COPING WITH U.S. EXPORT CONTROLS AND SANCTIONS 2016

Transcription

1 Satisfy Your CLE, CPE, CPD, Privacy, CCB Compliance and IIEI Certification Requirements! COPING WITH U.S. EXPORT CONTROLS AND SANCTIONS 2016 December 15-16, 2016 NEW! Examine the key changes in Iran and Cuba sanctions through a deep dive assessment NEW! Learn how to operationalize compliance in a changing sanctions environment Understand the many important changes to the export control system Hear from export and trade control regulators from the U.S. Departments of Commerce, Defense, Justice, State and Treasury Get an update on sanctions policy: Russia/Ukraine, Iran, Cuba, North Korea and Burma Explore ethical issues for international trade control practitioners Register Today at or Call (800) 260-4PLI

2 FACULTY COPING WITH U.S. EXPORT CONTROLS AND SANCTIONS 2016 Why You Should Attend Export controls and economic sanctions continue to change rapidly. It is more important than ever for institutions in all sectors of the economy to stay on top of developments in the United States and other countries. Companies and financial institutions must be aware of their compliance and disclosure obligations, enforcement trends and priorities, and emerging risks. Implementing and strengthening compliance programs is an increasingly important priority in all industries. For over twenty years, PLI s Coping with U.S. Export Controls has been the go-to program on trade control laws and regulations. The program enables attendees to get inside international trade controls through give-and-take among key officials from the government agencies that regulate cross-border trade and investment, experienced company managers and top lawyers in the field. What You Will Learn Export control reform: Has it accomplished what it was set out to achieve? What else needs to be done to fulfill its purpose? Iran sanctions after JCPOA Implementation Day: Risks and opportunities for U.S. and foreign companies Cuba sanctions: Progress toward normalization, opportunities and obstacles Other economic sanctions: Russia/Ukraine, Syria, Sudan and Burma Cloud computing and data management Enforcement and voluntary disclosures: Penalties and enforcement policies Lessons from recent cases Compliance programs: How to design and implement an effective and efficient system Ethics issues for international trade control practitioners Who Should Attend Attorneys from law firms and law departments; counsel and managers from companies selling consumer, high-tech, and defense products; and from banks, carriers, and trade logistics firms. Register Today! or Call (800) 260-4PLI CO-CHAIRS: Peter L. Flanagan Covington & Burling LLP Christopher R. Wall Pillsbury Winthrop Shaw Pittman LLP John P. Barker Arnold & Porter LLP Stephan E. Becker Pillsbury Winthrop Shaw Pittman LLP Matthew S. Borman Deputy Assistant Secretary of Commerce for Export Administration Bureau of Industry and Security U.S. Department of Commerce Alan W. Christian Senior Export Policy Analyst Foreign Policy Division Bureau of Industry and Security U.S. Department of Commerce Jeannette L. Chu Managing Director PwC Export Controls and Trade Sanctions McLean, Virginia

3 Michael Dondarski Assistant Director for Enforcement Office of Foreign Assets Control U.S. Department of the Treasury Andrea Fekkes Dynes Staff Vice President and Associate General Counsel General Dynamics Corporation Tarek Fahmy Deputy Director, Office of Sanctions Policy and Implementation Daniel Fisher-Owens Berliner Corcoran & Rowe LLP San Francisco Andrea Gacki Acting Deputy Director, OFAC U.S. Department of the Treasury Candace M. J. Goforth Managing Director Goforth Trade Advisors LLC Alexandria, Virginia Corinne A. Goldstein Covington & Burling LLP Douglas R. Hassebrock Director, Office of Export Enforcement, Bureau of Industry and Security U.S. Department of Commerce Andrew N. Keller Deputy Assistant Secretary for Counter Threat Finance and Sanctions Bureau of Economic and Business Affairs David H. Laufman Chief Counterintelligence and Export Control Section National Security Division U.S. Department of Justice Christine Lee Senior Director & Associate General Counsel, International Trade Compliance United Technologies Corporation Greta Lichtenbaum O Melveney & Meyers LLP Ambassador Stephen D. Mull Lead Coordinator for Iran Nuclear Implementation Brian H. Nilsson Deputy Assistant Secretary (DAS) of State for Defense Trade Controls Kathleen Palma Senior Executive, International Trade Compliance GE Sangita S. Patel Senior Compliance Counsel Compliance, Investigations & Policy Chevron Corporation, Law Department San Ramon, California Beth Peters Hogan Lovells US LLP John Pisa-Relli Managing Director Global Trade Compliance Accenture Arlington, Virginia Meredith Rathbone Steptoe & Johnson LLP Brandon Reddington Global Sanctions Compliance Officer Credit Suisse Julia Court Ryan Assistant General Counsel, Head of Global Trade Compliance Varian Medical Systems and Palo Alto Jeffrey Schwartz Global Trade Counsel Hewlett-Packard Enterprise Frederick F. Shaheen Chief Counsel, Global Trade The Boeing Company Arlington, Virginia Bradley T. Smith Chief Counsel Office of Foreign Assets Control U.S. Department of Treasury Margaret Taylor Chief Democratic Counsel Senate Foreign Relations Committee Sean M. Thornton Head of Legal Financial Security (U.S.) Group Dispute Resolution BNP Paribas Matthew T. West Baker Botts L.L.P. Kevin J. Wolf Assistant Secretary of Commerce for Export Administration Bureau of Industry and Security U.S. Department of Commerce Program Attorney: Dana M. Berman

