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Preventing Corporate Fraud and Business Partners Due Diligence, 1-2 March 2018


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DAY 1: THURSDAY,  1 March 2018
Creating and promoting an anti-fraud culture in the organization
Alexandra Kirsanova, Fraud Prevention & Compliance Manager
• Approaches to creating an anti-fraud culture in the organization
• Anti-fraud program tasks to create an appropriate corporate culture
• Promoting the mechanism of consultation, information, and complaints among the organization employees and partners
• Challenges with some anti-fraud program tasks and possible solutions
• Assessing the anti-fraud program maturity in the organization. Need for continuous improvement
Assessing the organization supervisory body efficiency on the example of Security Department
Anton Gruntov, Head Of Security
• Necessity of business-processes assessment by Security Department.
• Security Department efficiency assessment: Costs vs recovered/prevented damage.
• Calculating business-processes labor intensity in the Security Department
• Employee Motivation, KPI / ROAD MAP
Using risk-oriented approach in the Corruption detection and prevention system on the example of PJSC “ROSSETI”
Aleksandr Batalov, Director, Economic Security and Fraud Prevention department
Case study: Creating efficient compliance service in Nokia
Svetlana Makarova, Lead Compliance Counsel, Europe
• Key compliance-defining regulations
• Preventive control and corporate compliance procedure automation goals
• Creating 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 the Company: From consultancy to ‘Veto’
Order and list of internal investigation procedures on corporate fraud cases
Denis Korolev, Partner - Head of Fraud Investigation and Dispute Services in Russia and CIS, E&Y
Alexander Sayganov, Head Of Security, Delovye Linii
Lenar Zayalov, Regional Compliance Manager, Fortum
• What is the procedure for internal investigation, regulatory documents?
• The role of different company departments in internal investigation
• How to appoint appropriate Internal Investigation Commission members taking into account the incident relation to Company activities?
• What are the Investigation Commission work principles?
• Using the information from security technical systems
• What activities is the commission authorized to perform related to data collection and interviewing the suspect, gaining explanatory notes, and clients polling?
• What measure may be taken based on the Internal Investigation Statement?
Using corporate fraud key indicators: Advantages, possible ways of implementation and deployment results
Evgeniy Maltsev, P.H.D., Head of Ethics and Compliance, Russia and CIS,
• Key Indicators System as fraud risk assessment tool
• Key Indicators System methodology and structure
• Using information systems to generate Key Indicators System The way it works: Case studies
• Implementation results assessment
“Hot line” on fraud and corruption prevention: best practices of information recording and processing
Natalia Shikova, Head of compliance,
DIXY Group
• Company policy to encourage employees and third parties to use hotline and notification mechanisms
• The order of application processing, independent and objective information assessment
• Information analysis for violations
• Violation analysis for materiality
• Information distribution among relevant services for making further decisions
Monitoring the corporate corruption management system efficiency in MTC Group of Companies
Julia Romashkina, Chief Compliance Officer
MTS Group
• Monitoring types: Role distribution within the Company
• Independent control over anti-corruption standards and procedures implementation
• Systematic anti-corruption program efficiency analysis to ensure its ongoing improvement
• Specific verification of anti-corruption program requirements fulfillment
• Testing operational efficiency of the controlled anti-corruption procedures
Practical experience in internal control development and implementation in procurement process with the account of Company activities specifics
Evgenia Ozerova, Compliance manager,
• Main risks associated with procurement process
• Effective and transparent procurement process
• Competent staff
• Documentation for every procurement stage
• Selecting vendors (Due Diligence)
• Assessing the selected approach efficiency
Tone at the top: Company management role in the process of implementing a set of measures to prevent intracorporate fraud
Dmitry Klyuev, Head of Compliance Control
• Leadership role of a leader: True leader attributes
• Value policy in action: Earn trust, don't lose it
• From words to action: Do as I do
• Ways of feedback: On the same wavelength with the team
Third party due diligence and compliance risk management on the example of PJSC “VimpelCom”
Petr Androsenko, Deputy Director, Compliance, 
• Most common risks related to unfair actions of third parties
• Legal compliance when conducting third party due diligence
• Specific compliance issues in resellers and sales agents relations
• Minimizing compliance risks prior to entering into agreement
