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Preventing Corporate Fraud and Busines Partners Due Diligence, 6-7 March 2019, Moscow


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Practical issues: Corporate fraud prevention and countering in PJSC “BANK URALSIB”
Ivan Lomaka, Head of Security  
  • Different responsibilities of employees (disciplinary, administrative, criminal, and civil), methods and ways of holding liable
  • Best legal practices: Bringing to justice responsible persons (dismissal, damage compensation) in the environment of contemporary reality and Russian legislation imperfection
  • Punishment publicity: Solve the problem “quietly” and not to draw any negative attention to the Company or go "on the principle” in order to prevent any fraud in the corporation in the future
Automating conflict of interests identification when verifying potential suppliers and contractors, RusHydro
Yulia Novikova, Head of Anti-Corruption
  • Conflict of interest detection system automation prerequisites and tasks
  • Automation main benefits, results, and reporting
  • Conflict of interest detection with the help of IP "Client of affiliated persons" PJSC "RusHydro"
  • Functional diagram of the “Client Affiliates” Information System
  • Verifying the declarants’ filed data for completeness
Corporate Economic Security System evaluation
Aleksey Shvetskiy, Head of Security, Business Unit, Central Region
  • Economic Security Service (ESS): creating goals and tasks
  • Damage type and sources
  • ESS work content
  • ESS efficiency evaluation through compensated/prevented damage ration confirmation:
Contractor’s reliability assessment as a taxpayer’s due diligence
Dmitriy Kirillov, Lawyer, head of tax practice
  • Due diligence in light of Article 54.1, Russian Tax code
  • Who is ‘undesirable’ contractor now?
  • What do we want to learn about the contractors and what can we do?
  • How to protect your business from the contractor’s unknown tax risks
Corporate procurement fraud: Sings, identification methods, controls 
Dmitriy Bocharov, Vice President, Internal Control and Audit
Segezha Group
  • Procurement process stages, international requirements
  • Signs of procurement violations and fraud
  • Ways to identify: general approach and practical “techniques”
  • Fraudulent schemes at the procurement junction with other business processes
  • Preventive controls in procurement
Compliance procedures automation: Answers to key questions
Ruslan Yakimov, Head of Compliance Development
Aleksandr Bushuev, Compliance Manager
  • What compliance functions shall be automated first?
  • What automation solutions shall we choose: in-house or third-party one?
  • What possibilities does the automation unleashes for Compliance Department?
  • IT divisions assistance with automation process
  • Compliance procedures automation tools, software and information systems
  • Main repeated mistakes made at deployment and implementation
Managing conflict of interests in PJSC Rosseti Group: Identification, regulation, and prevention (Case Studies)
Aleksandr Batalov, Director of Department of Economic Security and Anti-Corruption
  • The concept of conflict of interests in a commercial organization
  • The main conflict of interest features and types
  • Negative influence of conflict of interests on company successful development in the modern environment
  • Conflict of interest identification and settlement ways
  • Effective measures taken by the Company to prevent conflicts of interests
  • Legal regulation issues on conflict of interest
  • Potential contractors check to identify interdependent relationships with employees of the companies
  • Conflict of interest declaration process organization
Real-life experience in creation the efficient compliance service, DAIMLER KAMAZ RUS Company
Anatoliy Petrykin, Head of Compliance
  • Key compliance-defining regulations
  • Preventive control and corporate compliance procedure automation goals
  • Creating Compliance Department from “scratch” and main challenges
  • Compliance Department place in the company structure; the service interaction with other departments and business units
  • Compliance role in Company: From consultancy to ‘Veto’
Real-life experience in anti-fraud procedures integration into the existent corporate processes, Danone Russia
Oleg Skorodumov, Director of Risk Management
Danone Russia
  • Anti-Corruption and anti-fraud policies and implementation activities
  • Preparing for changes in business processes, control for changes implementation:
-        Design and approval business processes changes
-        Development of standard documents
-        Preparing Technical Specifications for IT processes
-        Staff information and training
  • Tracking anti-corruption and fraud systems
Collecting evidence during internal investigation: System organization, required procedures and tools
Dmitriy Likhov, Head of Anti-Corruption Policy and Internal Security
  • Incident documentation procedure
  • Main factors preventing evidence collection
  • Digital evidence search, extraction, and use
  • Recommendations for documenting and preparing an investigation report
  • Holding responsible persons liable based on collected data correct and efficient use
Corporate Hotline reports: Real-life operation issues
Ivan Krainov, Internal Audit Director
  • Hotline promotion, positioning, and popularization
  • Ways to encourage employees and third parties use the Hotline
  • Claims processing and review stages
  • Channels used to report suspicious and abuse cases
  • Information distribution to appropriate departments
  • Do you have an adequate informer protection in place?
