Guest Speakers: Steve Henderson and Fred Miller, PwC
The purpose of this hour-long panel discussion will be two-fold.
A peek inside what it is like to be squarely in the sight of the Enforcers/Regulators
First, the panelists will take you "inside the room" of enforcement / regulatory proceedings in the ABC arena and explain the types of questions you will be asked, what you will have to explain, the expectations of the Enforcers/Regulators about your activities, the remediation expected, the methods of resolution and defence mechanisms available. Panelists will also discuss the important differences among different enforcement/regulatory scenarios (e.g., Canada v. US DOJ, SEC v. UK SFO).
How does your ABC compliance program measure up to expectations and what others in the industry are doing?
Second, the panelists will discuss what they are actually seeing companies in your industry doing about implementation of their ABC programs. How does yours compare with what others are doing and what Enforcers/Regulators expect?