4th Annual
Anti-Corruption and Compliance for the Oil, Gas and Extractive Industries Maintaining and Evolving Compliance Procedures to Stay Vigilant and Adaptable to Change
EARN SRA CPD CREDITS London, UK 30th January – 1st February 2013 Click Here to Email for More Details
Executive Interview: In Conversion with Kenneth Resnick, Vice President and General Counsel, GE Oil and Gas, Italy
In an exclusive interactive interview learn about Kenneth’s career achievements, his current priorities and what he considers to be the industry’s future challenges.
w Half-Day Interactive Pre-Conference Workshop on: Investigating Internal Fraud, Corruption and Other Breaches of Business Integrity
Led By: Peter Cloud CFE Managing Director PC Investigations Ltd
Expert Speaker Panel: Jeffrey W. Cottle Group Legal Anti-Corruption and Trade BHP Billiton Kenneth Resnick Vice President and General Counsel GE Oil and Gas Wole Onabolu Legal and Compliance Director, Europe Region Baker Hughes
Martin Dubbey Managing Director Dextera Global
Attending this Premier marcus evans Conference will Enable You to: • Capitalise on practical insights delivered from industry leaders into maintaining ethical conduct • Alleviate risks when dealing with potential third parties and M&As • Promote an image of ethical conduct and send out a consistent message which will deter corrupt practice • Understand the developments and options available in delivering training • Gain clarity with regards to the various parameters that make up due-diligence procedures
Learn from Key Practical Case Studies:
Peter van Veen Managing Director, Training and Advisory Services Transparency International
Jeffery Spalding Chief FCPA Counsel and Assistant General Counsel for Ethics & Compliance Halliburton Heidi Christin Olsen Head of LEG CEI IRM Statoil ASA J. Daniel Chapman Chief Compliance Officer and Counsel Parker Drilling Simon Webley Research Director Institute of Business Ethics
Justin Warren Group Head of Compliance African Minerals
Peter Cloud CFE Managing Director PC Investigations Ltd
Elaine Mays Group Chief Compliance Officer Wood Group
Martin Dubbey Managing Director Dextera Global
Richard Baron European Head of Compliance Noble Group
Scott Lane Principal & CEO The Red Flag Group
Anne van Ysendyck VP Legal, Risk and Compliance Arcelor Mittal
Pekka Dare Director International Compliance Association
• BHP Billiton conducting effective third part due diligence • Understand how Baker Hughes identify those who require heightened levels of training • BP ensuring compliance remains a priority in all operations • Learn from Halliburton’s experience in assessing all parameters associated with due diligence • African Minerals ethically operating in high risk territories • National Oilwell Varco minimising the risk of corruption in M&A
Nick Jackson Manager, Ethics and Compliance, Upstream BP
Gold Sponsor:
Business Development Sponsor:
Keith Hennessee Vice President, Chief Compliance Officer National Oilwell Varco
conferences
Jonathan Bowdler Global Head of Compliance International Compliance Association
w Interactive Pre-Conference Workshop 30th January 2013 Click Here to Email for More Details
Gold Sponsor:
INVESTIGATING INTERNAL FRAUD, CORRUPTION & OTHER BREACHES OF BUSINESS INTEGRITY
International Compliance Association
Ensuring Robust Investigation Procedures and Policies are in Place. How to Deal with Allegations and Potential Breaches. 14.00 14.30
Registration and Coffee Workshop Leader Introduction and Opening Remarks Led by:
ICA is the leading global provider of professional certificated qualifications and training in anti money laundering (AML), compliance and fraud/financial crime prevention. For novice and experienced practitioners alike, the ICA certificate and diploma courses are a benchmark of excellence. ICA's internationally recognised qualifications, which are awarded in association with the prestigious University of Manchester Business School, enhance the knowledge and skills of individuals, improve business practice and minimise risk. ICA is a professional, awarding body with a global membership. It was established in 2001 and has since become one of the leading providers of professional qualifications in the realms of regulatory risk. Over 10,000 people have been through ICA’s internationally recognised qualifications around the world and these programmes have consequently become a benchmark of professionalism and excellence. The ICA has a presence in over 30 jurisdictions. Its headquarters are in the UK and it has two regional offices, one in Singapore and one in the Middle East, based in Dubai. ICA helps businesses, regulatory authorities, government agencies and clients promote best practice through education, dialogue, information exchange and detailed resource material. The ICA works with regulators and other representative groups all over the world. Students and members are at the heart of the ICA and we do all we can to ensure we meet their needs, from when they enrol onto their first programme all the way through to fellowship status. The structure of the ICA is driven by that philosophy. The ICA Advisory Committee ensures that all the content that forms part of the ICA qualifications is up-to-date and fit for purpose. The Committee is made up of industry practitioners and representatives whose experience and approach results in a high-quality output. There is an excellent team working on all aspects of assessments and a membership team who are dedicated to the needs of our important members.
