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Compliance and Anticorruption in Russia and CIS, 5th Annual Conference, June 2018, Moscow

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DAY 1: THURSDAY, 28 JUNE 2018 
Compliance and Anti-Corruption in Russian and CIS: 2018
Alexey Kolotvin,   Business Ethics and Compliance Director, CIS
  • Russian and international anti-corruption legislation Regulatory enforcement
  • Compliance track in Russia; Western trends and the effect
  • Adaptation of universal approach to anti-corruption compliance program efficiency assessment to corporate specifics and needs 
Real-life experience in creation the efficient compliance service, Х5 Retail Group
Margarita Khomenko, Head of Compliance, Risk and Control Directorate
X5 Retail Group
  • Key compliance-defining regulations
  • Preventive control and corporate compliance procedure automation goalsCreating compliance service from “scratch” and main challenges
  • Compliance service place in the company structure; the service interaction with other departments and business units
  • Compliance role in Company: From consultancy to ‘Veto’
Compliance culture in "En+": Experience in implementation, promotion and development
Igor Lerner, Director for Control, Internal Audit and Business Coordination
UC Rusal
  • What to consider when building a compliance culture in the organization?
  • Institute of Ethics Commissioners as a method of involving a wider audience in the development of compliance culture 
  • Main difficulties in promoting the compliance culture
  • Key indicators of the compliance culture implementation project efficiency
Compliance risk related control and monitoring systems in Heineken 
Tatiana Smirnova, Senior Legal and Compliance Advisor
  • What do we mean by "compliance"? Implementation experience
  • Compliance automation
  • Legal compliance system Responsibility matrix, risk assessment and control 
Experience in conflict of interests identification system automation, RusHydro
Oleg Azhimov, Head of Internal Audit Service
  • Conflict of interest detection system automation prerequisites and tasks
  • Conflict of interest detection with the help of IP "Client of affiliated persons" PJSC "RusHydro"
  • Basic features, capabilities and results of automation
Compliance control system as a part of the legal service on the example of Novo Nordisk
Sergey Viktorov,   Director of Legal Affairs and Compliance
Novo Nordisk
  • What is compliance program? - lawyer’s view
  • Methodological basis and content of compliance program from the point of legal risks
  • To what extent should lawyers supervise compliance procedures?
  • Combining the legal and compliance Company departments: pros, cons, consequences   
Anti-corruption due diligence of contractors: Issues relevant to Russian reality
  • Analyzing contractor’s business and company type; assessing compliance risks, commercial, and tax risks manageability
  • Anti-corruption monitoring of existing contractors; factors affecting the due diligence extent
  • Resolving conflicts of different legal frameworks; stipulation of contractual rights and obligations 
  • Valuation of company solvency and ability to fully execute all contractual obligations and liabilities
Practical examples of identification, assessment and prevention of possible corruption violations in the company's activities
Alexander Batalov,   Economic Security and Anti-Corruption Department Head
  • Effective fraud and corruption risk management strategies, distribution of authority for case preventio 
  • The corporate business processes most subjected to corruption risks
  • The most common types and new schemes of theft and abuse, and practical recommendations for their identification and prevention: review of the latest developments and methods
  • Actions to take in case of revealing a suspicious corrupt transaction with no legal offenses?
  • Building transparent business processes as a basis for minimizing risks of fraud and corruption
HR Compliance: minimization of risks in labor relations regulation
Dmitry Nikitin, Director of Internal Control and Compliance
Tatiana Balabueva, Head of Compliance
  • HR Compliance and its relevance in working with staff
  • HR Compliance function tasks, implementation challenges
  • Variety of personnel risks and specifics
  • HR Compliance role in resolving labor disagreements, disputes, conflicts
Anti-corruption tools and compliance control in procurement
  • Fulfilling anti-corruption standards in procurement when disclosing chain of ownership, beneficiaries, and contractors.
