This year’s European Compliance & Ethics Conference presented engaging and practical talks on a variety of compliance topics. Check out the full 2020 program and stay tuned for next year!
Our moderator will give you a short overview of what you can expect of the day and he will introduce you to the user interface.
Achim Weick, Founder and CEO of EQS Group AG, talks about the reasons why we developed the idea of the European Compliance Conference and why EQS Group initiated the conference to be European-wide.
Over the past few years, Europe has seen a significant increase in regulation both forstock-listed and non-listed companies: The French anti-corruption law Sapin II,the European Whistleblower Directive, the German corporate criminal liability law, just to name a few initiatives. Still, the cases of misconduct and unethical behaviour within corporations have not seemed to drop – also, during the Corona crisis an increase of fraud cases was evident. So where are we goingwrong?
Compliance as a standalone silo in a corporation is not enough to confront the risk and reputation challenges for companies. This becomes even more urgent during COVID-19 as both, pressure on corporate budgets and risks are increasing.
A holistic assurance concept, based on an ethics dialogue, effective crisis and risk management combined with innovative compliance measures is needed more than ever.
In this session, former Senior Regulator and Chief Compliance Officer, Christian Hunt will explore how Behavioural Science can help improve the quality and quantity of employee compliance.
Because organisations can not be compliant or ethical of their own accord, Ethics & Compliance are effectively the business of influencing human decision-making. Yet all too often the way those disciplines are approached, gives little consideration to the actual drivers of that decision-making. Using his own experience of “Bringing Science to Ethics & Compliance” Christian will highlight innovative ways that can achieve better outcomes.
In his virtual session at the ECEC 2020, Dan McCrum reports on the "dirty tricks" and the many obstacles he had to overcome during his years of research into the Wirecard case - even he himself came under the scrutiny of the investigating authorities in the end. Dan McCrum will also tell us what lessons can be learned from the scandal.
Dan McCrum is an investigative reporter for the Financial Times and author of theseries of articles "The House of Wirecard". Together with his colleagues, he tracked down one of the biggest German economic scandals and uncovered the Wirecard balance sheet fraud that finally brought the company down in the summer of 2020.
An appetite for taking risks and making decisions are essential characteristics of any successful business leader. The most effective compliance officers must anticipate risks, evaluate alternatives to mitigate them, and communicate issues in an effective and timely way. What are some of the ways that a compliance officer can best contribute to strategic dialogue and become an effective partner for the business areas?
Sometimes it can be difficult to effectively communicate your compliance program and risks within your organization. Using different communication methods can help with this, for example, having innovative and engaging campaigns. With working from home becoming the 'new normal' organizations need to make sure they stay ‘top of mind’ with personnel.
La loi Sapin 2 relative à la transparence, à la lutte contre la corruption et à la modernisation de la vie économique impose aux entreprises qui comptent plus de 500 salariés et qui réalisent un chiffre d’affaires supérieur à 100 millions d’euros de mettre en place un programme de conformité anticorruption et ce depuis le 1er juin 2017. A cette occasion, la loi Sapin 2a créé l’Agence Française Anticorruption (AFA), agence gouvernementale chargée de contrôler les entreprises qui sont dans l’obligation d’adopter un programme de prévention de la corruption composé de 8 mesures visant à prévenir etdétecter les risques de corruption au sein de l’entreprise. L’un des 8 piliers concerne les procédures de contrôle interne permettant d’évaluer et de mesurer l’efficacité du programme de conformité.
Ce webinaire est à destination de toutes les entreprises qui souhaitent obtenir des conseils pratiques et des retours d’expérience relatives aux bonnes pratiques concernant les contrôles internes liés au programme de conformité anticorruption Sapin 2 qu’elles mettent en place et se préparer efficacement à un contrôle AFA.
Voici les points qui seront développés lors de cet événement :
Quel dispositif de contrôle et d’évaluation interne mettre en place ?
- Typologie des contrôles (niveau 1, 2 et 3) et acteurs impliqués dans les contrôles
- Exemples concrets de contrôles pouvant être mis en place pour chaque pilier de l’article 17 de la loi Sapin 2
- Retourd’expérience et recommandations : l’importance des systèmes d’information et de la communication interne dans la mise en place des contrôles – comment faire face aux réticences des autres fonctions ? comment les mobiliser ?
