FCPA Issues in 2012 Dodd-Frank & Beyond LIVE Webcast
2011 proved to be an exciting year for FCPA enforcement actions with the implementation of the whistleblower provisions under the Dodd-Frank Act. Consequently, new FCPA enforcement efforts will come to great heights this year. Are you prepared? Join us in this two-hour live webcast as we explore the latest issues and developments surrounding the impact of Dodd-Frank Act on FCPA enforcement and compliance. Our panel of key experts and thought leaders will provide an in-depth discussion of the significant issues in the mix including:
– SEC Whistleblower Rules and Its Implications on FCPA Investigations
– Recent Judicial Decisions on FCPA Violations
– Practical Guidelines on Implementing an Effective Compliance Program
– Best Practices
– Regulatory Updates
– And Much More!
Jodi Avergun, Partner,
Cadwalader, Wickersham & Taft LLP
Douglas E. Small, Managing Director,
Capstone Advisory Group LLC
- Categories of practitioners and preparers after the amendments
- The Impact of Dodd-Frank Act on FCPA Enforcement
- Presentation Time Line
- Presentation Summary
- Whistleblower Program Overview (to include discussion of SEC whistleblower office and analysis of their activity; regs published last year)
- FCPA vs Other Violations (to include discussions of what other crimes whistleblowers are reporting and volume of activity)
- Potential Whistleblowers (who is at danger of becoming a whistleblower)
- Excluded Whistleblowers (to include discussion of who cannot be a whistleblower per regulation)
- Employee Awareness (discussion of how companies should deal with whistleblowers)
- Third Party Awareness(how to sensitize vendors to whistleblower potential and need to report)
- Role of lawyers and advisors in internal investigations (need for independence; who retains)
- Internal Reporting Process
- Internal Monitoring of Complaints
- Investigating Complaints
- Anti-Retaliation Procedures
- Disclosure issues: (to include discussion of how to advise companies on when and whether to disclose and to whom)
- Proactive Compliance Techniques (to include discussions of vendor due diligence, know your customer processes, record keeping)
- Recent Judicial Decisions
Manny A. Alas, Global Co-Leader, FCPA Practice , New York Leader, Forensic Services Practice,
** Speaker Talking Points to be added soon.. **
Who Should Attend:
- In-House Counsel
- Ethics and Compliance Executives
- Forensic Accountants
- FCPA Securities and Corporate Governance Attorneys
- Regulatory Specialists
- International Counsel
- And Other Related Professionals
Jodi Avergun is an experienced former federal prosecutor whose practice focuses on representing corporations and individuals in criminal and regulatory matters involving, among other things, the Foreign Corrupt Practices Act, securities enforcement, health care, and general white collar matters. Jodi has successfully represented both companies and senior executives in internal investigations, matters before regulatory bodies including the SEC and the U.S. Drug Enforcement Administration, and in civil and criminal matters in federal court. She has also designed and implemented compliance programs for a variety of her clients.
Prior to joining the firm, Jodi was a senior official in the Department of Justice, where she served as chief of staff of the U.S. Drug Enforcement Administration, and in several leadership positions within the Criminal Division and the United States Attorney’s Office for the Eastern District of New York.
Jodi Avergun is an experienced former federal prosecutor whose practice focuses on representing corporations and individuals in criminal and regulatory …
Douglas Small is a Managing Director in Capstone’s Litigation, Forensic Investigation and Dispute Resolution Services Group. He has over 25 years of experience in all aspects internal corporate fraud investigations, forensic accounting and auditing matters and adherence to United States law abroad to include the Foreign Corrupt Practices Act. Mr. Small has experience in investigating violations of the FCPA and other anti-corruption legislation and has assisted outside counsel in its investigation of illicit payments and benefits to government officials and closely related third parties. Additionally, Mr. Small spent 14 years as Special Agent with the Federal Bureau of Investigation where he conducted numerous complex white collar criminal investigations to include public corruption and bribery matters, corporate, health care and financial institution fraud, money laundering, wire fraud and mail fraud. During his career he has project managed and conducted investigations and compliance audits both domestically and internationally in Asia, Australia, Africa, Europe, Latin America and the Middle East. Mr. Small is a Certified Public Accountant licensed in the State of Texas, a Certified Fraud Examiner and is certified in Financial Forensics by the American Association of Certified Public Accountants. Mr. Small can be contacted at email@example.com or telephonically at 202.507.7921.
Douglas Small is a Managing Director in Capstone’s Litigation, Forensic Investigation and Dispute Resolution Services Group. He has over 25 …
Manny A. Alas has 29 years of professional experience and is a Partner in the New York Office. He leads the New York Forensic Services Practice group comprising of over 170 professional staff and is the Co-leader of the Global FCPA practice.and is the Co-Leader of the Firm’s FCPA practice.
He provides specialized advisory services to boards of directors, audit committees, senior company management, as well as chief financial officers, general counsel and compliance officers. His expertise includes international business risks, investigations, remediation, compliance systems and programs, controls implementation, dispute analysis, merger compliance due diligence and integration as well as training programs.
Manny currently serves on the Board of Advisors to the Molloy Business School. He has lectured as a guest accounting and auditing instructor at Villanova University, Columbia University, University of Virginia, Lehigh University, Notre Dame, St. John’s University and Georgetown University. He is proficient in Spanish.
In addition, Manny is the past President of a not-for-profit organization that organizes and manages youth programs for over 25,000 Long Island youth.
Manny A. Alas has 29 years of professional experience and is a Partner in the New York Office. He leads …
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About Cadwalader, Wickersham & Taft LLP
Cadwalader, Wickersham & Taft LLP, established in 1792 is one of the world’s leading legal advisors, with more than 500 attorneys practicing in New York, London, Charlotte, Washington, Houston, Beijing, Hong Kong and Brussels. The firm’s Business Fraud and White Collar Litigation Group represents corporations, their boards of directors and audit committees, and international bodies in federal and state criminal and civil enforcement actions, administrative proceedings and litigation, and congressional investigations and hearings. Led by internationally recognized practitioners, who are supported by a talented group of more than 30 attorneys, the team has wide-ranging expertise regarding the Foreign Corrupt Practices Act; laws and regulations related to U.S. and international money laundering and asset forfeiture; federal and state securities and commodities fraud; banking, tax and government contracting fraud; health care fraud and abuse; antitrust and unfair competition; foreign bank secrecy and confidentiality; economic sanctions; export control and technology transfer; anti-boycott and federal elections; RICO, mail and wire fraud; and the defense of whistleblower actions. For more information about our people and practices, please visitwww.cadwalader.com
About Capstone Advisory Group LLC
Capstone Advisory Group, LLC has been instrumental in resolving hundreds of disputes, both in and out of court and around the globe, putting our professional consulting, expert litigation and forensic investigation to work for our clients. We pride ourselves not only on our breadth and depth of experience, but on the caliber of our credentialed professionals who include Certified Public Accountants, Certified Fraud Examiners, Certified Licensing Professionals, former prosecutors, forensic accountants and certified valuation experts and former law enforcement professionals – all skilled and ready to take on unique situations.
Capstone provides the highest level of litigation support and forensic services to our clients in arbitrations, mediations, complex commercial litigations and financial investigations. Broadly, our services include the development of litigation issues and strategies, assessment of alternatives, damages assessments, creation and challenge of claims, evaluation of strengths/weaknesses of litigation positions and uncovering information in financial matters together with comprehensive discovery and analyses.