  • Compliance control at initial, current, and post procurement stage
  • Compliance procedures to generate fair competition, public and transparent procurement, and prevent corruption
  • Restrictions to internal and external contractors
  • Corporate procurement centralization and decentralization: Benefits and risks
  • Agreed trades: competition law vs. procurement legislation
Commission on Corporate Ethics as part of compliance system: practical aspects of creation and functioning
Yuliya Nikolaeva,  Head of Legal Service and Compliance
METRO Cash & Carry
Sergey Khripyakov,  Head of Corporate Compliance
METRO Cash & Carry
Practice of compliance construction and implementation with the commercial policy of the company in Schneider Electric Russia 
Ksenia Tylik, Head of the Legal Compliance Group, Russia and CIS
Schneider Electric
  • Commercial policy and business ethics, compliance of tasks in commercial policy
  • Anti-corruption and antitrust elements of commercial policy
  • Principles (tools) of unification/structure construction with legal and compliance aspects
  • “Gray areas" and risks not subject to unification
Anticorruption Compliance in the area of​ organization and management of document flow
Yevgenia Ozerova, Control over observance of normative-legal norms (compliance) Head
  • Building internal financial control systems to protect against unregistered accounts and illegal payments
  • Features of the internal control application in mutual settlements
  • Practical issues of document flow
DAY 2: FRIDAY, 29 JUNE 2018 
VimpelCom's practical experience: Why Ethics & Compliance? Corporate Ethical Program as the Basis of Anti-Corruption Compliance 
Ilsur Akhmetshin, Vice-President for Compliance
Alexander Salomatin, Deputy Director for Compliance
Petr Androsenko, Deputy Director for Compliance
Yuliya Glubokaya, Deputy Director for Compliance
  • Hotline as a feedback system on issues on ethical values:
  • Promoting hotline in internal communications
  • Verifying messages on staff interaction violations
  • Questions asked through the Hot Line
  • Ensuring the anti-corruption compliance function independence.
  • Basic principles of compliance function independence
  • A set of measures ensuring independence of compliance functions in PJSC VimpelCom
  • Areas of anticorruption compliance:
  • Principles for constructing an effective compliance program
  • Experience of PJSC VimpelCom in 10 areas of compliance: Best practices
Implementation of activities to train employees in the policies and procedures of the anti-corruption compliance program
Elena Zheltovskaya, Compliance Director
  • Ensuring the compliance efficiency by informing the employees on the department role in the company life
  • Perception by the employees of compliance function and its role in the company
  • Motivating employees and assessing their efficiency
  • Ways of making employees loyal
  • Technologies for creating training system
  • Training efficiency assessment criteria; using feedback from the employees
Compliance risks assessment: prevent, find and fix the problem
Dmitry Kanterov, Deputy Director for Legal Affairs, Compliance Officer
  • Prior to the assessment: methodology, training, regulatory environment overview
  • Stages and tools for compliance risks identification and analysis
  • How it may help business in real life
Development and inclusion of an anti-corruption clause when concluding agreements with counterparties. “Modern slavery” clause
Anna Mahina,  Legal Department Head
Group of companies "Petropavlovsk"
  • What items should be included for "reasonable preventive measures" to prevent bribery in accordance with Russian anti-corruption legislation, FCPA and UK Bribery Act, Modern Slavery Act 2015
  • List of issues of the anti-corruption clause and the clause "on modern slavery". The mechanism of their application in contract work
  • Practical difficulties in using the anti-corruption clause and the clause "on modern slavery", ways to resolve them in the process of concluding contracts and in relations with counterparties
The topic is under negotiation
Peter Kuznetsov, compliance officer
Antimonopoly compliance as a way to decrease the responsibility of executives and organizations 
Anna Kalacheva,   Head of Legal Department
  • Analysis of antimonopoly compliance organizational structure in the Company
  • Possible forms of antimonopoly compliance system organization
  • Ways to identify the risks and create risk map
  • Required documents, procedures, and activities to create, implement, and deploy antimonopoly compliance system
  • Efficiency indicators and efficiency assessment
Key qualities of an effective compliance officer and his place in the organization
Julia Romashkina, Compliance Director
  • Professional profile of the compliance officer - does organization need compliance office and what
  • knowledge should he/she possess?
  • Role of the compliance officer in the corporate security system
  • Specificity of rights and obligations - from consultation to "Veto"
  • Compliance Officer reporting and pitfalls in activities
Practical application of the compliance system in corporate governance, MEGAPOLIS Trading Company
Dmitry Gorbatov, Head of Corporate Regulation and Control Department
Trading company "Megapolis"
  • The role of compliance in identifying cases of corporate fraud
  • Investigation: Independent measures and interaction with other control functions
  • Conclusions and recommendations based on investigation results
Code of Business Ethics as an element of anti-corruption program
Arina Sergievskaya,   Head of Business Ethics Compliance Unilever Russia, Ukraine, Belarus
  • Code of Business Ethics as a way of expressing a company's position towards the norms of business ethics
  • Anti-corruption Code of Conduct
  • How to make the code of ethics work?
Hotline on anti-corruption issues - practical issues of operation 
Olga Nikitina,   Head of Internal Control and Audit Service for Russia, CIS, and Turkey
Becton Dickinson
  • The positioning of hotlines and notification mechanisms within the compliance program
  • Ensuring the reception, accounting and processing of corruptive information and its objective evaluation
  • Analysis of information for significant violations
  • Stimulating employees to use hotlines and notification mechanisms
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