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. By way of Law 14010/20, sanctions came into effect from August 1, 2021, and penalties can reach 2% of total revenue, up to a limit of 50 million reais. Implementing a data protection compliance 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.
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 anti-corruption compliance, 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 for achieving meaningful results and ensure a successful compliance program.
Did you know that Compliance can be a great ally in the ESG plan of organizations?
This workshop will discuss how to build an ESG agenda and the role of Compliance in this process and will also provide an overview of how large organizations are looking at the issue. Understand how to set sustainable goals in accordance with international best practices, map and assess potential risks, and prepare appropriate documents for this operation.
Prevention of Money Laundering and Terrorist Financing
Understand and discuss the pillars of an Anti-Money Laundry (AML) program and also the recent updates to CVM Instruction 617 on the capital market, which are 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.
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 enhance the desired results.
Benchmarking on Compliance Risk Assessment vs. related Internal Controls and how to properly document considering authority bias as well
Risk assessment is considered one of the main pillars of a compliance program, but risk mapping alone, 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 a company should conduct. This important review must take into account the ecosystem where a company operates, its size, and the level of commitment of its partners, third parties, and suppliers. Through different perspectives and methodologies applied by companies, learn how to map, prioritize, and manage risks effectively.
A 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 recommended measures for identifying and remediating red flags.
Learn how to build an “integrity ambassador program”
Ambassadors, also known as champions, support the implementation, management, and enhancement of an integrity program, especially in large companies, with activities spread across a number of regions or countries. Learn how to build this program from real cases.
Communication and training - Effective compliance training techniques. Using technology and playful resources to increase training effectiveness
Gamification consists of using game design techniques and strategies in contexts not necessarily associated with gaming.
Following market trends, this workshop will discuss in practice technology and playful strategies to leverage the knowledge and engagement of the team and employees of your company on the topic of ethical decision making and overall compliance.
ISO 37301 and 37001 certifications
Compliance for public sector companies
Corruption, fraud, conflict of interest, and other types of misconduct may occur 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 public and private approaches. Promoting debate among all stakeholders is imperative to establishing best practices and those that should be avoided and/or prohibited.
Leadership and People Management – Challenges for compliance managers and professionals
Inspiring and 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 to compliance; (ii) teamwork; (iii) successfully navigating and interacting with other leaders and departments; (iii) learning to give and receive feedback within and outside the team; (iv) creating result-oriented management and setting compliance goals; (v) creating an environment open to change and innovation. These issues will be linked to the reality of compliance teams and leaders.
Past, present and future. What is expected from Audit, Internal Controls, and Compliance functions, and how can they interact for more effective corporate governance?
These are distinct, but correlated areas. Although some experiences combine internal audit and compliance, these areas are often poorly integrated: compliance is generally closer to the legal department while internal audit is closer to controllership and internal controls teams. 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.
Psychological and sexual harassment - A hands-on approach on how to train and develop human resources in organizations to prevent these violations and, if necessary, how to investigate them
Complaints about interpersonal relationships, especially abusive behaviors such as aggression, psychological and sexual harassment, and other types of misconduct, continue to grow in most organizations. Implementing compliance tools, such as, whistle-blowing channel, codes of conduct, communication, training, focus on organizational integrity, adoption of an effective diversity & inclusion program, is essential for raising awareness that the human factor is as important as the technical one, and acts preventively against the increase of these complaints. Understand how to properly handle/investigate cases and to address appropriate remedial measures.
‘Pró-Ética’ 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 this certification and other existing 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
Tomada de decisão ética pode ser subjetiva e não é uma ciência exata. Enquanto todos nós acreditamos saber a diferença entre o certo e o errado, o processo de decidir sobre fazer a coisa certa nem sempre é óbvio. De fato, decisões éticas com alto risco agregado sempre são algumas das mais difíceis que tomamos no ambiente corporativo. Elas também trazem algumas das consequências mais significativas, seu trabalho não termina depois de tomar decisões difíceis, mas continua com a necessidade de reavaliar e medir continuamente a eficácia de suas decisões. Neste painel, serão discutidos como os executivos de compliance e especialistas aplicam na prática o processo de tomada de decisão ética, além de avaliar as consequências das decisões e a necessidade de sempre aprimorar o seu programa de compliance, fortalecendo os pontos fracos decorrentes desse processo.
Just Culture - Bottom up and tone at the top
Just Culture, a governance model based on the principle that not all errors or conduct violations are motivated by bad intentions, seeks to establish an environment that supports and encourages the reporting of errors and other adverse events. 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 punitive 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 2022 in fighting corruption in Latin American countries
Some countries in the region have made important advances in combating corruption in recent years. For example, Mexico did not recognize lawyer-client privilege until August 2019, which hindered collaboration with other jurisdictions. However, in a period of great difficulty marked by the pandemic, some countries have relaxed their public procurement processes and discouraged the sharing of information between authorities. In addition, FCPA enforcement has intensified, and the new U.S. administration has increased its focus on Latin America. This panel will discuss advances in major Latin American countries and what to expect in 2022.
Digital transformation for the Compliance area - Synonymous with efficiency and effectiveness.
In the past, one could not sit at a conference table without hearing the expression “competitive edge”. Now, a fashionable expression seems 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 any law related areas, with various possibilities such as: Workflows, Whistleblowing Channels, customer service, legislation monitoring, risk management, and more, as well as 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 entire company in the compliance, you need to 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 top management and the Board? (vii) how to promote successful interactions and relationships with HR, Legal and other corporate heads, e.g. CEO, CFO, etc.
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, the timing and possible consequences of voluntary reporting. It will also discuss best practices during this process of interaction with authorities and how companies are expected to cooperate with investigations.