4 PROGRAM SCHEDULE Day One: 9:00 a.m. 5:00 p.m. Morning Session: 9:00 a.m. - 12:00 p.m. 9:00 Introduction and Welcoming Remarks Peter L. Flanagan, Christopher R. Wall 9:15 The Evolving Role and Scope of the Commerce Department s Export Administration Regulations Movement of items from the USML to the CCL Transition issues in export control reform New definitions and interpretations Coordinating export controls and sanctions: Cuba, Iran and Russia Controls on intrusion and surveillance items Navigating the de minimis rules and exclusions Evolving role of the Entity List Matthew S. Borman, Christine Lee, Meredith Rathbone 10:30 Networking Break 10:45 Developments in the State Department s Defense Trade Program Category revisions in the USML Transition issues impact on processing licenses and agreements New definitions of export and defense services Dual/third country national issues Brokering and Part 130 reporting ECR impact on commodity jurisdiction determinations John P. Barker, Andrea Fekkes Dynes, Brian H. Nilsson 12:00 Networking Luncheon with Featured Speaker Ambassador Stephen D. Mull Lead Coordinator for Iran Nuclear Implementation Afternoon Session: 1:30 p.m. - 5:00 p.m. 1:30 The Sanctions Landscape: Update and Prospects JCPOA implementation highlights Changes to Cuban Assets Control Regulations Status and prospects for Russia/Ukraine sanctions Burma sanctions after the elections North Korea sanctions Corinne A. Goldstein, Bradley T. Smith 2:30 Networking Break 2:45 NEW! A Deep Dive Assessment of the Key Changes in Iran and Cuba Sanctions Understanding and navigating the remaining primary and secondary sanctions against Iran Due diligence expectations in identifying possible IRGC connections to counterparties U.S. banks and U.S. dollars what s permissible and what s not General License H and continuing parent/subsidiary liability exposure Commercial aircraft licensing policy implementation issues Scope and permitted activities under Cuba travel general licenses Setting up authorized operations in Cuba and licensing support Remittances and funds transfers to Cuba Status and prospects for settling expropriated Cuban property claims Stephan E. Becker, Alan W. Christian, Tarek Fahmy, Andrea Gacki 4:00 NEW! Operationalizing Compliance in a Changing Sanctions Environment Industry Perspectives Developing compliance policies and procedures under General License H for Iran Best practices for screening counterparty and financial sector risk Managing restrictions on reexports of U.S.-controlled items Participation in industry associations with Iranian and Cuban members Sangita S. Patel, John Pisa-Relli, Brandon Reddington 5:00 Adjourn

