Cambridge International Symposium on Economic Crime

Whistleblowing: A Global Phenomenon Alternative Programme - Tuesday 3rd September 2019 Whistleblowing: A Global Phenomenon under the auspices of WhistleblowersUK

08:00 Welcome

Mr. Tom Lloyd, Chairman, WhistleblowersUK and former Chief Constable of Cam- bridgeshire, QPM MA

08:10 Keynote Addresses

The Rt. Hon. Baroness Susan Kramer of Richmond Park PC, Member of the House of Lords, Liberal Democrat Treasury Spokesperson, Co-Chair of All Party Parliamentary Group for Whistleblowing and former Minister of State Department of Transport, UK

08:30 Session 1: : Are We Making A Difference?

Chair: Mr. Andrew Samuels, Managing Partner, Addveritas, UK

• Mrs. Georgina Halford-Hall, CEO, WhistleblowersUK • Dr. Chris Day, National Health Service , UK • Ms. Lindsey Rogerson, Senior Editor for Financial Regulatory Policy, Thompson Reuters, UK

• Mr. Andrew Gilligan, Policy Advisor to the Prime Minister and Journalist • Mr. Hugh Wilkins, Honorary Research Fellow, University of Exeter, UK

Jesus College, Cambridge • Mr. Neil Getnick, Partner, Getnick & Getnick, New York, USA

10:45 Coffee

1. 2. 11:00 Session 2: Incentivising Whistleblowers, Is There A Place For Rewards? • Ms. Mary Inman, Partner, Constantine Cannon, London, UK What Does The Evidence Tell Us? • Ms. Lindsey Rogerson, Senior Editor for Financial Regulatory Policy, Chair: Mrs. Georgina Halford-Hall, CEO, WhistleblowersUK Thompson Reuters, UK

• The Hon. Justice Amina Augie, Justice of the Supreme Court of Nigeria • Ms. Julie Edge, MHK, Member of Parliament of the Isle of Man, UK • Ms. Mary Inman, Partner, Constantine Cannon, London, UK • Ms. Heather Bucannon, Director of Policy for the APPG on Fair Business • Mr. Bradley Birkenfeld, Whistleblower and former investment banker, UBS Banking, UK Group AG, USA

• Ms. Alla Konnikov, Senior Lecturer, The University of Law, UK 16:00 Tea

• Ms. Tessa Munt, Liberal Democrat Politician, UK 16:15 Session 4: Can Technology Take the Risk Out of Whistleblowing?

• Ms. Jennifer Haslett, Head of FATF and International Branch, Sanctions and Chair: Sir. Gerald Howarth, former Member of Parliament and Parliamentary Un- Illicit Finance Team at HM Treasury der-Secretary of State, Ministry of Defence and Minister for International Security Strategy, UK 12:45 Lunch • Mr. Neil Getnick, Managing Partner, Getnick & Getnick, New York, USA 14:00 Session 3: Protecting Those Who Protect Others • Mr. Andy Verity, Economics Editor, BBC, London, UK Chair: The Rt. Hon. Baroness Susan Kramer of Richmond Park PC • Mr. Dave Porter, Associate Partner, Cognitive Solutions, IBM, UK • Mr. Manish Kainth, UK Sales Director, Navex Global, UK • Mr. Anthony Stansfeld, Thames Valley Police and Crime Commissioner, • Dr. Richard Alexander, Lecturer in Financial Law in the Department of former Chief of Staff (Intelligence) Far East, British Army and Managing Financial and Management Studies, SOAS, University of London, UK Director, Pilatus Britten Norman, UK • Mr. Andrew Samuels, Managing Partner, Addveritas, UK • Mr. Douglas Thornton, Former Director and Whistleblower, HS2, UK • Mr. Stephen Kerr MP, Member of Parliament for Stirling, Member of the • Chief Superintendent Andrew McDowall, Professional Standards Depart Select Committee for Business, Energy and Industrial Strategy and Chair, All ment of Police Scotland with additional responsibility for Anti-Corruption and Party Parliamentary Group For Whistleblowing, UK Vetting.

• Professor Anona Armstrong, Professor of Corporate Governance, College 17:45 Closing Comments: of Law and Justice, Victoria University, Australia

Ms. Georgina Halford-Hall, CEO, WhistleblowersUK • Mr. Simon Reevell, Barrister, St. Johns Buildings, London, UK

3. 4. Key Note Speaker:

