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10 Bias Traps That the Investigator/Auditor Should Avoid

Jefferson Kiyohara Compliance Director, ICTS Protiviti, Brazil
Antonio C. Hencsey Managing Director, Fair Jobs, Brazil

• Understanding unconscious biases (how your brain can betray you) and how it can impact the Compliance team effectiveness - theoretical and reflexive approach
• How to know if you are biased? How to identify 10 pitfalls that can undermine your investigation and avoid them
• Training skepticism to combat unconscious biases - a practical approach

Presentation
Evaluation

Effective Third Party Due Diligence and Monitoring

Melina Llodra Partner & SCCE-I, Llodra Attorneys at Law, Argentina
Mariana Idrogo Founder & Senior Managin Director G5 Integritas, Argentina

• Defining criteria for effective due diligence: defining relevant third parties, scope under Law 27.401.b. The challenges of emergency times. Impact of COVID-19: is there a fast track?
• Due diligence approved: what is next? Contractual ABC mechanisms, periodic due diligence of long-term contracts, education and training
• How to conduct effective monitoring. Periodicity. Key issues. What to do when the results are not what we are looking for

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Evaluation

Test the Effectiveness of Your Compliance Program: Spot-Checks

Miguel Angel Enriquez Head of Compliance Americas Maersk, Panama

• Diving thru the spot-checks and how they become a good tool to monitor the effectiveness of your compliance program
• Understanding that testing effectiveness is not always about checking books and records
• Sharing a best practice on how to handle compliance program-driven checks that do not materialize in written paper

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Evaluation

Building Effective Relationships with Regulators

Claudia Andia Head of Compliance Tigo Money Bolivia

• Differentiate the four key moments to relate with the regulator
• Define your business model in terms the regulator could understand
• Assessing the effectiveness of your compliance & ethics program proving compliance for the regulator

Presentation
Evaluation

Conversation with a Prosecutor about Perspective on Compliance and Corporate Wrong Doing

Eduardo El Hage Federal Prosecutor (Head of the TaskForce Lava Jato in Rio de Janeiro), Ministério Público Federal, Brazil
Shin Jae Kim Partner TozziniFreire Advogados, Brazil

• Identify what prosecutors look for to discover compliance and corporate wrongdoing
• Assess why companies and individuals get involved in misconduct and learn how to avoid the same mistakes
• Gain insight into what can be expected next from the enforcement community

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Evaluation

Compliance in Times of Quarantine

Sebastian Segovia Corporate Manager of Governance, Ethics and Compliance, Falabella S. A., Chile

• Compliance Management Systems must be able to quickly and effectively adapt to contingencies/emergencies/crises which generate uncertainty and new risk scenarios for companies
• Compliance departments must become - if they are not yet - key actors of the decision making process of a company in times of crisis
• Adapting the Compliance systems requires the flexibility of certain policies, procedures and preventive measures; agility to communicate these modifications to every level of the organization, without missing the point that the best way to protect the value that companies create, is taking care of it

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Evaluation

 

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