ACES Compliance - May 2023
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Tuesday, May 23

8:00am PDT

9:10am PDT

Opening Remarks and Live Polling Icebreaker Exercise
Roll up your sleeves and prepare to issue spot and troubleshoot during our highly interactive and celebrated group working group exercises. Purposefully designed to encourage peer-to-peer collaboration and promote the sharing of expert knowledge and best practices, join session facilitators as they use hypothetical fact patterns and Q&A to navigate some of today’s most complex ACES scenarios. In advance of the conference, session facilitators agree to prepare substantive materials intended to inform and further industry-specific dialogue. Attendees will be encouraged to come prepared with questions for facilitators as well as a willingness to participate in a dynamic conversation. Time will be reserved at the end of each session for a “facilitator summary”.

avatar for Ashley Csaki

Ashley Csaki

Program Director, Momentum

Tuesday May 23, 2023 9:10am - 9:30am PDT
American University Washington College of Law

9:30am PDT

ACES in Action: The Intersection of Corruption, Trade and Sanctions Violations- An Issue Spotting Exercise
Initially understood as an Anti-Corruption violation, learn how Chief Compliance Officer at “Company X”, discovers that more systemic problems exist spanning export control and trade practices within the company. Using hypothetical fact patterns, presenters will walk attendees through various scenarios that pose risk and uncertainty to even the savviest compliance officer. 

With Possible Discussion on: 
    • Investigations- Identifying “when” and “why” to dig deeper 
    • Calling for backup? Best practices for engaging with outside counsel
    • Determining “if” and “when” to notify C-Suite leadership and the Board 
    • To voluntarily disclose… or not

avatar for Jennifer Leete

Jennifer Leete

Partner, Litigation, Cravath, Swaine & Moore LLP

avatar for Larry Fink

Larry Fink

Senior Assistant General Counsel and Vice President, Leidos
avatar for Christopher Tierney

Christopher Tierney

Principal Counsel-Compliance, Bechtel
avatar for Brooke Horiuchi

Brooke Horiuchi

Corporate Counsel, Northrup Grumman

Tuesday May 23, 2023 9:30am - 10:30am PDT
American University Washington College of Law

10:35am PDT

Hitting the Mark: Top 5 Must Haves for Every Third Party Due Diligence Program
You are interviewing to be the first Chief Compliance Officer at "Company X” a midsize,  publicly traded, widgets manufacturer. As part of your interview, the board has requested that you present a third party due diligence action plan for evaluating and monitoring vendors. You have heard through the grapevine that while Company X operates on a tight budget, they encourage innovative thought leadership and reward cost-saving yet effective ideas and processes. 

As a group, prioritize and discuss your top 5 steps for effective third party due diligence. Time will be reserved at the end of the session to share and compare group plans.  

avatar for Christine Boucher

Christine Boucher

Deputy General Counsel & Chief Compliance Officer,, Delta Air Lines
avatar for Glen Sproviero

Glen Sproviero

Associate General Counsel & Director Verizon Ethics Verizon Communications, Verizon Communications

Tuesday May 23, 2023 10:35am - 11:35am PDT
American University Washington College of Law

11:35am PDT

Coffee Break
Tuesday May 23, 2023 11:35am - 11:45am PDT

11:45am PDT

Sanctions Intensive: Segment 1: OFAC Guidance and Global Overview
Join OFAC and other Government representatives  for a discussion exploring evolving trends and priorities surrounding the current global climate. With an up-to-date overview of emerging developments in China, Russia, Ukraine, Burma and Iran, as well as an overview of the latest OFAC guidance and best practices for avoiding fines and penalties.

Tuesday May 23, 2023 11:45am - 12:15pm PDT
American University Washington College of Law

12:20pm PDT

Sanctions Intensive: Segment 2: Actionable Insights- Establishing an Effective OFAC Compliance Framework
Sanctions compliance is now more complex and important than ever. Ensuring a qualified risk management program is essential in minimizing risks and avoiding non-compliance.  Building upon hindsight and lessons learned from recent violations, join speakers as they explore the facts that resulted in recent enforcement actions and the ways in which organizations can strengthen and soundproof  internal processes and practices. With possible discussion on: 
  • Developing effective risk assessments 
  • Identifying and collaborating with key business units 
  • Leveraging technology and analytics

avatar for Wendy Hennigan

Wendy Hennigan

Vice President, Global Head of Financial Crimes, HarbourVest Partners
avatar for Nicole Tull

