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DAY 1: THURSDAY, 05 MARCH 2020
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Assessment and risk prevention tools to counter employees’ and contractors’ misconduct
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Ivanov Konstantin, Director of internal control
DIXY GROUP • General risk overview
• How deep is the need for risk assessment?
• Does the risks presence mean the necessity to terminate activities?
• Reflecting risk assessment and evaluation in the reporting
• Impact on a company's reputation: reporting and its importance
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Contractors risk management, Procter & Gamble
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Zakhryapa Ekaterina, Governance, risk management, controls head
Procter & Gamble • Introducing new contractors verification into the corporate regular processes: challenges and solutions
• Mass verification of existing contractors - ways to conduct and risks to consider
• Verification specifics in an international company systems and processes
• Risk prevention through Corporate Culture
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Creating efficient Economic Security Department: real case study
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Shvetskiy Aleksey, Head of security, business unit, central region
VIMPELCOM • How should the company’s economic security system be organized to meet the time challenges?
• Methods to identify fraud signs in business processes
• Control procedures development
• What ESD processes can be automated?
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Compliance trainings: Improving employees’ awareness and making compliance trainings more effective
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Gorbatov Dmitriy, Head of corporate regulation and control
MEGAPOLIS GROUP • Practices used for internal corporate compliance training
• How to choose the audience within the company?
• Technologies for creating training system
• Training efficiency assessment criteria; using feedback from the employees
• Testing knowledge gained: types of tests and conclusions
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“Hot Line” on countering fraud and corruption: Information receipt, registration, and processing practice
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Nikitenko Vasiliy, Head of legal andcompliance
Ford Motor • Company policy to encourage employees and third parties to use hotlines and notification mechanisms
• Applications processing order, independent and objective information assessment
• Information analysis for violations
• Violation analysis for significance
• Information distribution to relevant departments for further decision making
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Practical strategies for checking and monitoring contractors’ trustworthiness in a modern business environment
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Mochalina Svetlana, Risk management director
L’Occitane Rus • Analyzing contractor's company and business type as well as assessing critical situation possibility on the contractor’s part
• Automated and manual contractors’ reliability check system advantages and disadvantages
• Determining the verification depth in order to obtain guaranteed results: optimal time and money spent on searching for information on contractor
• Resolving conflicts of different legal frameworks; stipulation of contractual rights and obligations.
• Required contractor verification level in a high-risk country
• When is a personal interview necessary and who to conduct it with?
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Product sales fraud: Contemporary investigation methods
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Korolev Denis, Partner, Head of EY forensic in Russia and CIS
EY • Main fraud methods
- Manipulating discounts
- Using agent schemes
- Fraud in acquiring freight services (if applicable)
• Modern investigation methods
- Data mining
- Automated contractor verification
- Social networks analysis
• Case study
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Corporate Procurement Fraud: Focus
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Vikhrev Vladimir, Leading specialist
IL Kryukov Vasiliy, Deputy head of department of internal audit and control
GAZPROM BURENIE Bogatikov Kirill, Head of corporate Investigation
CHTPZ • Signs of procurement violations and fraud
• Procurement process analysis for possible fraud
• Conflict of interests identification during the procurement procedures
• Proactive controls in the procurement process
• Procurement control methods
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Executive Suit: Cyber Security Services for a company management and shareholders
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Gorban Roman, Director, Disputes & Investigations
Alvarez & Marsal • IT / IS Interim management
• Cyber Intelligence
• Cyber Awareness Trainings
• Advisory and subscription services: Cyber Bodyguard
• Communication protocols for routine and emergency situations
• Capability Building: creation of forensic functions within the company
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Anti-corruption measures in a commercial organization
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Oleynik Maksim, Head of economic security department
CHTPZ • Systematic approach to combating abuse, fraud and corruption
• Intra-Corporate abuse, fraud and corruption measures
• Compliance management as part of dealing with abuse, fraud and corruption
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“Tone from the top” as one of the most important elements of creating a compliance culture and engaging employees from the top to bottom in order to minimize the corporate violations risks
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Romashkina Yulia, Compliance director
MTS • Compliance with the top management ethical and business standards by example
• Management role in the anti-corruption compliance process implementation at all organization levels
• Management interest in encouraging employees to effectively comply with the compliance program.
