WORKSHOP A - LGPD (General Data Protection Law) in practice – Implementing an effective data protection program.
Several scandals, including the “Snowden Case”, “Cambridge Analytica Case”, and some domestic cases, have demonstrated the need to better regulate and further control personal data processing. Close to coming into force in 2020, the General Data Protection Law establishes rights, obligations, and principles with respect to processing of personal data of consumers and service users. Among other topics, companies should be concerned with building or improving (i) Privacy Governance; (ii) Data Leakage and Security; (iii) Privacy by Design; (iv) DPIA; (v) Owner’s Rights; (iv) Third Party Management; (vii) Processing History; (viii) Minimization; (ix) Data retention. Implementing a data protection program depends heavily on harmony between several departments, especially Compliance, IT, HR, Supplies, Commercial, and Legal. This workshop will address a practical methodology for implementing an effective data protection program.
WORKSHOP B - Practical conduct of internal compliance investigations - From planning to reporting an internal compliance investigation and the most appropriate remedial measures.
Internal investigations are of crucial importance, not only to ensure compliance with anti-corruption laws, but also for their ability to identify relevant issues and avoid costly fines from national and international control authorities. In this context, proper handling of whistle-blowing and conduct of an internal investigation following international best practices are crucial to achieve meaningful results and ensure a successful compliance program.
WORKSHOP C - Communication and training - Effective compliance training techniques. Using technological and playful resources to increase training effectiveness
Gamification consists of using game design techniques and strategies in contexts not necessarily associated with gaming. According to an estimate by Gartner, this year gamification will be an over US$ 5 billion market worldwide and, by 2020, 70% of the world’s largest organizations will have at least one game-based application, thus making gamification fundamental to the business environment.
Following market trends, this workshop will address in practice playful strategies to leverage the knowledge and engagement of a company’s team and staff on the topic of ethical decision making and overall compliance.
WORKSHOP D - Benchmarking on Compliance Risk Assessment vs. related Internal Controls and how to properly document also considering authority bias.
Risk assessment is considered one of the main pillars of a compliance program, but having only the risks mapped without adequate internal controls makes the program ineffective. This workshop will cover the entire risk mapping cycle, related internal controls, as well as adequate documentation of this information and reviews that organizations have to maintain. This important review must take into account the ecosystem where the company operates, its size and the level of commitment of partners, third parties, and suppliers. Through different perspectives and methodologies applied by organizations, learn how to map, prioritize, and manage risks effectively.
WORKSHOP E - Compliance program monitoring and effectiveness. Learn in practice how to use indicators to build, maintain, and update your compliance program.
In-depth case studies of key requirements and basic elements of an effective compliance program. This workshop will address effective methods of monitoring, KPIs, and available tools that facilitate this important process for the compliance program. Learn the latest on this topic and how to incorporate these solutions into your compliance program, often investing less than you thought. Modern and creative solutions can truly increase the desired results.
WORKSHOP F - Practical guide to third party management
How to build a robust and effective third party management program in line with the expectations of local and international authorities. This workshop will take a practical step-by-step approach to the most critical rules for third party verification, integration, and monitoring and the most appropriate and recommended remedial measures for red flags.
WORKSHOP G - Practical implementation of a Diversity & Inclusion program. Is your organization prepared?
As the world is changing, the human factor is increasingly present in the daily lives of organizations and society. A well-implemented diversity & inclusion program can significantly reduce harassment cases in organizations. Few companies have an effective D&I program in place and few people have this expertise. Learn in practice how to implement a D&I program.
WORKSHOP H - Corporate governance and compliance. Step by step to implement a governance strategy to mitigate compliance risks.
This workshop is designed to show participants how corporate governance and compliance topics interact in practice, using group dynamics, case studies, and discussions, in order to promote dialogue and reflection on major issues organizations face in the day to day management of these topics and enable a better understanding and applicability.
WORKSHOP I - Prevention of Money Laundering and Terrorist Financing
Understand and discuss the pillars of an Anti-Money Laundry (AML) program and also the recent update to CVM Instruction 617 on the capital market, which is in line with the best practices currently implemented in major global markets, including Recommendations from the Financial Action Task Force on Money Laundering (FATF-GAFI), as well as other derivative laws.
WORKSHOP J - How to build your personal brand on LinkedIn
Understand the importance of building your personal brand on LinkedIn, learn the best techniques for positioning and networking on social media. In this workshop, you will have the chance to build from scratch or completely edit your profile on this important professional social network. Experts will guide you through learning how to tell your story in an intelligent, strategic, and objective way. Also, you will have the chance to take a new professional photo for your profile.
WORKSHOP K - Compliance for public sector companies.
