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1 Focus on ECONOMIC SANCTIONS July 30, 2015 American Conference Institute s Forum on FCPA Compliance & Enforcement July 29, 2015 Hotel Solamar, San Diego, CA How to Build or Fine Tune Your FCPA Compliance Program and Internal Controls Amid an Increasingly Complex and Aggressive Global Enforcement Environment DOJ Prosecutors Discuss Current FCPA Violations and International Money Transfer Trends Charles La Bella Deputy Chief, Fraud Section United States Department of Justice (San Diego) Douglas Miller Assistant U.S. Attorney Central District of California United States Department of Justice (Los Angeles) SPECIAL, ENHANCED FOCUS ON: Earn CLE ETHICS Earn CPE Building the Pillars of a Robust Anti-Corruption Compliance Program Earn TASA Deciphering the FCPA Books and Records Provision How to Make Sure Your Accounting Controls Stand Up to Government Scrutiny How to Prepare Your Team for an Internal Investigation Scoping Your Action Plan to Avoid Common Pitfalls and Costly Mistakes Preventing Gift, Entertainment, and Hospitality Trip Wires: Current Trends and Non-Cash Gifts that Could Put Your Company at Risk Benchmark Compliance and Risk Management Strategies with: Qualcomm Live Nation 21st Century Fox Clarient Teledyne AerCap Sempra Energy Pharmavite NuVasive AECOM Noble Energy Arthrex Special Economic Sanctions Day July 30, 2015 San Diego The Cost of Sanctions Non-Compliance Lessons Learned from Recent Settlements What an Optimal OFAC Screening Program Should Look Like Focus On New Requirements Regarding Iran, Russia/Ukraine, Cuba, Venezuela BENEFIT FROM INTERACTIVE DISCUSSIONS: Interactive Polling: Third-Party Due Diligence Case Studies What Truly Matters When Evaluating and Vetting Brokers, Distributors, Agents, and Other Intermediaries Training Town Hall: Building a Culture of Compliance How to Increase Employee Engagement and Train Your Employees and Third Parties Maximize your Training with Comprehensive Pre-Forum Working Groups July 28, 2015 A B Fundamentals of Anti-Corruption Compliance: Deciphering Requirements of the US Foreign Corrupt Practices Act (FCPA) U.S. Economic Sanctions Nuts and Bolts Guide to Understanding the Basics of Economic Sanctions Compliance and How to Interact with the Office of Foreign Assets Control (OFAC) Register Now

2 Can your Anti-Corruption Compliance Program Sustain the Heat of a Government Investigation? At ACI s FCPA Compliance and Enforcement Forum, Learn What it Takes Ensure Your Operations are Compliant with the Foreign Corrupt Practices Act (FCPA) For the first time in San Diego, and with a particular emphasis on risks facing the biotech, aerospace, defense and entertainment industries, ACI s FCPA Compliance and Enforcement Forum was developed after extensive research with compliance professionals in the region. The program includes the most relevant anti-corruption compliance developments and will bring together leading anticorruption experts and counsel for unparalleled networking and benchmarking opportunities. Featuring expert speakers from Southern California, this comprehensive agenda will focus on how companies and their advisors tackle important challenges facing anti-corruption professionals today. Topics will include: Record keeping What the U.S. government expects you to have in your files Focus on China: Where Companies Go Wrong with Third Parties in China - How to Prevent Pitfalls in your Due Diligence Program Identifying anti-corruption ambassadors on the ground and giving them the tools they need to spread the word Understanding privacy laws that restrict the transfer of evidence/data in an FCPA investigation? Outlining red flags for transactions that are used to channel bribes Also benefit from these risk management focused sessions: Conducting an Effective Anti-Corruption Risk Assessment: How to Determine Your Risk Profile and Design the Right Internal Controls Considerations of Making Voluntary Disclosures to the Government Whether, When, and How Whistleblower Trends May Change the Decision-Making Process New to the Area or Need a Refresher? Attend the interactive Pre-Forum Working Group on July 28, :00 a.m - 12:30 p.m. Fundamentals of Anti-Corruption Compliance: Understanding the US Foreign Corrupt Practices Act (FCPA) Do you need an immersion in the Foreign Corrupt Practices Act (FCPA) and the elements that create liability? This interactive and practical session will focus on the nuts and bolts of the law and supply you with a foundation that will prepare you for the FCPA forum. In this deep-dive working session, you will benefit from enhanced Q&A, case studies, and the exchange of hands-on practices to