Nicole Tull

Director, Global Financial Crimes and Sanctions Compliance Advisory, Morgan Stanley

Tuesday May 23, 2023 12:20pm - 12:50pm PDT
American University Washington College of Law

12:50pm PDT

Tuesday May 23, 2023 12:50pm - 1:45pm PDT
American University Washington College of Law

1:45pm PDT

Geopolitics and the Impact of Recent International Events on Global Regulatory Compliance Operations 
Lean- in and learn as industry experts participate in enlightening conversation exploring the current geopolitical landscape.  Uncover the ways evolving and emerging conflicts, risks and uncertainty are impacting regulatory compliance as well as proactive strategies and policies for improving agility and awareness. 

Topics for discussion are subject to change and may include: 
  • Russia/Belarus/Ukraine- identifying the conflict’s immediate and future impact on business operations and gearing up for enforcement 
  • Navigating Russian countermeasures 
  • Emerging Unrest- assessing the latest developments between China and Taiwan
  • Inflation and risks surrounding rising costs 
  • Preparing your global compliance program to respond to the supply chain crisis

avatar for Allan Tiro

Allan Tiro

Vice President, Global Trade Controls-Legal, Avnet
avatar for Lynn Van Buren

Lynn Van Buren

Director, Global Compliance, Spire
avatar for Orisia Gammell

Orisia Gammell

Chief Legal Counsel, Export Control, SAP

Tuesday May 23, 2023 1:45pm - 2:45pm PDT
American University Washington College of Law

2:50pm PDT

Training in the New: Reimagining Compliance Training on any Budget
Intentionally crafted to address a broad range of budgets, listen and learn as leaders on the cutting edge of training innovation share success stories for engaging colleagues in ways that are not only celebrated but most importantly effective in ensuring compliance comprehension across your organization. Including possible discussion on:

  • Gamification
  • Immersive exercises
  • Scenario based training
  • Tracking and reporting training efforts 
  • Effectively training the remote/hybrid workforce

avatar for Emeka Nwankpah

Emeka Nwankpah

Senior Compliance Counsel, General Motors

Tuesday May 23, 2023 2:50pm - 3:35pm PDT
American University Washington College of Law

3:35pm PDT

3:45pm PDT

A Guide to Data Driven Decision Making (D3M)- Effectively Applying Analytics towards your Day- to- Day Compliance Operations
Is your compliance program effectively and strategically taking advantage of data? Listen and learn as in-house experts and leaders on the cutting edge of analytics share the ways in which data and analytics are transforming organizations’ decision making, risk profiles and more. Including possible discussion on: 

  • Creating a culture of analytics- best practices for right sizing data solutions, establishing an infrastructure and embracing the process 
  • Avoiding D3M pitfalls- tackling bad data, weak analysis, flawed recommendations, poor communication and more 
  • Analytics in Action- real world examples of how organizations are leveraging D3M to optimize  processes and procedures 
  • Emerging technology and the growing role of Artificial Intelligence 
  • Satisfying Government compliance expectations with data analytics

avatar for Lindsey Gauthier

Lindsey Gauthier

General Counsel and Chief Ethics and Compliance Officer, Quest Global

Tuesday May 23, 2023 3:45pm - 4:30pm PDT
American University Washington College of Law

4:35pm PDT

M&A Risk Management Action Plan- A Practical Scenario Exercise
You have recently been promoted to Chief Compliance Officer of “Company X”, a defense manufacturer with subsidiaries in France and the UK. Company X is looking to expand both geographically and in new branded product lines. Your Head of Corporate Development has identified a new target company for potential acquisition, “Company Z”. 

During this collaborative exercise, roll up your sleeves and explore various scenarios, considerations and tools for navigating complex risks when engaging in mid-market deals. With possible discussion on: 
  • Creating a risk profile
  • Due diligence best (and worst!) practices
  • Business-related issues
  • Owner-related issues 
  • Toolkit must-haves 

avatar for Sergio Leal

Sergio Leal

Head of MANA Compliance, Head of M&A Compliance, Ericsson
avatar for Daniel Elustondo

Daniel Elustondo

Senior Legal Counsel, Shell

Tuesday May 23, 2023 4:35pm - 5:20pm PDT
American University Washington College of Law

5:20pm PDT

5:30pm PDT

Wednesday, May 24

8:15am PDT

9:00am PDT

Faces of Aces Award Ceremony
According to the American Bar Association, only 36% of practicing lawyers are female and only 15% are minorities. With the FACES of ACES award, Momentum is drawing attention to this gap and seeking to recognize the women and minorities who have paved the way in their organization. 

