk & Monitoring Nokia

• Identifying Key Risk Indicators (KRI), and delineating between real risk and potential risk

Zachary Opperman, CFE Director, Risk Management Capital One

• Flagging false risk factors and mis-categorization of transactions • Developing risk logic, including when there is (and isn’t) a lot of data to access • Analyzing the story behind the transaction, red flags, tracking, patterns, trends, including the people and processes involved • Capturing emerging risks • Determining how to mitigate risk

5:30 Closing Remarks from the Conference Co-Chairs

Eugene F. Soltes Founder, Integrity Lab; McLean Family Professor of Business Administration Harvard Business School

Networking Cocktail Reception and Registration for FCPA Conference

FCPA International Conference on the

Stay on for ACI's

FOREIGN CORRUPT P R A C T I C E S A C T

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November 29–30, 2023

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Gaylord National Resort & Convention Center 201 Waterfront Street, National Harbor, MD, 20745-1135 Phone: 1-877-491-0468 To reserve your hotel accommodations, please CLICK HERE.

How to Get To National Harbor

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hands-helping BECOME A

SPONSOR

With conferences in the United States, Europe, Asia Pacific, and Latin America, the C5 Group of Companies: American Conference Institute, The Canadian Institute, and C5 Group, provides a diverse portfolio of conferences, events and roundtables devoted to providing business intelligence to senior decision makers responding to challenges around the world. Don’t miss the opportunity to maximize participation or showcase your organization’s services and talent. For more information please contact us at: SponsorInfo@AmericanConference.com

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CONTINUING PROFESSIONAL EDUCATION CREDITS American Conference Institute is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of Continuing Professional Education (CPE) 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 submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org. Course objective: Harnessing Data Analytics for FCPA Compliance and Monitoring y Developing Your Risk Profile: Utilizing Data Analytics for Risk Assessments and Identifying Compliance Weak Spots y Data Acquisition – Accessing and Capturing Clean, High-Value Data Across Contrasting Systems and Multiple Data Sources y Data Governance: Managing Integrity, Conducting Risk Scoring and Handling Exception Processes y Implementing Automated Transaction Monitoring Applications for Real-Time Risk Detection and Analysis y Special Government Keynote y Using Data Analytics to Measure the Effectiveness of Your Compliance Program: Concrete Examples of Using Metrics and KPIs to Evaluate Risk Detection and Compliance Red Flags y Behind the Scenes of Building an Effective Data Analytics Program: How to Know if You Are Achieving True Data-Driven Compliance and Monitoring y Utilizing Artificial Intelligence and Machine Learning for Investigations and Compliance: The Latest Best Practices and Innovation for Upgrading Your Approach Field of Study: Business Law Prerequisite: None.

Who should attend: 1) C-Suite Officers in the following areas: y Chief Compliance Officers

y Chief Data Officers

y General Counsel

y Chief Analytics Officers / Chief Data & Analytics Officers

y Chief Legal Officers y Chief Privacy Officer

y Chief Data Scientists

2) VPs / Managing Directors / Directors / Managers in: y Anti-Corruption

y Legal / Litigation

y Anti-Bribery

y Internal Audit

y Analytics & Monitoring / Global Compliance Monitoring

y Forensics

y Ethics & Compliance

y Risk & Compliance Operations

y Third Party Management

y Fraud Investigation & Litigation

TEACHING METHOD: Group Live DELIVERY METHOD: Group Live Group Live Participants will earn up to 7 CPE credits for the Main Conference (November 28). Refunds and Cancellations: Requests for refunds must be received in writing by November 17, 2023. For more information regarding refund, complaint, and/or program cancellation policies please contact our offices at 1-888-224-2480.

Level of knowledge: Basic Advanced Preparation: None

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Curating Modern, Authoritative, Content for 40 Years Welcome to ACI Insights, a place where content and thought leaders unite to bring you original and new perspectives on emerging trends and ideas from leaders in the business community. For four decades, law, compliance, accounting, investigations and advisory firms have chosen ACI and C5 events to connect with key decision-makers and expand their global footprints. With our finger on the pulse of new, emerging trends and developments, we continue to bring you curated, modern content through our exciting new ACI Insights platform.

Leveraging Ethical AI for Effective Compliance

Addressing the Jurisdictional Challenges of Compensation Clawbacks

Special Interview with the Founder of Women in Crypto

How to Handle a Cross-Border Anticorruption Investigation

The Role of Artificial Intelligence in Ephemeral Messaging

Tips for Entering the Life Sciences Market in Brazil

Building a Data-Driven Anticorruption Compliance Program

Prevailing Themes from the 39th International Conference on the FCPA

“Me? A Foreign Agent?”

Addressing Corruption Risk in the Renewable Energy Industry

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OUR PORTFOLIO OF EVENTS

9th Conference on

Anti-Corruption and

CSR FRANCE October 9–10, 2023 Paris

3rd Annual

Summit on

ESG October 11–12, 2023 New York

ARTIFICIAL INTELLIGENCE

Law • Ethics • Compliance

FOREIGN AGENTS REGISTRATION ACT

October 31–November 1, 2023 Washington, DC

December 1, 2023 Washington, DC

FCPA

17th Forum on

FOREIGN CORRUPT PRACTICES ACT

HOUSTON January 24–25, 2024 Houston

14th Forum on

Summit on

ANTI- CORRUPTION & COMPLIANCE PROGRAMS

MEXICO March 2024 Mexico City

FARA 5th National Forum on

19th Advanced Forum on

FCPA & ANTI-CORRUPTION

13th Summit on

ANTI-CORRUPTION

FOR THE LIFE SCIENCES INDUSTRY

BRAZIL

May 2024

Spring 2024

New York

São Paulo

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18th Conference on

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C5 GROUP FEATURED EVENTS

FRAUD, ASSET TRACING & RECOVERY

October 26–27, 2023 Paris

12th Edition

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January 23–24, 2024 Miami

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FRAUD, ASSET TRACING & RECOVERY

CRYPTO AND DIGITAL ASSET FRAUD & RECOVERY March 14–15, 2024 Geneva

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ABOUT US

C5 celebrates 40 years of excellence! We are thrilled to have provided exceptional conference experiences globally with our outstanding team, speakers, sponsors, partners, and attendees. To mark this milestone, we're launching a new logo which represents our commitment to innovation, growth, and excellence, represented by the five Cs of C5: Current, Connected, Customer-Centric, Conscientious, and Committed. Looking back on 40 years, we are grateful for our achievements—hosting global conferences, uniting industry leaders, and supporting business growth. However, we are not done yet! We are committed to pushing boundaries and creating impactful experiences and we're excited for the next 40 years of success.

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Register and pay to lock in your early rate and be eligible for a full refund until November 17, 2023. If you are unable to attend for any reason, you will have the following options: y A full credit note for you, or a colleague to attend another event. y A full refund. All cancellations and changes must be submitted to customerservice@americanconference.com by November 17, 2023.

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