help you build or fine-tune your anti-corruption compliance program. This Practical 1-day Forum Is Especially Designed for: Corporate Counsel - International Trade Counsel - Import/Export Compliance - Trade and Regulatory Counsel - Government Affairs - Contracts Compliance Officers Ethics Officers Directors, Internal Audit Directors, Import Export Compliance Directors, Business Conduct Forensic Accountants Auditors Certified Fraud Examiners Directors, Corporate Audits and Investigations International Contract Managers Outside Counsel specializing in: - International Trade - Corporate Compliance - White Collar Crime - Internal Investigations - Anti-Money Laundering - Corporate Governance Register early to guarantee your place and take advantage of advance pricing and group discounts. Call ; fax your registration form to ; or register online at Continuing Legal Education CLE Accreditation will be sought in those jurisdictions requested by the registrants which have continuing education requirements. This course is identified as nontransitional for the purposes of CLE accreditation. ACI certifies that the activity has been approved for CLE credit by the New York State Continuing Legal Education Board. ACI certifies that this activity has been approved for CLE credit by the State Bar of California. You are required to bring your state bar number to complete the appropriate state forms during the conference. CLE credits are processed in 4-8 weeks after a conference is held. ACI has a dedicated team which processes requests for state approval. Please note that event accreditation varies by state and ACI will make every effort to process your request. Questions about CLE credits for your state? Visit our online CLE Help Center at www. americanconference.com/cle TASA Approved Training ACI certifies that this activity has been approved for TASA course credit in the amount of 6.0 credit hours. An additional 2.0 credits will apply to working group A and B participation. TASA candidates are required to complete the appropriate TASA forms during the conference. TASA credits are processed in 1-3 weeks after a conference is held. Continuing Professtional Education American Conference Institute (ACI) will apply for Continuing Professional Education credits for all conference attendees who request credit. There are no pre-requisites and advance preparation is not required to attend this conference. Course objective: Instruction on the FCPA and Anti-Corruption Compliance procedures to prevent inappropriate payments. Recommended CPE Credit: 7.0 credit hours for the main event, and 4.0 credit hours for the FCPA workshop. ACI 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. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, or by visiting the web site: To request credit, please check the appropriate box on the Registration form. TRACE Anti-Bribery Specialist Accreditation (TASA) is a comprehensive training and certification program focused on anti-bribery compliance. To learn more about accreditation, please visit or contact Virna Di Palma at dipalma@ traceinternational.org. Join the Conversation ACI: / #ACIFCPA

3 Pre-Forum Working Group Tuesday, July 28, :00 am 12:30 pm (Registration begins at 8:30 am) A Fundamentals of Anti-Corruption Compliance: Understanding the US Foreign Corrupt Practices Act Brad Nelson Senior Vice President of Internal Auditing and Chief Compliance Officer Live Nation (Houston, TX) Dan Shallman Covington & Burling LLP (Los Angeles, CA) Do you need an immersion in the Foreign Corrupt Practices Act (FCPA) and the elements that create liability? This interactive and practical session will focus on the nuts and bolts of the law and supply you with a foundation that will prepare you for the FCPA forum. Topics to be covered will include: Who is covered by the FCPA? What is the extraterritorial reach of the statute? What are the risks? - Potential criminal and civil liability - Reputational damage - Risk of investigation - Disqualification for publicly-financed projects Basic elements of the FCPA Understanding relevant definitions included in the statutes - giving, promising anything of value, foreign official - influencing the official, obtaining or retaining business Books and records requirements of the FCPA Permissible and impermissible payments - Anything of value - Facilitating payments: limits on grease - Political contributions - Charitable contributions Involvement of third parties and due diligence requirements Reasonable and bona fide expenses: gifts; travel; entertainment Record keeping and internal controls requirements and standards FCPA Compliance and Enforcement Forum Wednesday, July 29, :30 