Peter Cloud CFE Managing Director PC Investigations Ltd Martin Dubbey Managing Director Dextera Global 14.40
15.45
Coffee and Networking Break
16.15
Dealing with Allegations and Breaches • Handling information received & whistle blowers – Ensuring a confidential & professional reporting facility is in place that encourages the reporting of potential breaches and provides secure avenues to seek clarifications with anyone providing information. • Initial Case Assessment – How to assess information received in order to evaluate if further investigation is appropriate? • Case implications and escalation –Persons involved, possible regulatory or criminal implications, financial and / or reputational impact. • Investigation team selection – Ensuring the appropriate knowledge & skill sets. Are internal and / or external specialist resources required? • Case study – Details to follow • Investigation report – Who needs to know? • Actions – Ensuring consistency in dealing with those involved in breaches. To publish the results of investigations or not? Considering recommendations to prevent similar occurrences in the future.
17.30
Closing Remarks from Workshop Leader and End of Workshop
Business Development Sponsor: Red Flag Group
The Red Flag Group is a world-leading independent corporate governance and compliance firm, providing competitive advantage for Fortune 1000 companies through a range of advisory, due diligence and technology services for global compliance programmes and anti-corruption and third-party management. The Red Flag Group provides fully-integrated solutions for a range of client requirements in compliancerelated matters and challenges, with services ranging from advisory, auditing and monitoring, training and communications, due diligence and investigations through to technology and education services. The Red Flag Group assists international businesses to develop a culture of compliance and gives them the guidance and structures necessary to implement tailored governance and compliance programmes, wherever they operate. Founded in 2006, The Red Flag Group is headquartered in Hong Kong and has worldwide offices in Singapore, Seoul, Sydney, Dubai, London, Zurich, San Francisco and Boston. The firm also has research centres in Amman, Tsingtao, Manila and Sofia.
Robust Internal Investigation Procedures and Polices • Identifying the critical components& resources required in order to compose an investigative framework. • Risk assessment and detection - Evaluating the inherent risks, likelihood of occurrence and significance to the organisation. Identification of any potential hindrances to investigations. Are there sufficient detection procedures in place in order to evaluate the likely types of breaches occurring? • Investigation process – Who should conduct investigations, rules of evidence, chain of custody, reporting mechanisms, regulatory, criminal & civil actions? • Confidentiality and sensitivity – Ensuring investigation protocols are sensitive and within the law. Managing the circulation of information regarding allegations and investigations. • Consequence management – How to disseminate the potential consequences for those who commit or condone breaches.
Day One
Booking Line: Sumreen Rizvi
31st January 2013 Click Here to Email for More Details
08.30 09.00
+44 (0)20 3002 3277 Tel: +44 (0)20 3002 3016 Fax: E-Mail: SumreenR@marcusevansuk.com THE QUEST FOR PERFECTION - CONTINUAL IMPROVEMENT AND TRAINING
Registration and Coffee
Ensuring Compliance and Fighting Corruption in Today’s Operating Realities • The resource reality – high risk territories are concomitant with abundant volumes • Grasping that a larger percent of licenses and operators are in countries towards the base of the transparency index • Practical lessons and strategic advice for best practice in high risk territories from those operating in such regions
ABC – Compliance and Training • Developing critical thinking and effective ABC controls through practical training solutions: - Raising critical thinking- plausibility testing in O&G and extraction sector - Use of red flag scenarios - Unwrapping corporate structures and managing PEP risk case studies - Best practice around tiered and certified training • Developing the skills for ABC compliance professionals: - What are the key competencies? - Undertaking training and professional development for ABC Compliance Professionals in O& G and Extraction - Providing training to embed corporate ethics and engage senior management
Nick Jackson Manager, Ethics and Compliance, Upstream BP
Pekka Dare Director International Compliance Association
Opening Address from the Chair
15.10
THE CORRUPTION FIGHT TODAY 09.10
09.50
Opening Address:
Sending Out the Right Message from the Offset and How to Say No • Not underestimating the benefit of sending out a consistent message of ethical practice in order to reduce the likelihood of bribery • Avoiding the recognition as an organisation which tolerates ill-gotten gains • Overcoming potential circumstances of corruption and how to best contract interest from such situations • Promoting business certainty and reputation as core values into your organisations success • Preparation as the key to avoiding facilitation payments
