Internal & Government Investigations
January 16 - 17, 2008 · Georgetown University Conference Center (and Hotel), Washington, DC


Conference Day One: January 16, 2008

7:45 Registration And Breakfast

8:30 Chairperson’s Welcome And Opening Remarks

8:45 Analyzing the Evolving World Bank Sanctions Management

  • Highlighting administrative sanctions as an anti-corruption tool
  • Detailing sanctions reform and cooperation among International Financial Institutions
  • Analyzing the World Bank's two-tier sanctions management process
  • Examining incentives for private sector cooperation

Pascale Dubois
Sanctions Evaluation and Suspension Officer
World Bank

9:30 Installing Effective Compliance Procedures To Avoid Government Investigations And Promote Preventive Conduct

  • Analyzing the necessary components and procedures in a successful program
  • Examining Federal Sentencing Guidelines and their requirements
  • Investigating recent compliance litigation updates
  • Balancing corporate strategy with ethical and conduct codes
  • Creating ethical guidelines that encourage compliance
Jay Martin
Vice President, Chief Compliance Officer and Senior Deputy General Counsel
Baker Hughes
Ira H. Raphaelson
Vice President, General Counsel & Secretary
Scientific Games Corp
Joan Mckown
Chief Counsel, Division of Enforcement
Benjamin R. Ogletree
Proskauer Rose LLP

10:15 Morning Networking And Refreshment Break

10:45 Detailing What Makes For An Effective Internal Investigation While Keeping Costs Reasonable

  • Examining proper initial steps to take when beginning an investigation
  • Knowing when and where to start an investigation
  • Understanding obligations under Sarbanes-Oxley (Section 301)
  • Exploring successful exit strategies
  • Balancing cost-control methods without compromising efficiency


Gregory DiMeglio
Stradley & Ronon

Douglas Edwards
Deputy General Counsel
Wachovia Corporation

Katherine Choo
Senior Counsel, Litigation and Legal Policy
General Electric

Angeline Chen
Associate General Counsel
Lockheed Martin Corporation

Abby Fiorella
Vice President, Audit & Forensics

11:30 Exploring Potential Missteps When Investigating Misconduct

  • Analyzing hypothetical disciplinary scenarios: taking proper steps and avoiding retaliatory actions
  • Strategies to take when allegations charge conspiracy with thirdparties
  • Balancing employee rights versus the dangers of not investigating
  • Knowing what to disclose and not disclose to HR
  • Minimizing the potential claims by employees from inquiries


D. Jean Veta
Partner, Covington & Burling

Chris Marlin
Deputy General Counsel
Lennar Corporation
David Becker
Chief Compliance Officer
BNY Mellon Shareowner Services
Andrea Clark
Senior Counsel
American Airlines

12:15 Networking Luncheon

1:15 Ensuring Propriety And Preventing Paralysis When Going Forward With An Internal Investigation

  • Knowing best practices to minimize the disruption of day-to-day business
  • Understanding when and how to deal with regulators, outside counsel, and auditors
  • Detailing the differences between an investigation by the company versus the board of directors
  • Managing reputations and dealing with HR
  • Addressing best methods for staying in the background while maintaining efficiency and cost-effectiveness
Margaret Duplantier
Senior Vice President, General Counsel, Chief Compliance Officer and Secretary
Lummus Technology Inc., a CB&I company
Daniel J. Goldstein
Vice President, Deputy General Counsel
Pitney Bowes Inc.

2:00 Approaching Internal Investigations And FCPA Cases Across Borders

  • Understanding how to approach different rules, regulations and governmental policies in cross-border internal investigation
  • Examining the new areas of FCPA compliance
  • Determining best practices for compliance with foreign laws and regulations that conflict with US counterparts
  • Exploring problems with intermediaries and conducting due diligence
  • Complying with Sarbanes Oxley when encountering pushback from foreign jurisdiction
  • Analyzing potential negative impacts of fraud findings abroad

Moderated by:

Mark Biros
Proskauer Rose LLP
Julia Bailey
Assistant General Counsel, International Transactions & Compliance
Susan Ringler
Former General Counsel to UN Inquiry Committee in Iraq, Senior Counsel for International Compliance
ITT Corporation
Jay Martin
Vice President, Chief Compliance Officer and Senior Deputy General Counsel
Baker Hughes

2:45 Afternoon Networking And Refreshment Break

3:15 Determining Best Approaches To Whistleblowers

  • Understanding best steps to take when a whistleblower emerges
  • Analyzing the critical role of the whistleblower in the post- Sarbanes Oxley world
  • Describing best methods for determining reasonable basis for a claim
  • Evaluating the appropriate stance to take with respect to court costs and internal procedures
John Hamlin, Esq
Chief Employment Counsel
Marsh & McLennan Company
Edward Hlavach
Executive Director and Chief Auditor
Dow Jones & Company
Ivan R. Lehon
Ernst & Young

4:00 Understanding The Complications Of Attorney- Client Privilege In Government Investigations

  • Exploring representation of an employee v. the company
  • Determining the applicability attorney-client privilege (Marvell)
  • Examining represented employees as a witness versus as a target
  • Analyzing disclosure obligations and dealing with the potential absence of rules of evidence
  • Discussing the role of General Counsel


Beth L. Fancsali
Wildman Harold

Alan Brudner
Head of Litigation & Investigations Americas
UBS Investment Bank

Kurt Stitcher
Levenfeld Pearlstein LLC

4:45 End Of Day 1

[ Register Now] · [ Next: Conference Day Two: January, 17 2008 ]