Registration Begins 8:30 Co-Chairs Opening Remarks William Sailer Senior Vice President, Legal Counsel Qualcomm Incorporated (San Diego, CA) Michael Brown Vice President, General Counsel, Compliance & Privacy Officer Clarient A GE Healthcare Company (Aliso Viejo, CA) 8:45 Government Roundtable: DOJ Prosecutors Discuss Current FCPA Violations and International Fraud Trends Charles La Bella Deputy Chief, Fraud Section United States Department of Justice (San Diego, CA) Douglas Miller Assistant U.S. Attorney, Central District of California United States Department of Justice (Los Angeles, CA) Bruce Searby Panel Moderator Counsel Paul Weiss Rifkind, Wharton & Garrison LLP (Washington, DC) 9:45 Hallmarks of an Effective Anti-Corruption Compliance Program What a Robust Compliance Program Should Include to Withstand Government Scrutiny William Sailer Senior Vice President, Legal Counsel Qualcomm Incorporated (San Diego, CA) John McCoy Vice President, Deputy General Counsel, and Group Chief Compliance Officer 21st Century Fox (Los Angeles, CA) The US DOJ has outlined the Hallmarks of anti-corruption compliance. Use these hallmarks to provide context for your entire forum experience and learn how to build a proactive and compliant anti-corruption compliance program. Topics will include: Gaining commitment from senior management Designing a clearly articulated policy against corruption Code of conduct and compliance policies and procedures Oversight, autonomy, and resources Effective risk assessment Training and continuing advice Incentives and disciplinary measures Third-party due diligence and payments Confidential reporting and internal investigation Continuous improvement: periodic testing and review M&A: pre-acquisition due diligence and post-acquisition integration 10:45 Networking Coffee Break 11:00 Third-Party Due Diligence Case Studies: What Truly Matters When Evaluating and Vetting Brokers, Distributors, Agents, and Other Intermediaries AUDIENCE POLLING Michael Brown Vice President, General Counsel, Compliance & Privacy Officer Clarient A GE Healthcare Company (Aliso Viejo, CA) Mike Piazza DLA Piper LLP (Los Angeles, CA) In this exclusive and practical session, expert speakers will discuss recent FCPA cases involving third parties. After a review of each case and the challenges involved, they will take the audience through the lessons learned from scenario presented in each case. Not just theory, this session will provide you with practical tools to learn from the mistakes of others and effectively address third party challenges in your day-to-day operations. Eli Lilly marketing agreements to pay millions of dollars to third parties chosen by government customers or distributors Dallas Airmotive bribes using sales representatives, commissions, and consulting fees Ralph Lauren bribes to government and customs officials using customs brokers Register Now

4 12:00 Deciphering the FCPA Books and Records Provision How to Make Sure Your Books and Records Are In Line with SEC Expectations David Gan Senior Vice President, Assistant General Counsel AECOM (Los Angeles, CA) Understanding the growing role U.S. Securities and Exchange Commission plays in the enforcement of the FCPA Key terms and elements of the Book and Records provision of the FCPA - To whom do these provisions apply? - What constitutes a violation of this provision? Understanding the exceptions and defenses to the FCPA, including facilitation payments Record keeping What the U.S. government expects you to have in your files What your system of internal controls needs to accomplish Document retention policies that work and those that do not 12:45 Networking Luncheon for Speakers and Attendees 2:00 Conducting an Effective Anti-Corruption Risk Assessment: How to Determine Your Risk Profile and Design the Right Internal Controls Sarah Peter Compliance Attorney, Director of Ethics Programs Teledyne Technologies Incorporated (Santa Barbara, CA) Janice Avery FCPA Subject Matter and Compliance Audit Expert Arthrex (Houston, TX) How to assess the knowledge and awareness of anti-corruption rules in specific countries How to conduct comprehensive and complete anti-corruption risk assessments to identify potential risks What are the red flags for transactions that are used to channel bribes How to assess management, employee, vendor and agent knowledge and compliance activities Tracing payments to third parties Ensuring proper documentation of contributions, marketing expenses and accounts payable Selecting samples of high risk transactions for deeper analysis Training local staff to determine issues unique to the region or locale Reporting findings to compliance officers, audit committees and legal counsel 2:45 Focus on China: Where Companies Go Wrong with Third Parties in China How to Prevent Pitfalls in your Due Diligence and Monitoring Program Amy Sommers K&L Gates LLP (Shanghai, China) How to design a questionnaire for third parties: what type of information to include and how to get cooperation from vendors? What are legal ways to obtain data in China? How to determine which third-party needs to be screened and how far the supply-chain it must go? What to do with common names in China? What happens when records are unavailable or unreliable? How to overcome any language barriers? 