Rt Hon. Baroness Susan Veronica Kramer

Susan Kramer, Baroness Kramer, PC is a British Liberal Democrat politician. She served as a Member of Parliament (MP) for Richmond Park from 2005 to 2010. Prior to this Susan began her career in fnance and rose to become Vice-President of Citibank in Chi- cago and Second Vice-President of Continental Bank USA. She and her husband established Infrastructure Capital Partners, a frm which advised on infrastructure projects, primarily in Central and Eastern Europe. Throughout her political career, she has been her party’s spokes- person for International Development, Trade and Industry, Transport and the Cabinet Offce. After standing down from the House of Commons she was made a life peer and was created Baroness Kramer, of Rich- mond Park in December 2010. In 2013, Susan was appointed Minister of State at the Depart- ment of Transport, which she held until the 2015 General Election. Ever since, she has served as the Liberal Democrat Lords Spokesperson for the Treasury and Economy. Susan currently

serves as the Co-Chair of the All-Party Parliamentary Group on Whistleblowing, the aim is Ridley Hall, Cambridge to put whistleblowers at the top of the agenda. The APPG is committed to World Class, Gold Standard whistleblower protection and is undertaking an enquiry into the strength and ef- fectiveness of existing whistleblower legislation before making comprehensive proposals for improvements.

5. 6. Speakers:

Hon. Justice Amina Augie Dr. Richard Alexander Prof. Anona Armstrong Bradley C. Birkenfeld

Hon. Justice Amina Adamu Augie served as Head Dr. Richard Alexander is Lecturer in Financial Law Professor Anona Armstrong is an Emeritus Pro- Bradley C. Birkenfeld is a retired investment pro- of Department of the Legal Aid Council, Sokoto, in the Department of Financial and Management fessor at the Victoria University College of Law & fessional and the most signifcant fnancial whis- from 1979 to 1980. She served as Senior State Studies, SOAS, University of London. He lectures Justice. She holds a Doctor of Philosophy and a tleblower in history. He is the author of Lucifer’s Counsel in the offce of Chief Counsel to then Pres- widely on the law and regulation of fnancial ser- Graduate Diploma in Public Policy from the Uni- Banker: The Untold Story of How I Destroyed ident, Alhaji Shehu Shagari, from 1982-1984. She vices, international business law and the preven- versity of Melbourne. Swiss Bank Secrecy. As an international private was a Lecturer at the Nigerian Law School, La- tion of economic and fnancial crime. He has been banker he exposed how UBS, the world’s largest Professor Armstrong is also a Past President, Fel- gos, from 1984 -1988, and was appointed Chief a Visiting Scholar at the Levinson College of Law, bank, helped ultra-wealthy Americans commit bil- low and Life Member of the Australasian Eval- Magistrate in the Sokoto State Judiciary in 1988. University of Florida, Expert for the Inter-Govern- lions in tax . In 2005, despite a thriving ca- uation Society and a Fellow of the Australian mental Action Group Against Money Laundering reer spanning , Bank and In 1992, she was appointed a High Court Judge Psychological Society, the Australian Institute of in West Africa (GIABA) and Visiting Professor at UBS, Birkenfeld could no longer keep silent about of Sokoto State. She was Associate Lecturer at the Company Directors and the Victorian Council of the Shandong Judicial Training College, the Uni- bank-enabled tax fraud. When UBS rejected his Uthman Danfodio University, Sokoto from 1999 the Institute of Public Administration of Australia. versity of Paris - West, France and the University concerns, he turned to the U.S. authorities. Though to 2002. She was elevated to Court of Appeal in She was elected a Life Fellow of Clare Hall, Cam- of Torun, Poland. Dr. Alexander regularly takes jailed for 30 months, he was soon vindicated with 2002, and was Presiding Justice of the Benin Divi- bridge University in 2005 and was invested with part in conferences and lecture programmes for a a record-breaking IRS reward: his work had en- sion from July 2009 to September 2010; Presiding the Member of the Order of Australia in 2008. range of institutions, which have included the Uni- abled the U.S. Treasury to recover $25 billion in Justice, Enugu Division, September 2010 to Sep- versity of the Free State, South Africa, the Supreme Professor Armstrong has published over 20 books back taxes, fnes and penalties. The case set off tember 2011; Presiding Justice, Kaduna Division, People’s Procuratorate of the People’s Republic of and supervised over 60 postgraduate students. a domino effect of international investigations September 2011 to September, 2012, and Presid- China, East China University of Political Science Her research interests are governance, evaluation into offshore banking’s secret crimes, including ing Justice, Lagos Division, September, 2012 to and Law and the Central University of Finance and ethics. the Panama Papers and much more. Now retired, November, 2016. She was elevated to Supreme and Economics, Beijing. Birkenfeld is a philanthropist and supports whistle- Court on 7th of November, 2016. blowing efforts worldwide. 7. 8. Heather Buchanan Dr. Chris Day Julie Edge, MHK Neil V. Getnick