This award is intended for torchbearers in compliance who have established themselves as a leader and advocate in their company, or a compliance executive who has championed a project, helped build a community or earned a reputation as a reliable and helpful team member. 

Know someone who deserves to be recognized? Please submit all award nominations to AshleyC@momentumevets.com 

Wednesday May 24, 2023 9:00am - 9:10am PDT
American University Washington College of Law

9:15am PDT

Operator Manual- A Comprehensive Guide for Global Compliance Officers Doing Business in and with China
With possible discussion on: 
  • Assessing the big picture- understanding the impact of current policies on your corporate operations
  • Anticipating Chinese countermeasures and preparing your compliance program for a sophisticated China
  • Right sizing due diligence
  • Designing comprehensive and custom tailored training that can tackle the most complicated APAC compliance scenarios
  • Leveraging internal strategy groups and interoffice collaboration to create comprehensive policies and practices
  • Turning stumbling blocks to stepping stones- how trade experts’ hardest lessons learned, lesser known pitfalls and pressing paint points can be used to improve your APAC trade compliance programs
Topics for discussion are subject to change and will be updated as necessary

avatar for Jennifer Maki

Jennifer Maki

Director, Global Trade Compliance, Micron Technology

Wednesday May 24, 2023 9:15am - 10:15am PDT
American University Washington College of Law

10:15am PDT

Coffee Break
Wednesday May 24, 2023 10:15am - 10:25am PDT
American University Washington College of Law

10:25am PDT

Track Sessions
For the duration of Day 2, choose your own adventure and move freely between dual tracks.  Whether you specialize in Anti-Bribery, Export Controls or all of the above, benefit from the opportunity to specially tailor your programming to meet your individual compliance needs and priorities. 

Sessions will take place in 2, distinct rooms. Advanced session selection is not required. All sessions are off-the-record and will not be recorded unless explicitly noted otherwise. Attendees will have complete access to all available materials. 

Wednesday May 24, 2023 10:25am - 10:25am PDT
American University Washington College of Law

10:25am PDT

Track A: The Anti-Corruption Compliance Handbook Exchange - A Comparative Analysis Exercise
Take advantage of the opportunity to listen and learn as seasoned compliance officers dissect and assess existing corporate anti-corruption policies and guidelines. Whether they are 4 pages or 40 pages, take note as presenters explore the various ways handbooks can be used to tackle complex ideas and scenarios, while providing best practices and invaluable suggestions for ensuring your guidelines can withstand government scrutiny.

Wednesday May 24, 2023 10:25am - 11:10am PDT
American University Washington College of Law

10:25am PDT

Track B: Global Encryption, Cloud and Cyber Controls in Action- Avoiding Missteps and Non- Compliance
Prepare to engage and learn as senior trade experts explore nuanced complexities impacting global encryption, cloud and cyber control compliance. Using case studies, live polling and hypothetical scenarios, join presenters as they explore the latest in licensing, classification and reporting guidelines as well as a practical roadmap for navigating the lesser known pitfalls of recent and evolving regulations. 

avatar for Sarah Black Perry

Sarah Black Perry

Director & Assistant General Counsel-Global Trade, Raytheon Technologies

Wednesday May 24, 2023 10:25am - 11:10am PDT
American University Washington College of Law

11:15am PDT

Track A: The Dos and the Don’ts of an Internal Investigation
Join compliance experts as they provide insightful and practical guidance for responding to suspected wrongdoing. With possible discussion on: 
    • Best practices on how to perform workplace conduct investigations, including potential criminal conduct
    • Best practices on how to document workplace conduct investigations
    • Considerations about attorney/client privilege and confidentiality
    • Practical working case example

Wednesday May 24, 2023 11:15am - 12:00pm PDT
American University Washington College of Law

11:15am PDT

Track B: Chinese Trade Controls Update- What Trade Professionals Need to Know
During this informative dialogue listen and learn as senior trade leaders share expert insights and practical strategies for navigating the latest trade landscape in China. Content will be tailored to match the most up-to-date policies. 