5 Please plan to arrive with enough time to check in before the conference begins. A networking breakfast will be available upon your arrival. Day Two: 9:00 a.m. 5:00 p.m. Morning Session: 9:00 a.m. - 12:00 p.m. 9:00 Export Controls and Sanctions Looking back and looking forward export controls and sanctions during the Obama Administration Export control reform where are we now? Has export control reform achieved what it was set out to do next steps? Assessment of current sanctions programs and implementation challenges View from the Hill prospects for sanctions and export control legislation Financial, industrial and defense industry perspectives Panel 1: Perspectives from the Administration Andrew N. Keller, Margaret Taylor, Kevin J. Wolf Panel 2: Industry Perspectives Kathleen Palma, Frederick F. Shaheen, Sean M. Thornton 10:45 Networking Break 11:00 Cloud Computing and Data Management: Sunlight on the Horizon? Evolving regulatory interpretations and licensing policies for data transfer and storage End-to-end encryption Encryption and data security: Standards and options Data management and workflow Compliance responsibilities of service providers and data owners Daniel Fisher-Owens, Julia Court Ryan, Jeffrey Schwartz 12:00 Lunch (on your own) Register Today! or Call (800) 260-4PLI Afternoon Session: 1:15 p.m. - 5:00 p.m. 1:15 Compliance Best Practices: Designing, Implementing and Assessing Programs Designing and conducting risk assessments Risk factors in different industries and regions Due diligence for vetting counterparties Compliance structure and reporting relationships Institutionalizing compliance culture training and hotlines Due diligence for vetting counterparties Measuring success benchmarking and audits Jeanette L. Chu, Candace M. J. Goforth, Beth Peters 2:30 Networking Break 2:45 Perspectives from the Enforcement Authorities Enforcement focus and priorities Commerce, State, OFAC and Justice Trends from major settlements penalty mitigation, compliance monitors, and directed remediation Voluntary disclosures considerations, benefits, and best practices Emerging concepts of individual liability How to get the best results in an enforcement action Agencies perspectives on compliance best practices Michael Dondarski, Douglas R. Hassebrock, David H. Laufman 4:00 Ethics Considerations in Trade Control Practice Ethical issues in representing countries or parties subject to sanctions Restructuring transactions how far can you go without raising ethics and conflicts issues? Ethical considerations related to legal services and trade control licensing Identifying and handling export-sensitive data by law firms avoiding the legal pitfalls Professional and business conflicts that arise in practice Special ethical considerations relating to Iran General License H The scope of the legal services general licenses in various programs and the ethical issues that can arise Disclosure, waiver and candor issues Greta Lichtenbaum, Matthew T. West 5:00 Adjourn

6 PLI s Nationally Acclaimed Course Handbooks Now Available Online Our Course Handbooks represent the definitive thinking of the nation s finest legal minds, and are considered the standard reference in the field. The Handbook is prepared specifically for this program and stands alone as a permanent reference. The Course Handbook will be available online several days prior to the program! Log in to go to My Online Library and click on the Course Materials tab. You can review the material or prepare questions to raise at the program. All attendees will have access to the Course Handbook for one year from the program date. Register for our live Webcast attend from your location! Most of our programs are available as live Webcasts. Reserve your seat to watch PLI s acclaimed faculty as they discuss the hottest legal trends, developments, case law and regulations.... View all supporting material.... And earn CLE and CPE credit. Register today at or Call (800) 260-4PLI. PLI s Pro Bono Efforts & Scholarships As a nonprofit organization, PLI is deeply committed to the public service work of the legal profession. This commitment extends to training in-house and private practice attorneys in support of their pro bono activities, as well as training attorneys working in legal services, nonprofit organizations, and government agencies. PLI s pro bono efforts include: full and partial scholarships to attend our institutes and programs assisting public interest and legal services organizations with their legal training needs, and providing free programs in practice areas critical to the representation of low-income clients. In 2015, PLI awarded over 60,000 scholarships to attorneys working for legal services/nonprofit organizations, judges and judicial law clerks, law professors, unemployed attorneys and attorneys with financial hardships, law students and attorneys 65 or older. PLI also partners with Privileged Member firms and organizations to offer free CLE training to their pro bono clients under the Pro Bono Membership program. The selected nonprofit organizations, legal aid organizations and other pro bono groups have unlimited access to PLI live seminars and On-Demand Learning content. For more information on our pro bono initiatives, or to apply for a scholarship, please visit About Practising Law Institute (PLI) Practising Law Institute is a nonprofit continuing legal education and professional business training organization, chartered by the Regents of the University of the State of New York. Founded in 1933, PLI is dedicated to providing the legal community and allied professionals with the most up-to-date, relevant information and techniques, through Seminars and Workshops, Live Webcasts, and On-Demand Learning, including interactive skills courses in the online Interactive Learning Center. PLI publishes comprehensive Treatises, Answer Books and practice-focused Course Handbooks, which are also available through Discover PLUS, its searchable online research database. PLI holds programs in its offices in New York and California, and elsewhere throughout the U.S., as well as in London and Hong Kong. PLI annually awards more than 60,000 scholarships to its programs, and its more than 4,000 volunteer speakers include the most prominent lawyers, judges, investment bankers, accountants, corporate counsel, and U.S. and international government regulators.