Corruption, fraud, conflict of interest, and other misconduct may take place in the relationship between Government and private entities, for example in public tenders and procurement. These risks can result in serious consequences for both sides, which is why they should be addressed by Compliance Programs with both a public and a private approach. Promoting debate among all stakeholders is imperative to establish best practices and practices that should be avoided and/or prohibited.
WORKSHOP L - People Management and Leadership - Challenges for compliance managers and professionals.
Inspiring, engaging people, developing high performing teams, while building a strong culture to achieve great results, are also part of the challenges of compliance managers. This panel will discuss issues such as: (i) culture and its importance for compliance; (ii) teamwork; (iii) successfully navigating and interacting with other leaders and departments; (iii) learning to give and receive feedback to the team and outside; (iv) creating result-oriented management and setting compliance-related goals; (v) creating an environment open to change and innovation. These topics will be brought to the reality of compliance teams and leaders.
WORKSHOP M - Past, present and future. What is expected from the Audit, Internal Controls, and Compliance functions and how can they interact for more effective corporate governance?
These are distinct, but correlated areas. Although there are experiences that combine internal auditing and compliance, it is more common to find these areas not so integrated: compliance is generally closer to the legal department while internal audit is closer to controllership and the internal controls team. What does the market expect from these functions? How should these three functions communicate and interact? What is the role of each in whistle-blowing, risk, fraud, and corruption? These and other questions will be addressed in this workshop.
WORKSHOP N - Mobbing and Sexual Harassment - A hand-on approach on how to train and develop human resources in organizations to prevent violations of this kind and, if necessary, how to investigate them.
Complaints about interpersonal relationships, especially abusive practices such as aggression, psychological and sexual harassment, and other misconduct, continue to grow in most organizations. Having compliance tools in place, including, but not limited to, whistle-blowing, codes of conduct, communication, training, development on organizational integrity, adoption of an effective diversity & inclusion program, are essential to raise awareness that the human factor is as important as the technical one, and act preventively against the growth of these types of complaints. Understand how to properly handle/investigate cases and address appropriate remedial measures.
WORKSHOP O - Compliance certifications and the Pro-Ethics Program. What are the benefits of this recognition and how to you prepare your organization for this challenge?
All organizations, regardless of the type, size, nature of business, whether in the public or private sector, non-profit or for profit, can obtain this certification. Not only large organizations, but also small and medium-sized companies are obtaining the existing certifications and seals. In a business environment that increasingly demands ethics and transparency, it is essential for organizations to treat the concepts of corporate governance and compliance as two sides of the same coin. What are the benefits of this recognition of the compliance program? What is the market’s perspective about the existing certifications and seals?
KEYNOTE SPEAKER - Innovation: Creativity in the digital age
Ethical decision making on complex matters and high risk factors
Ethical decision making can be subjective and is not an exact science. While we all believe we know the difference between right and wrong, the process of deciding to do the right thing is not always obvious. In fact, ethical decisions with high added risk are always some of the most difficult we make in the corporate environment. They also have some of the most significant consequences, your work does not end after making difficult decisions, but continues with the need to continually reassess and measure the effectiveness of your decisions. This panel will discuss how compliance executives and specialists apply the ethical decision-making process in practice, in addition to assessing the consequences of decisions and the need to continuously improve your compliance program by strengthening any weaknesses found in this process.
Fair Culture - Bottom up and tone at the top
Just Culture, a governance model based on the principle that not all errors or conduct violations result from bad intentions, seeks to establish an environment where the reporting of errors and other adverse events is favored or encouraged. Adoption of this model can be a natural evolution for the Compliance areas and create a virtuous circle, where employees feel encouraged to report errors and process failures in different areas of an organization, which will be able to enhance them as a result. In a police-state environment that instills fear, employees tend not to report errors that they have committed, identified, or may have seen happen, as any error is just punished without looking at what caused it. This panel will address in a practical way how to implement a just culture in an organization.
Advances and prospects for 2020 in fighting corruption in Latin American countries
Mexico - In September 2019, Mexico’s Federal Commission for Economic Competition (COFECE) issued guidelines establishing the agency’s procedures for handling attorney-client communications. This is an important advance because previously there was no specific recognition of the attorney-client privilege in Mexico, which hampered collaboration processes with other jurisdictions. This panel will discuss advances in major Latin American countries and what to expect in 2020.
Promoting compliance innovation
In the past, one could not sit at a conference table without hearing the expression “competitive edge”, while fashionable expressions today seem to be “innovation” or “disruptive innovation”. Innovation is not only in fashion, it is in the daily lives of many departments. Much is said about innovation in companies, industries, specific departments such as finance, human resources, sales, technology, but how to innovate in a simple way in the compliance department? How will Compliance become agile and efficient?