Heather Buchanan is the Director of Policy for the Dr Chris Day is junior doctor with a young family. Julie Edge MHK having qualifed in business she Neil V. Getnick is the managing partner of Get- APPG on Fair Business Banking. She is the lead He exposed and successfully challenged a Gov- spent much of her career in the public sector work- nick & Getnick LLP, a New York City based law on commercial fnance for the Transparency Task ernment agency’s astonishing attempt to argue the ing in the postal service before being elected to frm with a dedicated anti-fraud litigation, business Force’s (TTF) Banking Team and is a member of nation’s junior doctors out of whistleblowing pro- the House of Keys in 2016. Since election she has integrity, and corporate monitoring practice. He the panel of TTF’s Financial Stability Team. Heath- tection in order to prevent his whistleblowing case become a leading member of the Tynwald sitting and his law frm have an active False Claims Act er was on the Steering Committee of the Banking being heard. Chris’s whistleblowing case raises on a wide range of Select Committees that focus qui tam, IRS and SEC whistleblower practice, and Futures project and is a member of the UK Finance important issues that need to heard, but after near- on standards including the Select Committee on have won a succession of record breaking and SME Advisory Group. She has also contributed to ly 5 years, 5 hearings and £240k of crowdfund- Free Train and Tram Travel, Financing of Infrastruc- precedent setting whistleblower cases, including the Lending Standards Board Standards of Lend- ing Chris still has not had an opportunity to cross ture Schemes and Projects, The Social Affairs Pol- the largest ever recovery to a single whistleblow- ing Practice for Business Customers, and regular- examine a single one of the NHS’s 14 witnesses. icy Review Committee and House of Keys Mem- er. Mr. Getnick is the Chairman of Taxpayers ly advises MPs, peers, Government departments, This has come as a result of the various tactics used bers Standards Committee. In 2018 Julie became Against Fraud and the TAF Education Fund, Wash- regulators, trade bodies and civil society on the by NHS lawyers at great expense to the taxpayer. chair of the Select Committee on Whistleblowing ington, D.C. based whistleblower law advocacy commercial relationships between businesses and These have included undermining whistleblowing in 2018 which will be reporting later this year. and educational organizations, and is the recip- their lenders. Heather currently sits on the Steering law for doctors and agency workers, cost threats ient of their Lifetime Achievement Award. He is Group for the new Business Banking Resolution when as a witness Chris was under oath and not an adjunct faculty member at Cornell law School Service (BBRS). disclosing key evidence. On 15 October 2018 where he co-teaches a course on Whistleblower

Chris was forced into a settlement which he has Law with the former Dean of the Law School. been attempting to set aside so the facts of this sit- uation can be properly heard in court.

9. 10. Andrew Gilligan Georgina Halford-Hall Jennifer Haslett

Andrew is a policy adviser and journalist, current- Georgina Halford-Hall is CEO and a founding Georgina was appointed the director of Strategy Jennie Haslett is head of FATF and International ly transport adviser to the Prime Minister. Until July director of WhistleblowersUK. She founded the and Policy to the All Party Parliamentary Group Branch, Sanctions and Illicit Finance Team at HM 2019 he was senior correspondent of The Sunday company after becoming one of only 3% of peo- (APPG) for Whistleblowing in July 2018 after Whis- Treasury. Jennie lead on the new corporate crimi- Times and had also served as head of the Capital ple in the UK who succeed in the Employment Tri- tleblowersUK were invited to form the secretariat nal offence for failure to prevent the criminal facil- City Foundation at Policy Exchange. Andrew re- bunal to help other whistleblowers and campaign co-authoring the frst report setting out the case itation of taxevasion and analysis to inform inter- mains a committed cyclist having spent time as cy- for whistleblower protection and access to jus- for an Independent Offce for the Whistleblower. national engagement on offshore tax evasion cling commissioner for London. He is best known tice. While supporting whistleblowers Georgina Georgina is director of the Alternative Programme for a 2003 report on BBC Radio 4’s The Today found herself the subject of a police investigation for the Cambridge International Symposium and Programme in which he described a British gov- and was arrested under the Data Protection and has become an international authority on whistle- ernment briefng paper on Iraq and weapons of Theft Act, only to be fully acquitted and vindicated blowing advising governments and organisations mass destruction as ‘sexed up’. Andrew has re- after her evidence enabled the police to launch both in the UK and abroad while retaining her ceived numerous awards including Journalist of Operation Snowdon to investigate the sexual and commitment to normalising whistleblowing. In her the Year in 2008 for his investigative reports on physical abuse of over 40 children. In the interim spare time Georgina is a keen artist. Ken Livingstone. Georgina has helped many whistleblowers to re- solve their cases including the landmark Banerjee v RBC case.