3:05 Networking Coffee Break 3:20 How to Prepare Your Team for an Internal Investigation Scoping Your Action Plan to Avoid Common Pitfalls and Costly Mistakes Dmitry Chausovsky Vice President & Chief Compliance Officer AerCap (Los Angeles, CA) Laurence Urgenson Mayer Brown LLP (Washington, DC) Robert Marasco Attorney Procopio, Cory, Hargreaves & Savitch LLP (San Diego, CA) Determining the scope of the investigation and the action plan Where should investigators be looking when there are allegations of bribery - Expense reports, time sheets, commission payments Legal and cultural considerations for investigations in various locales Overcoming information-gathering barriers Understanding privacy laws that restrict the transfer of evidence/ data? Questions you can and cannot ask local employees Refining the review plan once the investigation has begun What to do when a violation is discovered Privilege considerations and coordination with outside counsel Determining when the investigation has been exhausted 4:05 Considerations of Making Voluntary Disclosures to the Government Whether, When, and How Whistleblower Trends May Affect Your Decision- Making Process Michael Farhang Gibson Dunn & Crutcher LLP (Los Angeles, CA) Alicia Villarreal Principal Villarreal Law (Hermosa Beach, CA) Factors to consider when deciding whether to disclose potential FCPA violations Pros and Cons of making a voluntary disclosure to the government Understanding DOJ guidelines for when to disclose Repercussions of NOT disclosing Understanding how voluntary disclosures and allegations can lead to other disputes including securities litigation and shareholder lawsuits Balancing assertions of privilege with government cooperation Understanding the weight of voluntary disclosures in settlement negotiations, if any 4:50 Preventing Gift, Entertainment, and Hospitality Trip Wires: Current Trends and Non-Cash Gifts that Could Put Your Company at Risk Alex Rios Director of Corporate Ethics, Mexico Sempra Energy (San Diego, CA) Patricia Gatley Director of Global Compliance NuVasive, Inc. (San Diego, CA) Join the Conversation ACI: / #ACIFCPA

5 In this practical session, you will have the opportunity to benchmark with your peers in the audience. Expert panelists will lead a thoughtprovoking discussion on how to create a robust, culturally-sensitive, and compliant approach to your company s gifts, travel and entertainment policy. Establishing defined thresholds for prior approval and/or legal review for non-cash gifts Handling requests for tickets and travel to the attend the Super Bowl, Olympics, World Cup, or other events Non-monetary company benefits, room upgrades and discounted merchandise Local cultural considerations of gifts and entertainment (e.g. Mexico, China) Best practices for including gift and entertainment policies in your company s code of conduct 5:35 Training Town Hall Building a Culture of Compliance: How to Increase Employee Engagement and Train Your Employees and Third Parties Ashley Coselli Compliance Attorney Noble Energy (Houston, TX) Esther Kim Director, Legal & Compliance Pharmavite LLC (Los Angeles, CA) In this interactive town hall format, you will have the opportunity to benchmark with your peers in the audience. Moderators will solicit your ideas and opinions on the following thought-provoking employee engagement topics: Identifying anti-corruption ambassadors on the ground and giving them the tools they need to spread the word Ensuring regular communication with employees regarding anti-corruption compliance Understanding the training needs of your employees, and matching those needs with the appropriate resources Establishing a feedback loop getting valuable input directly from employees on how to increase employee engagement Employee engagement best practices what companies are doing well 6:00 FCPA Compliance and Enforcement Forum Concludes Global Sponsorship Opportunities With more than 300 conferences in the United States, Europe, Asia Pacific, and Latin America, American Conference Institute (ACI) provides a diverse