Jonathan Bowdler Global Head of Compliance International Compliance Association 15.50 16.20
Business Card Exchange An early opportunity in the conference to meet all other conference attendees by systematically moving around the room. Make use of the opportunity to learn about companies, projects and backgrounds of other attendees and swap business cards in an informal environment
10.40
Coffee and Networking Break IDENTIFY AND UNDERSTAND YOUR EXPOSURE – ANTI-CORRUPTION DUE DILIGENCE
11.00
Wole Onabolu Legal and Compliance Director, Europe Region Baker Hughes 17.00
Case Study: Why, What, How, Who and When? • Adopting a wide or risk based approach? • Identifying the areas in which to complete due diligence procedures • Diagnosing the extent required based upon the perceivable threat • Determining who to carry out such procedures on within an organisation • Establishing consistency in due diligence procedures and how this is vital to success • Reviewing the validity of information obtained Jeffery Spalding Chief FCPA Counsel and Assistant General Counsel for Ethics & Compliance Halliburton
11.40
p 17.40
Case Study:
Keith Hennessee Vice President, Chief Compliance Officer National Oilwell Varco
J. Daniel Chapman Chief Compliance Officer and Counsel Parker Drilling, USA
Jeffrey W. Cottle Group Legal Anti-Corruption and Trade BHP Billiton Lunch Coffee and Networking Break
14.30
In Conversation With:
Organising and Designing a Robust, Effective and High Value Training Programme • How the execution of business in the correct way drives high levels of morale amongst employees • Optimising productivity and reducing costs through the provision of suitable training catered to an individual – Ensuring those classified as high risk receive heightened levels of training compared to the customary levels felt by all within an organisation • Suitable levels for identified threats • Ascertaining the correct type of training required in order to counteract the potential offence(s) • Building an ethical staff base and wider image through coherent training procedures • How much is enough? Peter van Veen Managing Director, Training and Advisory Services Transparency International
Partners and Third Parties – Assessing Their Risks • Taking a risk based approach • Third party contracts: auditing, inspecting and termination rights • Minimising exposure • Monitoring third parties and identifying and dealing with problems
14.00
PANEL DISCUSSION:
Panellists:
Case Study:
13.00
Assessing the Latest Training Methods Available to Organisations • Maintaining quality and monitoring of training in global organisations • When to make the step from first generation training to second generation training • Targeting those who pose a greater risk and require more attention than that given by the universal training process • What should second generation training look like? Peter van Veen Managing Director, Training and Advisory Services Transparency International
Practical Mechanisms in Abstaining From Transferred Compliance Hazards in M&As • Examining the compliance culture of the target company • Learning of the archived compliance violations over time • Assessing the potential risks of future liabilities • Establishing the permissible conditions of due-diligence carried out for M&A
12.20
Case Study: Identifying Those Who Require Heightened Levels of Training - Protecting the Integrity of your Organisation • The methods available in determining those who may pose a significant threat to the company • Overcoming the international scope of operations in order to deliver effective training procedures • Striking a balance and being realistic with the levels of face to face contact with those in high risk areas during which training may be delivered • Tailoring the required type and level of training based upon a matrix of factors concomitant with the individual
Simon Webley Research Director Institute of Business Ethics 10.30
Coffee and Networking Break
Richard Baron European Head of Compliance Noble Group 18.20
Closing Remarks from Chair and End of Day One
EXECUTIVE INTERVIEW
The Chairman will interview Kenneth Resnick regarding his career achievements in anticorruption and compliance, his current work and what he considers the future issues to be in this area Questions to Include: • A career in anti-corruption and compliance – what do you consider to be the major achievements in your career to date? • What are the challenges you are facing in your current projects and how are you overcoming them? • Where will the industry be in the next 5-10 years regarding anti-corruption and compliance? Kenneth Resnick Vice President and General Counsel GE Oil and Gas
Earn SRA CPD Credits: marcus evans is an authorised provider under the UK Solicitors Regulation Authority CPD Scheme (Ref: DDJ/MAEV). Attending this conference qualifies you for up to 12 SRA CPD Credits. Certificates of attendance will be available to all delegates, so that they may claim credits in respect of other continuing professional development requirements.