• Tracking contractual relations with third parties
Creating evidence collection system and ensuring the evidence efficient use in internal investigation process
• Incident documenting procedure
• Main factors impeding evidence collection
• Specifics of the search, extraction, and use of digital evidence
• Best practices for investigation report preparation
• Holding the guilty person liable based on correct and efficient use of the collected data
DAY 2: FRIDAY, 2 March 2018
Conflict of interests management: identification, regulation, and prevention on case studies 
Alexey Ananyichev, Head of internal control (compliance) Asset Protection Department
Arina Sabitova, Deputy Director of Asset Protection Department (Compliance)
• 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
Leading IT technologies for compliance services
Tatiana Ignatova, Controls&Compliance Lead
• Collecting and organizing large volume of data for controlling operations
• From dynamic PowerPivot tables to machine learning: using analytical models in audit and compliance
• Improving employees’ awareness and making compliance trainings more effective
Business process automation as a tool to decrease unfair action risks: Internal audit role
Alexander Dolgopolov, Chief audit executive
• Factors making internal audit and management efficient during process automation
• Examples of control procedures automation
• Control efficiency criteria
Automating conflict of interest detection when checking potential suppliers and contractors. RusHydro case
Oleg Azhimov, Head of internal audit
• Prerequisites and tasks for conflict of interest detection automation
• Main advantages, results, and reporting on automation
• Detecting conflict of interest “Client of affiliated persons” system, PJSC RusHydro
• Functional diagram of "Customer of affiliated persons” information system
• Verification of submitted information for completeness
Real estate rent fraud
Sergey Matveev, Head of Security
Pyaterochka at X5 Retail Group
• Real estate rent fraud essence
• Ways to identify the fraud
• Investigation algorithms; Case Study
• Prevention and early detection methods
Efficiency assessment of Corporate compliance program
Timur Khasanov-Batirov, Compliance Manager
Dr. Reddy's Laboratories
• Is there a way to assess Compliance program efficiency?
• What efficiency assessment criteria shall we choose?
• Key success factors: What do we need to remember when improving the program?
Proper way to dismiss an employee who committed theft: Problem of bringing to justice the guilty persons
Dmitriy Nikitin, Compliance & Internal control director
Tatiana Balabueva, Head of Compliance
• Current legislation requirements and limitations: Drawbacks and advantages for employers
• Correct way to file an application to law enforcement agencies. Mistakes to be avoided
• Typical mistakes made by employers when dismissing employees who committed theft
• The reason employers prefer “dismissal by agreement” rather than going to the end
Ethics in corporate commercial activity concept
Alexander Rudakov, Compliance officer
• Ethical models as the anti-corruption activity basis
• Moral particularism vs moral universalism
• Creating Compliance Management System based on system and structural approach
• Including complacence components into corporate business processes
• Options for efficient implementation of Compliance Management System
Comprehensive assessment and ways to reduce M&A transaction risks
Vladimir Razuvaev, Chief Compliance Officer
• Determining compliance risks verification depth for target company, including relations with the Russian officials and cash use in business activities, agreements with intermediate agents
• Awareness of the target company on corruption risks, judicial practice of the company
• Required measure in case of issues during due diligence prior to M&A
• Cases that require request for an opinion on the appropriateness of the acquisition of the venue from foreign regulatory authorities
• Issues arising from acquisition of target company or merger
Fraud and corruption in procurement activities: Modern ways to counter violations and abuses
Denis Renev, Head of Economic Security
• Restrictions to internal and external contractors
• Corporate procurement centralization and decentralization: Benefits and risks
• Distributing control between divisions and/or dependent companies of the organization; issues with contractors accreditation, current and subsequent control
• Ways to provide end-to-end procurement process control from plan to payment
• Collusion at the auction: What to look for
• Company business automation to assess contractors’ reliability and prevent intracorporate fraud
Internal investigation procedure for fraud activities and fraud indicators monitoring
Olga Ambrozhevich, Director, Internal control and Compliance department
• What is the procedure for internal investigation, regulatory documents?
• The role of different company departments in internal investigation and Investigation Committee
• Key Indicators System: Meaning and Purpose
• Key Indicators System methodology and structure
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