portfolio devoted to providing business intelligence to senior decision makers who need to respond to challenges spanning various industries in the US and around the world. As a member of our sponsorship faculty, your organization will be deemed as a partner. We will work closely with your organization to create the perfect business development solution catered exclusively to the needs of your practice group, business line or corporation. For more information about this program or our global portfolio of events, please contact: Wendy Tyler, Director of Sales, American Conference Institute Tel: x5242 w.tyler@americanconference.com American Conference Institute, 2015 REGISTRATION INFORMATION FEE PER DELEGATE ADVANCE PRICING On or Before June 12, 2015 STANDARD PRICING After June 12, 2015 CONFERENCE CODE: 687L15-SCO_STRM2 o FCPA Seminar Only $1095 $1195 o Seminar + Fundamentals of Anti-Corruption Compliance Workshop o ACH Payment ($USD) Please quote the name of the attendee(s) and the event code 687L15 as a reference. For US registrants: Bank Name: HSBC USA Address: 800 6th Avenue, New York, NY Account Name: American Conference Institute UPIC Routing and Transit Number: UPIC Account Number: Non-US residents please contact Customer Service for Wire Payment information Special Discount We offer special pricing for groups and government employees. Please or call for details. Promotional discounts may not be combined. ACI offers financial scholarships for government employees, judges, law students, non-profit entities and others. For more information, please or call customer service. Missed A Conference Order The Conference Materials Now! $1695 $1895 o Both Seminars: FCPA + Economic Sanctions $2095 $2295 o Both Seminars + 1 Workshop o A: Fundamentals of Anti-Corruption Compliance or o B: U.S. Economic Sanctions $2695 $2895 o Both Seminars + Both Workshops $3295 $3495 o Please reserve additional copies of the Conference Materials at $199 per copy. Hotel Information American Conference Institute is pleased to offer our delegates a limited number of hotel rooms at a preferential rate. Please contact the hotel directly and mention the American Conference Institute conference to receive this rate. Venue: Hotel Solamar Address: 435 6th Avenue, San Diego, CA Reservations: (877) or (619) Incorrect Mailing Information If you would like us to change any of your details please fax the label on this brochure to our Database Administrator at , or data@americanconference. com. ACI reserves the right to deny admission to anyone, at any time, for any reason. If you missed the chance to attend an ACI event, you can still benefit from the conference presentation materials. To order the Conference Materials, please call or visit: For Payment information and Cancellation Policy, please visit our website 5 Easy Ways to Register PHONE ONLINE SanDiego CustomerService@American- Conference.com FAX MAIL American Conference Institute 45 West 25th Street, 11th Floor New York, NY GROUP PRICING 1-2 No Discount % Discount % Discount 7 20% Discount More than 7 Call

6 American Conference Institute 45 West 25th Street, 11th Floor New York, NY ATTENTION MAILROOM: If undeliverable to addressee, please forward to: Corporate Counsel, Ethics and Compliance Officers, Directors of Business Conduct, General Counsel, International Counsel Anti-Corruption, Auditors, Certified Fraud Examiners, Corporate Audits and Investigations, AML, Financial Crime REGISTRATION CODE 687L15_STRM2_E July 29, 2015 Hotel Solamar, San Diego, CA July 30, 2015 American Conference Institute s Forum on FCPA Compliance & Enforcement How to Build or Fine Tune Your FCPA Compliance Program and Internal Controls Amid an Increasingly Complex and Aggressive Global Enforcement Environment American Conference Institute s Economic Sanctions West Coast Forum How to Ensure Compliance with Rapidly Changing Economic Sanctions Restrictions Amid Increased Enforcement Risks Corporate Insights from: Qualcomm 21st Century Fox Teledyne Sempra Energy NuVasive Noble Energy Live Nation Clarient AerCap Pharmavite AECOM Arthrex DOJ and SEC Discuss Current FCPA Violations and International Money Transfer Trends Charles La Bella Deputy Chief, Fraud Section United States Department of Justice (San Diego) Douglas Miller Assistant U.S. Attorney, Central District of California United States Department of Justice (Los Angeles) Share Compliance Best Practices with Senior Executives from: Fluor Google MUFG Union Bank Northrop Grumman Textron The Boeing Company Hear from a Senior OFAC Official: Jeff Braunger Chief, Licensing Division Office of Foreign Assets Control U.S. Department of the Treasury Register Now Register Now