Anticipation et gestion d’un contrôle AFA
- Pourquoi et comment sensibiliser les instances dirigeantes aux enjeux et aux modalités d’un contrôle AFA ? Comment préparer l’ensemble des collaborateurs et faire progresser la culture conformité anticorruption dans l’organisation
- L’AFA a déjà lancé de nombreux contrôles depuis l’entrée en vigueur de cette loi. Quels sont les enseignements tirés des contrôles menés par l’AFA depuis 2017 ? Partage des bonnes pratiques et des faiblesses observées par l’AFA lors de ses contrôles.
Technology continues to advance and provide opportunities to further enhance compliance programmes. During this breakout session an expert panel including Rasoul Golparvar and Trevor Wiles of the Forensic Risk Alliance (FRA) and hosted by Viviane Joynes from EQS Group will look at how compliance teams can use technology to enhance their anti-bribery and corruption programme.
This session will focus on:
- Understanding the compliance technology landscape
- Using technology to enhance all aspects of your programme
- What to consider when implementing technology
- Many practical examples
A distinguished panel of leading Swiss experts including Daniel S. Weber of Wenger & Vieli Ltd., Oliver Jaberg of FIFA and Paul H. Williams of LafargeHolcim Ltd. will discuss the legal and practical aspects of employee interviews during internal investigations. They will share their best practices and lessons learned when interviewing employees and explain how to adhere to Swiss employment and data privacy laws.
- Swiss legal framework and its pitfalls on employee interviews during internal investigations
- How to conduct effective investigation interviews – skills and methods
- Handle challenging interview situations – strategies and techniques
La presentazione mira ad evidenziare checos'è un sistema di gestione anti-corruzione, quali sono i requisiti della ISO37001, le similitudini degli standard 37001 con altre certificazioni comparabili, le ragioni per cui le aziende dovrebbero entrare in un processo dicertificazione ISO 37001 e i vantaggi che potrebbero trarne, i passi da compiere per ottenere la certificazione.
Das Bundesministerium für Justiz und Verbraucherschutz (BMJV) hat kürzlich den Entwurf eines Gesetzes zur Bekämpfung der Unternehmenskriminalität „vorgelegt“. Diesen Entwurf beleuchten die Experten von KPMG Law aus einer juristischen und einer praxisnahen Perspektive. Dabei gehen sie insbesondere auf diese Schwerpunkte ein:
- Risikomitigierende Compliance-Maßnahmen
- Verbandsinterne Untersuchungen
- Die Überwachung von internen Vorkehrungen zur Vermeidung von Verbandsstraftaten
The Polish Ministry of Justice has prepared another version of the draft on the liability of collective entities, which will allow companies to be punished for the actions of their employees. The amendment of polish law is based on EU regulation. However, some restrictions seems to infringe basic rights.
During this breakout session, an expert panel including Jowita Bukowinska from 321 Leader Ltd, Aneta Mioduszewska-Freundlich from Bank Pocztowy SA, Marcin Szewczak from Lubelski Węgiel Bogdanka SA, Katarzyna Kosicka-Polak from MKZ Partnerzy, and hosted by Ania Wojtus from EQS Group AG, will look at new responsibilities for companies. The panel will also look at the other side of the coin – we will consider whether (or how) new regulations may contribute to gaining a competitive advantage.
This session will focus on:
- Understanding the proposed changes
- Compliance as an early warning system for your company
- What to consider when implementing changes in the compliance system to meet proposed regulation
- Whether COVID-19 pandemic is a good moment for imposing new regulations and penalties on companies
- Practical examples and tips for companies
Amongst "rule makers" there is growing recognition that you can't/won't achieve lasting cultural change solely through the imposition of more rules and regulation. During this breakout session the panel will discuss this topic addressing some of the challenges faced by firms on their cultural journey and share their views and some initiatives that may help to address some of these challenges.
This session will focus on:
- Challenges with cultural/behavioural change
- Sectoral response including an update from the Irish Banking Culture Board
- Measuring culture/behaviour change
- Workplace of the future/the present
- The Importance of Diversity and Inclusion
- Practical examples/lessons learned
Wendy Addison will talk about her experience as being a whistleblower. She was working at the accounting of LeisureNet which later became known as South Africa's Enron. She had knowledge of heavy misconduct and decided to speak up. In this session she will tell her story and discuss the learnings from this. Furthermore she gives advice on what compliance managers need to do to inspire employees to speak up before it is too late.
With the ECEC Award, we honor exceptional Compliance efforts which have the power to inspire the Compliance community. We are looking for single projects in an organization’s Compliance area; it is not the idea to award the entire Compliance program or Compliance organization in general.
Rather we are looking for innovative approaches and measures which have proven to be particularly effective – this might be a notable Compliance communication campaign, a sophisticated KPI measurement model or a difficult internal change management project.