With possible discussion on: 
  • MEU, MEIU and CCMC rules- implementation and due diligence 
  • Navigating BIS’ artificial intelligence and semiconductor rules- and the impact on the broader supply chain 
  • Current licensing and compliance issues
  • Global impact and emerging international measures 

avatar for Bing Xu

Bing Xu

Chief Counsel, Global Trade, Regional Head of Sanctions and Export Control-North America, Interim Global Head of Sanctions and Export Control- Defence, Rolls-Royce

Wednesday May 24, 2023 11:15am - 12:00pm PDT
American University Washington College of Law

12:00pm PDT

Wednesday May 24, 2023 12:00pm - 1:00pm PDT
American University Washington College of Law

1:00pm PDT

Track A: Tales from a Monitorship Roundtable: What to Expect When Transforming Global Operations Post Violation
Learn how your organization can benefit from the collective experiences of others as you are provided with insights into how your company can successfully recover and build a robust compliance program within your global organization post-investigation, settlement or prosecution. Including discussion on:
    • Monitor selection
    • On-boarding your Monitor, relationship building and the significance and importance of internal messaging and attitudes 
    • Internal and external resourcing and relationship management 
    • Goal tracking and journey mapping

avatar for Krista Ross Stephens

Krista Ross Stephens

Compliance, Ethics & Risk Manager, Volkswagen Group of America
avatar for Mike Kostiw

Mike Kostiw

Senior Counsel, GM Defense

Wednesday May 24, 2023 1:00pm - 1:45pm PDT
American University Washington College of Law

1:00pm PDT

Track B: Trade Violations, Penalties and Consent Agreements- A Case Study Exercise
Join presenters as they dissect the facts and circumstances surrounding recent consent agreements and export violations. Featuring discussion on voluntary disclosures, penalties, internal compliance programs, and risk mitigation.

avatar for Christina Zanette

Christina Zanette

Assistant General Counsel, Export ComplianceHoneywell, Honeywell
avatar for Bill Wade

Bill Wade

Vice President, Global Trade Compliance, L3Harris Technologies
avatar for Alan Levesque

Alan Levesque

Senior Managing Director, Compliance, Investigations, & Oversight, Ankura
avatar for Laura Molinari

Laura Molinari

Director, Global Trade Policy, Boeing

Wednesday May 24, 2023 1:00pm - 1:45pm PDT
American University Washington College of Law

1:50pm PDT

1:50pm PDT

Track B: CFIUS Update- Successfully Navigating New Enforcement and Penalty Guidelines
On October 20, 2022, the Treasury Department released the first-ever Chair on Foreign Investment in the United States (CFIUS) Enforcement and Penalty Guidelines. During this insightful and practical discussion, listen and learn as leading CFIUS experts dissect the new enforcement framework and its implications on existing compliance programs. Featuring best practices and proven tools for identifying gaps, challenges and trends in CFIUS monitoring, as well as possible discussion on:
  • Identifying high risk conduct
  • Self disclosures and mitigating factors 
  • Petitions for reconsideration 

Wednesday May 24, 2023 1:50pm - 2:35pm PDT
American University Washington College of Law

2:40pm PDT

Track A: Privacy, Cybersecurity and Data Control for ABAC/Global Trade Leaders: Best Practices for Non-Privacy Expert Operating in Today’s Global Business Environment
Take note as presenters dive into the latest developments and emerging policies surrounding cyber threats, privacy and data control. Including possible discussion on: 
  • Ransomeware- preventing and detecting attacks, how your cybersecurity program can manage risks and prevent exposure through proactive response
  • International data transfers- assessing the impact of the new EU-US data privacy framework on your compliance program 
  • Data privacy considerations in international investigations  
  • Emerging data protection regimes and best practices for minimizing GDPR risk exposure  

avatar for David Kessler

David Kessler

Vice President & Associate General Counsel, BAE Systems

Wednesday May 24, 2023 2:40pm - 3:25pm PDT
American University Washington College of Law

2:40pm PDT

Track B: Fireside Chat with BIS and DDTC- Exploring the Latest in Export Controls and Enforcement
Benefit from an opportunity to hear from the leadership of key regulatory agencies as they engage in a lively discussion tackling evolving policies and priorities. 

With possible discussion on: 
  • Key takeaways from the State Department’s updated ITAR Compliance Program Guidelines 
  • Recent changes to licensing requirements 
  • Enforcement- understanding key elements from the latest cases and the Departments’ priorities for 2023 and beyond
  • Penalty trends 
  • Voluntary disclosures- best and worst practices 
  • Top takeaways from recent charging letters

Wednesday May 24, 2023 2:40pm - 3:25pm PDT
American University Washington College of Law

3:25pm PDT

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