This panel will cover cases of companies that already use artificial intelligence and machine learning in the compliance department and areas related to law in general, with several possibilities such as: Workflows, Whistleblowing Channels, customer service, legislation monitoring, risk management, among others, and also innovation in a simple way, not necessarily linked to technology.
3 interesting facts revealed: Experiences and stories shared by compliance executives on how to become effective and influential leaders in their companies
Being a leader is not an easy task, as success stories are often made up of failures and defeats. To be successful and engage the company as a whole in compliance, you must be an influential person. This panel will address inspiring stories and experiences from influential leaders, including questions such as: (i) main errors that can be avoided when building and managing compliance teams; (ii) How do you know if you are an effective or ineffective leader? (iii) Best ways to recognize and give visibility to your team’s achievements; (iv) Ways of showing value, your achievements, and promoting yourself; (vi) How can you defend yourself and your team and ensure trust, approval, and effective support from Senior Management and the Board? (vii) How to promote successful interactions and relationships with HR, Legal and other corporate heads, e.g. CEO, CFO, etc.
Evolution of existing insurance policies to protect officers and directors in cases of data breach and corruption
Ongoing anti-corruption operations in Brazil have caused a significant increase in the demand for D&O (Directors and Officers) Insurance, and the new General Data Protection Law arises new responsibilities too. Practical cases reviewing the effectiveness of directors and officers insurance.
CGU - Advances in 2019 and prospects for 2020
The CGU (Comptroller General’s Office of Brazil) has also managed to attract the attention of Compliance professionals due to innovations and improvements in its processes. Two important ones, related to leniency agreements and administrative proceedings against companies, show the willingness of this Brazilian control body to work closer to companies to quickly remedy any misconduct, in addition to the recently published decree on national and international whistleblower protection mechanisms. The panel will provide insight into key advances in 2019 and prospects for 2020, such as how the Ombudsman System Units of the Federal Executive Branch are preparing to receive and handle such complaints.
Merger & Acquisition vs. Compliance due diligence
How to conduct appropriate due diligence? Based on the perceptions of buyers, 52% of respondents out of over 300 corporate leaders and M&A lawyers interviewed in the "Taking Center Stage: The Rise and Rise of M&A” survey, published by global law firm Baker McKenzie, believe that more than half of the cases of M&A negotiations or formation of Joint Ventures in Latin America over the past three years have not progressed due to Compliance issues raised during the due diligence process. The panel will discuss the market’s prospects for the year 2020 on this topic, as well as challenges and solutions to prevent the lack of Compliance maturity from harming large businesses in Brazil and Latin America.
Diversity & Inclusion - Challenges of building a corporate environment characterized by diversity and real transformation through inclusion
Women, Blacks, people with disabilities, and LGBT people are especially vulnerable to social exclusion, especially in the job market. When it comes to disability, exclusion is even worse. The panel will address successful D&I cases related to the most diverse types of disabilities and the environment that companies have created for people with disabilities to thrive. From making the recruitment process open and transparent to everyone to ensuring that a safe work environment.
Interaction with authorities during the investigation of a possible violation of anti-corruption laws
Understand what companies should do to ensure the credibility of their internal investigations, what to do upon receipt of an information request from authorities, when and what are the possible consequences of voluntary reporting. It will also discuss best practices during this process of interaction with authorities and what is expected of companies in terms of cooperation with investigations.
The reality of compliance reports for Boards and Committees: Benchmarking on lines of reporting and trends
- Considering the purpose, composition, and responsibilities, how are these committees structured in practice? What is the best format?
- How is the practice of companies in relation to the disclosure of confidential data and complaints, such as (i) employees and management information; (ii) number of complaints received; (iii) category of misconduct, such as labor issues, breach of internal rules, breach of laws; (iv) category of conclusion, such as founded and unfounded; and (v) to what audience is this information disclosed?
- What do boards and committees expect from compliance executives?
- How to interact with an Audit Committee and the Board of Directors in a scenario of change in corporate governance, considering priorities such as data protection.
- How to strategically position yourself to influence a company’s top management?
30 ways of selling COMPLIANCE – Brainstorming by Masterminds
How to sell Compliance in your company, to controllers, managers, employees, and business partners? This panel will address a brainstorming by participants in the Compliance Mastermind, featured in the 27th issue of LEC magazine, to help industry professionals demonstrate their value for the company.
Sports Compliance and Integrity
In recent years, the sports, entertainment, and advertising market has been repeatedly questioned as to its often non-transparent relationships and numerous peculiarities. This panel will discuss advertising contract clauses, sources of revenue, codes of conduct of sports organizations, as well as difficulties in implementing a compliance program in this industry, from both a domestic and an international perspective.
Compliance in public procurement: How to implement an effective compliance program for government contracts that meets all the requirements of national and international regulators?