  • Hotline reporting to Top Managers
Counter fraud and anti-corruption policies implementation in dependent and subsidiary entities of PJSC Rostelecom
Arina Sabitova, Deputy Director of Asset Protection Department (Compliance)
  • Determining the criteria to select the subsidiaries for compliance processes implementation
  • Using centralized approach to program implementation
  • Control by Parent company
  • Challenges related to anti-corruption processes implementation in subsidiaries and dependent organizations; ways to resolve issues
Digital solutions in compliance system, KAMAZ
Elena Karimova, Deputy Head of Compliance
  • Digital solutions and integration with the internal corporate systems
  • Practical solutions in some compliance system parts: checking contractors, transactions examination, training, consulting, Hotline, etc.
  • Latest trends and innovations to minimize risks
Using intellectual support system for control functions for anti-corruption within the company
Dmitriy Aladinskiy, Head of Information and Analytical Department of Directorate of Security
  • General approaches to control process automation
  • System design and operation principles
  • General feature of implemented controls and work results
  • Assessing system efficiency
  • Implementation experience
Security preventive management. Proactive or reactive approach - creating loyal corporate culture or tightening control measures
Aleksandr Sayganov, Security director 
Blago Group
  • Security preventive management as a preventive and control measures system to avoid and/or prevent adverse state of the corporate security system
  • Corporate economic security preventive management models and main principles
  • Operational and methodological activities aimed at minimizing fraud and illicit deals as well as cases of abuse
  • Abuse prevention: creating efficient internal control system; preventive measure system development
Verifying existing contractors: Efficiency, necessity, frequency
Rustem Gabdrakhmanov, Head of Information and Analytical Department
  • Internal matrix of partners and categories break-down
  • Required resources for continuous contractors monitoring
  • Working with a Risk-group contractor that is important to your business
  • Specifying checks frequency
Conducting internal investigations into corporate fraud and corruption
Ilya Simonov, Head of Investigation Division, Directorate of Security
  • What is the procedure for conducting an internal investigation procedure, what are the regulating documents?
  • Role of different departments in internal investigation
  • Making the right official investigation team composition taking into account the incident relation to the Company business
  • Main Investigation Commission work principles
  • Using the information from technical security systems
  • What is the Commission authorized to conduct related to data collection, suspect interview, explanatory reports, customer polling?
  • What measures can be taken on the basis of an official investigation report?
Integrated security management when working with contractors: systematic approach
Aleksandr Savenkov, Security Director
Cinema Park
  • Violations prevention: selecting contractors and reliability assessment, internal control system
  • Violations detections: audits, analytical procedures, hotline
  • Audit results documentation and analysis
  • Repeated due diligence and procedure to determine the checks periodicity
  • Criminal prosecution and liability for transactions with unreliable contractors
Artificial Intelligence role in compliance system operation
Evgeny Glazov, Compliance Director 
AB InBev Efes
Development and inclusion of an anti-corruption clause when concluding agreements with contractors
Natalia Shikova, Head of compliance 
DIXY Group
  • What items should be included for "reasonable preventive measures" to prevent bribery in accordance with Russian anti-corruption legislation, FCPA and UK Bribery Act 2015 
  • List of anti-corruption clause issues and the clause use in contracts
  • Practical challenges in using the anti-corruption clause, ways to resolve them in the process of concluding contracts and in relations with contractors
Improving the corporate compliance system efficiency
Dmitry Klyuev, Head of Compliance Control
  • Steps to improve compliance program in the event one of the controls suffers a serious failure
  • Ways for management to instill in employees the understanding of the compliance system importance
  • Compliance control system efficiency evaluation
  • Practices used for internal corporate compliance training
  • How and why to conduct regular current compliance program monitoring 
  • Minimizing duplicate functions: What to look for
  • Role of the compliance officer in the corporate security system
In-company control functions automation: Risks and opportunities
Dmitriy Manannikov, Director of Security and Risk Management
  • Digital technologies in control functions automation
  • Control structure organization
  • Main risks associated with the control functions automation
  • Control functions automation procedures
  • Electronic document management system for control functions automation
Know Your employee: Internal Due Diligence Procedures
Anton Gruntov, Head Of Security
  • Internal due diligence goals and objectives
  • Compliance with Due Diligence procedures at the staff selection stage
  • Should we conduct a Due Diligence process for existing employees (conflict of interest, gambling, drugs, debt, etc.)?
  • Qualifications falsification by managers (education, certificates, etc).
  • Examples of facts found
Automation as a method to improve the internal control system efficiency
Rushan Bogaudinov, Director of Strategic Investment Management
  • Automation in industrial companies - fashion trend or a necessity?
  • Methods and tools used depending on control environment scale and maturity; corporate IT capabilities
  • Automation in company security lines
  • Retrospective analysis and on-line support for current business processes on the procurement process examples


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