Mergers & Acquisitions: 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 joint ventures formations 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 2022 on this topic, as well as challenges and solutions to prevent the lack of Compliance maturity from compromising big business in Brazil and Latin America.
ESG – You have certainly heard of the three letters that are humanizing the market, but you may not know how to measure
The lack of standards for ESG data published by companies makes it difficult for the market and regulators to assess them. In this panel, we will discuss the main Environmental, Social and Governance metrics based on existing best practices and how to use them to effectively benefit the company, shareholders, and investors.
Independent investigation committee - International and Brazilian cases of creation of these committees
Some questions that will be addressed:
- Time and need to create;
- Criteria for selecting members and agreed values;
- Who does it report to?
- Interaction with authorities;
- Frequency of meetings;
- Defined disciplinary actions;
- Standing or temporary?
The crypto world. AML in Cryptocurrencies and Blockchain
Cryptocurrencies have come to revolutionize the market, and one of their most attractive features in comparison to traditional currencies is the ease of trading, instant liquidity, execution and storage of smart contracts, but there are risks in their use and anonymous storage. These features can have some implications, such as their use for money laundering and other crimes. The panel will address the fantastic world of blockchains and their regulatory framework in Brazil and worldwide.
Compliance and Integrity in Sports
The world of sports goes far beyond what takes place in arenas, fields, and courts. The sector is undergoing complex transformations that directly affect all industry players: federations, clubs, sponsors, investors, athletes, and the public. Corruption scandals and management failures, for example, reflect the importance and urgency of thinking - and acting - on restructuring and updating governance within sports. This panel aims to discuss the importance of transparency within sports organizations and the relevance of implementing compliance programs.
5 ways to sell COMPLIANCE
Inspired by the collective construction of Compliance Mastermind participants that was part of the 27th issue of LEC Magazine to help professionals in the field demonstrate their value to the company, the panel will present the 5 best ways to sell Compliance in your company to controllers, managers, employees, and business partners.
Compliance in public contracts: How to implement an effective compliance program for government contracts that meets all the requirements of Brazilian and international regulators?
In several Brazilian states, such as Rio de Janeiro, Federal District, Amazonas, Goiás, Rio Grande do Sul, Espírito Santo, proof of an integrity program is already a requirement for doing business with the government. In addition to these legal requirements, some multinational companies show a tendency to no longer do business with companies that cannot provide documentary evidence of a compliance program. The panel will address the best practices adopted by companies in the process of selling to the government in compliance with local and international anticorruption provisions.
Evolution of existing insurance policies to protect management in Data Breach and corruption cases
Ongoing anti-corruption operations in Brazil have caused a significant increase in the demand for D&O (Directors and Officers) Insurance, and new responsibilities arise with the new General Data Protection Law (LGPD). Practical cases reviewing the effectiveness of management insurance.
KEYNOTE SPEAKER – CGU: Advances in 2020/2021 and prospects for 2022
CGU 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 more closely with companies in quickly remedying any misconduct, in addition to the recently published decree on national and international whistleblower protection mechanisms and the evolution of the work in the face of the challenges brought by the pandemic. The panel will provide information on the main advances in 2020/2021 and prospects for 2022.
Organizational culture from the perspective of CEOs - 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.
Compliance and the LGPD in Brazil and Latin America
Challenges faced by compliance officers with the LGPD, including the challenge of implementing a regional data protection program.
A career in Compliance - Top Management - Challenges
Top management has a direct impact on the career of compliance executives because a compliance program would not exist without its support. This panel will address challenging situations experienced by such executives at different times in their career. For example: How do you conduct due diligence on the top management of a company that is hiring? What skills do companies look for in professionals, and how do they assess the applicant’s reputation? There may be a lack of support from management at some point of the work. What to do in this case?
Practical and interactive discussion of a Compliance case - What will be the best solution for the case?
In this panel, an innovative dynamics will be carried out with two teams. The teams will be exposed to a case with complex situations and will have to develop the best solutions for each nuance. Which team will present the best solutions?
The reality of compliance reports for Boards and Committees: Benchmarking on Lines of reporting and trends
The panel will address the following issues:
- How are these committees structured in practice (purpose, composition, responsibilities, best format)?
- How is companies’ practice governing 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 changing corporate governance environment considering current priorities such as LGPD and ESG.
- How to strategically position yourself to influence a company’s top management?
Compliance in the monitoring environment
Understand the challenges of working in a company under a corruption investigation with the presence of an independent external monitor and external pressure to develop/enhance the Compliance program.
Internal investigations in multiple jurisdictions
The panel will discuss what is new in the internal investigation process, as well as the challenge of conducting it in multiple jurisdictions, by bringing perspectives about cross-border information sharing, self-reporting, cooperation, global agreements, and technological considerations.
Compliance Risks in the digital environment
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, which bring risks, such as the use of Digital Influencers, Fake News, posting of information on social media that may damage the company’s image, data protection, Employee Advocacy, and more. Dissemination of content directly or indirectly interferes with the public’s consumption decisions. This panel will address how to identify and address in the digital environment 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 unconscious bias in a corporate setting and how to take effective action 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 create ways to ensure effective inclusion. This will help the company build a more inclusive and diverse workplace.
Evolution of lobbying regulation and its impact on compliance
Dialogue between the public and private sectors is fundamental to 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 highlights the importance of monitoring and taking care of 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.
Case study on practical application of the LGPD
Communication and Training - Storytelling and high impact presentation techniques to enchant the 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 Top Management. This workshop will discuss techniques and practical exercises considering some aspects when preparing your presentations, such as strategy, content, look, and rehearsal.