In several Brazilian states, such as Rio de Janeiro, Federal District, Amazonas, Goiás, Rio Grande do Sul, Espírito Santo, proving the existence of integrity programs is already a requirement to do business with the government. In addition to these legal requirements, some multinational companies report a tendency to no longer relate to companies that cannot substantially prove the existence of a compliance program. The panel will address best practices adopted by companies in the process of selling to the government in compliance with local and international anticorruption provisions.
Whistleblower - Considerations about existing regulations, international experience and trends
The panel will address the role of the whistleblower considering the current regulatory scenario, Decree No. 10153/19, the international experience, e.g. the U.S. government’s program, OSHA’s (Occupational Safety and Health Administration) Whistleblower Protection Program, and future prospects, such as rewards and data protection programs.
KEYNOTE SPEAKER - Going from shame to Change
Compliance and the LGPD in Brazil and Latin America
Challenges faced by compliance officers with the LGPD and also considering the challenge of implementing a regional data protection program.
Organizational culture – CEOs’ perspective - Integrity and compliance as a hallmark of their companies
CEOs’ insights into how to incorporate compliance into the company’s overall business strategy. How to apply the human factor to corporate governance and the compliance department? Successful cases of how it can be encouraged and applied in practice.
Independent investigation committee - International and domestic cases of the creation of these committees
Some criteria that will be addressed:
- Time and need for creation;
- Criteria for selecting members and agreed values;
- Who does it report to?
- Interaction with authorities;
- Frequency of meetings;
- Defined disciplinary actions;
- Standing or temporary?
Compliance in the monitoring environment
Understand the challenges of working in a company under corruption investigation with the presence of an independent external monitor and external pressure to develop/enhance the Compliance program.
Compliance Career - Senior Management - Challenges
Senior management directly impacts the compliance executive’s career because a compliance program would not exist without their support. This panel will address challenging situations experienced by such executives at different times in their career. For example: How do you make due diligence on senior management of a company in which you are in the hiring process? What are the skills companies look for in professionals and how do they review applicants’ reputation? May there be a lack of support from management at some point of the work? What to do in this scenario?
2012-2020: Key compliance developments, current impacts and future prospects
In this panel, the founders of LEC’s Anticorruption Compliance Course will discuss the most relevant cases mentioned in class and, with a hands-on approach, will identify and point out trends for the coming years.
Compliance trends - New risks - compliance on social media
There is no doubt about the usefulness and growth of Digital Marketing in the coming years. Many companies have been adopting this strategy, using online channels to generate business, relationships, and results, bringing new risks to companies, such as Digital Influencers, who are people capable of influencing users’ behavior through their communication channels, such as Facebook, YouTube, Instagram, Twitter, etc. By posting content, they directly or indirectly interfere in consumption decisions of the audience who follows and shares the same ideas as influencers, who are most of the time are paid to do so. This panel will address how to identify and address compliance risks related to this topic and properly conduct Due Diligence. Working together with the marketing department, as already done with the Legal, will be increasingly necessary.
The challenge of facing the unconscious bias in the corporate environment and how to take effective measures towards a more inclusive and diverse environment
Unconscious biases are social stereotypes about certain groups of people that individuals form outside their own conscious awareness. Everyone holds unconscious beliefs about various social and identity groups, for example, a person can be influenced by unconscious prejudices when performing simple day-to-day activities, such as managing their team, conducting a recruitment interview or an internal compliance investigation, resulting in people suffering with involuntary discrimination and leading to moral distrust and a greater likelihood of good people leaving the company. What is the best way to overcome these unconscious biases? Understand from the manager’s perspective how to develop ways of ensuring effective inclusion. This will help the company build a more inclusive and diverse workplace.
Internal investigations in multiple jurisdictions
The panel will bring news about conducting the internal investigation process, as well as the challenge of conducting it in multiple jurisdictions, bringing perspectives that crosses borders for information sharing, self-reporting, cooperation, and global agreements.
Evolution of lobbying regulation and its impact on compliance
The dialogue between the public and private sectors is fundamental for the development of Brazil. There is a global movement towards demonstrating the integrity of institutions and promoting compliance and a commitment to ethics in both sectors. Evolution of corporate governance and compliance programs in companies increases the importance of monitoring and taking care of your public and private institutional relationships and managing them in a structured way. The panel will discuss the evolution of regulations, the topic, and the role of these specialized professionals within companies.
Communication and Training - Storytelling and high impact presentation techniques to enchant an audience
Increase your chances of success in conducting training on the code of conduct, other policies, or even presentations on compliance issues to the Ethics Committee or Senior Management. This workshop will discuss techniques and practical exercises to build your presentations, considering some assumptions in the preparation, such as strategy, content, look, and rehearsal.
Case study on practical application of the LGPD
Stay updated on major corruption cases in 2019. A practical discussion, lessons learned and prospects for 2020.