7 Gain all-inclusive access to PLI s online searchable database 24/7 access to over 70,000 documents of legal research in 22 practice areas Treatises Answer Books Program Transcripts Course Handbooks Legal Forms For more information, contact PLI at (877) , plus@pli.edu, or Now Available in the APP STORE! ON-DEMAND The easiest way to complete your MCLE requirement! Over 2,500 hours of web programs, available whenever and wherever you need it. You can view entire programs or individual web segments 24/7, along with downloadable course materials. PLI s Unconditional Guarantee IT S SIMPLE: If you are not completely satisfied with the return on your investment from any PLI program, we will refund your money in full. REGISTRATION/HOTEL INFORMATION FOUR EASY WAYS TO REGISTER WEB: PHONE: (800) 260-4PLI Monday - Friday, 9 a.m. - 6 p.m., Eastern Time FAX: (800) Open 24 Hours! MAIL: Practising Law Institute 1177 Avenue of the Americas New York, NY Fax or mail completed Registration/Order Form on back cover Location/Hotel Information: Four Seasons Hotel, 2800 Pennsylvania Avenue NW, (202) A block of rooms has been reserved. Please contact the hotel directly and mention PLI and the name of the program. You may also book online at and enter booking code CI1216PLI. The cut-off date for the preferred rate is November 23, Payment Policy: Registration fees are due in advance. Attendees may pay by check, Visa, MasterCard, American Express or Diners Club. Cancellations: All cancellations received 3 business days prior to the program will be refunded 100%. If you do not cancel within the allotted time period, payment is due in full. You may substitute another individual to attend the program. CLE/CPD Credit: PLI programs offer CLE credit in all U.S. jurisdictions that have mandatory CLE requirements and some foreign jurisdictions with CPD requirements. Please check for credit details, eligibility and approval status for your particular jurisdiction(s). New York: In accordance with the requirements of the Continuing Legal Education Board, this non-transitional continuing legal education course has been approved for a maximum of 14 credit hours, of which 13 credit hours can be applied toward the Professional Practice requirement and 1 credit hour can be applied toward the Ethics requirement. California: This activity is approved for MCLE credit in the amount of 12 hours, of which 1 hour will apply to legal ethics. Recommended CPE Credit: 14 credit hours (13 Specialized Knowledge and Applications and 1 Regulatory Ethics). Program Level: Overview. Practising Law Institute is registered with the National Association of State Boards of Accountancy (NASBA), as a sponsor of continuing professional education on the National Registry of CPE Sponsors. For PLI s official National Registry Statement, please visit IIEI Certification: This full program qualifies for up to 3 Continuing Education Units (CEUs) for Certified U.S. Export Compliance Officer (CUSECO) continuing education requirements. Continuing Professional Development (Hong Kong): This program has been submitted for approval to The Law Society of Hong Kong for 12 CPD points. Compliance Certification Board (CCB) CEUs: This education activity has been submitted to the Compliance Certification Board (CCB) and is currently pending their review for approval of CCB CEUs. Continuing Professional Education for Privacy Professionals: This program has been submitted for approval by the International Association of Privacy Professionals (IAPP) for 1 CPE credit. Special Needs: If you have special needs as addressed by the Americans with Disabilities Act, please notify Customer Service at least two weeks prior to your program. info@pli.edu Visit Us On The Web:

8 Practising Law Institute REGISTRATION/ORDER FORM When Registering, Please Refer to Priority Code: ZKC6 Make necessary corrections on mailing address. Coping with U.S. Export Controls and Sanctions 2016 Please register me for the following session: Seminar,* December 15-16, 2016, The Four Seasons Hotel, $1, Privileged Member Fee: $ Course Handbook only, $220 Register Today! Call (800) 260-4PLI My address is: Please send me updates on PLI programs and services. *All attendees will have access to a downloadable version of the Handbook several days prior to the program. FREE Shipping and Handling in the United States, U.S. Possessions and Canada on all prepaid Publication purchases. CA, FL, IL, MA, MD, NJ, NY, OH, PA, RI, TX, VA and DC residents please add applicable sales tax to the price of Publications. Please send me: Publications Catalog Institutes and Programs Catalog Information on PLI Membership The information below is required to properly process your CLE/CPE certificate: State: Bar ID# State: Bar ID# State: Bar ID# PRIORITY CODE: ZKC6 8A500 Practising Law Institute 1177 Avenue of the Americas New York, NY Name Title Firm Address City/State/Zip (Use Street Address for UPS Delivery) Phone Fax NON-PROFIT ORGANIZATION U.S. POSTAGE PAID PRACTISING LAW INSTITUTE