Day Two
Booking Line: Sumreen Rizvi
1st February 2013 Click Here to Email for More Details
08.30
Registration and Coffee
09.00
Opening Address from the Chair
+44 (0)20 3002 3277 Tel: +44 (0)20 3002 3016 Fax: E-Mail: SumreenR@marcusevansuk.com 12.20
Developing a Cross Jurisdictional Compliance Framework • The emergence of international ‘best practices’ and how to utilise them • How to address commonly encountered conflicts of law • Using international standards to overcome cultural bias • Understanding, how, although enforcement of the law may be poor in high risk countries, corruption offences will inevitably be surfaced by foreign extraterritorial laws J. Daniel Chapman Chief Compliance Officer and Counsel Parker Drilling
BENCHMARKING YOUR COMPLIANCE PROGRAMMES 09.10
Case Study: How Much is Enough – ‘Adequate Procedures’ • Turning ambiguous terminology into pro-active procedural implementation • Addressing the view that there cannot be universal adequate procedures, highlighting that each example of adequate procedures is shaped by a multitude of factors • Calculating adequate procedures based upon the risk connected with certain territories • How the long term benefits of compliance will outweigh the short term gains of unlawful practice • Where do we still need more clarity? Richard Baron European Head of Compliance Noble Group
09.50
13.00
Lunch
14.00
Coffee and Networking Break
14.30
Case Study:
ASSESSING YOUR RISKS
Developing and Improving Routine Risk Assessments in the Field of Anti-Corruption • Implementing an annual risk assessment within a wider business calendar • UN Global Combat initiatives • Prioritising risk based on the potential exposure arising from the situation • Reviewing risk assessments on a regular basis to ensure that the control methods are effective • Establishing a robust record of risk assessments in order to prove best practice and efficiency within the workplace
Case Study: Ensuring that Your Compliance Programmes are Comprehensive and Fit for Purpose • The ongoing search and interest in developing a fully coherent compliance package to protect business operations • How to adapt compliance procedures in line with the constantly changing operating environment • The importance of corporate governance: implementing a top down compliance programme to ensure all bases within the organisation are covered • How to benchmark your compliance procedures by maintaining a vigilant outlook on contemporary issues • Structuring the programme according to a matrix of risk based variables • Developing a checklist for compliance: the search for concrete guidance on how much is enough? • How do you practically measure good practice?
Heidi Christin Olsen Head of LEG CEI IRM Statoil ASA
w 15.10
Elaine Mays Group Chief Compliance Officer Wood Group 10.30
Coffee and Networking Break
11.00
Case Study:
Managing Successful Anti-Corruption Compliance Programme Scott Lane Principal & CEO The Red Flag Group Enterprises in the extractive industries have to be alert to the dangers of corrupt practices in their business: from siphoning off the company’s well-earned profit, damaging their reputation to even endangering its on-going existence. This practical and industry relevant workshop will allow participants to develop skills in anticorruption compliance leadership and investigations. The programme will be fully workshop-based with Mining and Energy specific scenarios based on real-life examples from our client’s experiences in emerging markets being threaded through the session. It will involve group work and engagement by all participants to maximise the learning and will cover the following topics: • Conducting risk assessments in a new undeveloped market • Conducting anti-corruption due diligence on investments partners and joint ventures • Building a compliance programme that addresses complex issues like developing infrastructure, responding to demands for community donations, gifts, hospitality and per diems for government officials • Building a third party program that addresses the inherent conflicts of interest in a small country, including procurement and mine construction
Justin Warren Group Head of Compliance African Minerals LEGAL FRAMEWORKS: CRITICAL UNDERSTANDING AND THINKNING
Case Study: The Progress of the UKBA: How Has the UKBA Been Effective in the Reduction and Prosecution of Offenders Over the Past 18 Months? • Where has the UKBA been enforced over the past 18 months? • How have the regulatory bodies been vigilant in promoting the law and utilising the resources at their disposal in order to prosecute and deter offenders? • Adapting compliance procedure following advancements • Confidence in the regulators, ensuring organisations can rely upon the law • The issue of Self-Disclosure: Are organisations going to face leniency if carried out?
COMPLIANCE LEADERSHIP WORKSHOP
Led by:
Dependable Compliance in High Risk Countries • What is a high risk country – perception or reality? • Fighting the battle alone or corroboratively – working with local custom and practice • Ensuring that your compliance procedures are prepared for the inevitable risks associated with operation in such territories • Compliance organisation: What is the best practice relating circulation of information and creating a hierarchy for reporting issues? • Establishing a whistle-blowing and reporting facility that is fit for purpose and can be used in confidence for all at any time
11.40
Case Study:
Coffee Break will be Served Half-Way through the Workshop 17.30
Closing Remarks from Chair and End of Conference
Anne van Ysendyck VP Legal, Risk and Compliance Arcelor Mittal
Who Should Attend: General Counsels, Legal Counsels and VPs, Heads, Directors of: • Compliance • Anti-Bribery/Corruption • Ethics • Due Diligence • Internal Audit • Risk • Audit • Forensics From: • Oil & Gas Operating and Contracting Companies • Mining & Extractive Industries And: • Regulations and Associations • Law Firms • Consultancies • Auditors • Service and Software Providers
Business Development Opportunities: Does your company have services, solutions or technologies that the conference delegates would benefit from knowing about? If so, you can find out more about the exhibiting, networking and branding opportunities available by contacting: Sumreen Rizvi, Marketing Manager, marcusevans, evans Prague London Sameer Mukoo, Sponsorship Lead, marcus 3277 Email: SumreenR@marcusevansuk.com Tel: +420(0)20 255 3002 707 225 Tel: +44 or or Email: SameerM@marcusevanscz.com