• Prospects for the compliance programs development and the expected results from the "Tone from the top"
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The role of internal control and audit departments in the process of combating internal fraud and theft
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Kocharyan Karine, Head of risk management and internal control
SIEMENS • ICAS capabilities and limitations in countering the internal corporate fraud
• Implementation of and internal control risk-based system against corporate fraud
• Anti-theft control procedures efficiency assessment
• ICAS tools and methods against internal fraud
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DAY 2: FRIDAY, 06 MARCH 2020
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INTERACTIVE WORKSHOP
Conflict of interest management: identification, regulation, and prevention on case studies
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Sabitova Arina, Deputy director of asset protection department (Compliance Division) Kopyl Vasiliy, Head of Internal Control, Asset Protection Department,
ROSTELECOM • Conflict of interest concept in a commercial organization
• Conflict of interest main features and types
• Conflict of interest negative influence on company successful development in the modern environment
• Methods to identify and resolve conflicts of interest
• Efficient corporate measures to prevent conflict of interest
• Issues of legal regulation of conflict of interest
• Checking potential contractors to identify interdependent relationships with the employees of your company
• Organizing conflict of interest declaration process
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The specificity of conducting due diligence procedures in relation to third parties: What to focus on – types, risks, specialities, methods and practic
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Nikitin Dmitriy, Risk management director
Tele2 • The varieties of third parties (suppliers, clients), the specificity of cooperation and possible risks.
• The details that are not inherent to standard procedures, diagnostic methods and extended Due Diligence
• The recommendations for conducting Due Diligence procedures in relation to third parties; the implementation of an electronic system for conducting Due Diligence in the company.
• FCPA vs local legislation
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Economic Security Department efficiency assessment
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Sayganov Aleksandr, Security director
BLAGO GROUP • The main tasks and goals in the ESD operation
• Qualification of damage by type and source
• ESD specific features
• ESD efficiency evaluation through compensated/prevented damage ration confirmation
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The role of internal audit and control in the prevention and reduction of fraud risks in the corporate governance system
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Adolf Georgiy, Director for monitoring and reporting in Russia and CIS
PepsiCo • Internal audit and internal control efficient interaction
• Fraud model and red flags
• Maturity model of the internal control system in real life
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Conducting internal investigations into corporate fraud and corruption
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Letuchev Vladimir, Director, ACCA, CIA, internal audit
NIPIGAZ • 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?
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Due diligence for agents and joint ventures: What to look for?
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Rudakov Aleksandr, Head of compliance
SAP • Models and business cases for agents and joint ventures
• Agents and joint ventures risks
• Due diligence steps for agents and joint ventures
• FCPA cases for these third-party categories
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Features of financial investigations
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Maltsev Eugene, Ph.D., Corporate Ethics and Compliance Manager - Europe and CIS • Investigation subject and goal
• Financial investigation planning: collecting information, engaging external lawyers and forensic accountants (forensic accounting experts)
• External experts management
• Evidence base formation
• Fundamentals of asset recovery under English law
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Contractor verification algorithm in the Unified Network "Cinema Park" and "Formula Kino"
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Savenkov Aleksandr, Security director
FORMULA KINO | CINEMA PARK • Contractor verification goals
• Contractor verification algorithm
• Affiliated contractors identification with the company employees
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Know Your employee: Internal Due Diligence Procedures
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Novikova Yulia,Corporate investigation manager
General Electric • 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
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Compliance culture development and promotion as an effective way to manage corporate corruption risks
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Ananyichev Aleksey, Compliance manager
MTS TICKETLAND • Ways to create and develop corporate compliance culture meeting controllers’ expectations.
• Engaging employees to use consulting, informing, and complaint tools as a part of corporate compliance culture development
• Local challenges in creating efficient Russian and CIS compliance culture
• Developed compliance culture indicators
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Real-life experience in anti-fraud procedures integration into the existent corporate processes, Danone Russia
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Fedotova Elena, Director of compliance control
ER-TELECOM • 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
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Check yourself and contractor: Contractor due diligence in the light of Art. 54.1 of the Tax Code application
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Kirillov Dmitriy, Senior lawyer, lawyer, tax practice
Bryan Cave Leighton Paisner • Studying the contractor in the light of the Art. 54.1 of the Tax Code application
• Protection strategy against imputation of VAT tax gaps, reducing the tax audit risks and preparing evidence base
• Protect yourself from the imputation of VAT tax gaps, minimizing tax audit risks and preparing a tax base
• Comparability of commercial information systems with the VAT ACS applied by tax authorities
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