11 . 12 . Sir Gerald Howarth Mary Inman Alla Konnikov Manish Kainth

Sir Gerald is a former Conservative Member of Mary Inman is a partner in Constantine Cannon’s Alla is an Associate Professor at the University of Manish is a Compliance Programme Director with the United Kingdom Parliament, representing the London Offce. After 20+ years representing whis- Law with 14 years of academic and management NAVEX Global. Based in London UK, Manish constituency of since 1997. He was tleblowers in the U.S., she moved to London in experience specialising in the area of equity and has been with NAVEX Global for 3 years deliv- previously MP for Cannock from 1983-1992. He July 2017 to launch the frm’s international whis- debt fnance and law and business. ering numerous governance, risk and compliance became a Special Adviser to Addveritas in Jan- tleblower practice. She specialises in representing (GRC) technology-based projects ranging from Alla has been involved as a tutor and designer in uary 2017 a Partner in May and our Chairman whistleblowers from the U.K., Europe and world- code of conduct creation, ethics and compliance a variety of face to face and online programmes. in November 2017. Sir Gerald began his career wide under the American whistleblower reward training, whistleblowing hotlines, case manage- Alla is on the management team involved in strat- in international fnance, working for various inter- programs, including the Federal and various state ment and policy management solutions global- egy, team building and staff development. Alla is national banks. He has a keen interest in matters False Claims Acts and the SEC, CFTC, IRS and ly for its clients. Prior to joining NAVEX Global part of business development team successfully of corporate governance with extensive expertise DOT whistleblower programs. Manish spent 11 years providing ethics and com- collaborating with internal and external stake- amassed over 30-years in Parliament and as Min- pliance programme solutions for organisations in Ms. Inman’s efforts to export the American whis- holders. ister for International Security Strategy at the Min- regulated and non-regulated, proft and not-for- tleblower programs to the UK have been featured istry of Defence from 2010-2012. He has been Alla is also a Director at the European Institute of proft organisations. Manish regularly works with in the New York Times and New Yorker. an active campaigner all his political life and has Management and Finance involved in structuring, board of directors, executive and management consistently demonstrated early and infuential delivering and promoting relevant, stimulating and teams by helping them to implement compliance leadership on the major issues of our day our day, essential courses in governance, compliance and best practices and to build an ethical workplace whether global or domestic. risk for fnancial services. culture that protects their employees and company reputation. Alla has a BA and MSc with Honours from Colum- bia University, New York, NY USA in International Relations and Psychology. 13. 14. Stephen Kerr Tom Lloyd QPM Andy McDowall Tessa Munt

Stephen Kerr Member of Parliament for Stirling Tom is a former Police Chief Constable with exten- Chief Superintendent Andrew McDowall is the ‘Liberal Democrat politician. Served as the Mem- elected in 2017. Stephen’s career prior to enter- sive and varied experience including investigating current of Professional Standards Department of ber of Parliament for Wells in from ing Parliament was in business and his career has serious complaints against police offcers, and Police Scotland with additional responsibility for 2010–2015 and as the Parliamentary Private Sec- included working in UK banking and fnance and leading complex and sensitive inquiries. Tom was Anti-Corruption and Vetting. Andrew has 28 years retary (PPS) to the Secretary of State for Business, a long term role as a senior leader with Kimber- the Director of Strategic Co-ordination at New wide and varied policing experience incorporat- Innovation and Skills, from 2012- ly Clerk. Stephen is a committed family man and Scotland Yard which gave him an in depth under- ing Operational, Community Policing, Training, 2015. Somerset County Councillor for Wells since member of The Church of Jesus Christ of Latter-day standing of the complexity and challenges facing Command and Control and now Professional 2017.’ Saints where he has held a number of positions. large organisations and of the structures and per- Standards. sonal barriers people encounter when bringing Since entering Parliament Stephen has champi- Andrew has operated locally within Glasgow concerns into the open. Tom’s background in pro- oned reform of the banking and fnance centre and the West of Scotland and has held a number fessional policing standards has brought him into and the protection of whistleblowers being elect- of national portfolios since the creation of Police contact with many cases of alleged misconduct ed Chair of the All Party Parliamentary Group Scotland on the 1 April 2013. Most recently An- and the problems associated with holding individ- (APPG) for Whistleblowers and vice chair of the drew has been instrumental in embedding the Val- uals and organisations to account. APPG for Fair business banking. Stephen advo- ues and Ethics work stream into the Professional cates for whistleblowers promoting the need for Standards Department to further develop Police legislative reform and the introduction of world Scotland’s approach to values based decision class gold standard whistleblowing legislation. making with human rights and ethical considera- tions at the heart of everything the Police Service do in Scotland.

15. 16. Dave Porter Simon Reevell Lindsey Rogerson Andrew Samuels

Mr. Dave Porter is Associate Partner of Cognitive Simon Reevell was the MP for Dewsbury from Lindsey Rogerson joined Thomson Reuters as sen- A Founding Partner in Addveritas, Andrew is a Solutions, IBM UK. 2010-2015 returning to the law after narrowly ior editor for fnancial regulatory policy in UK thought and industry leader in the establishment losing his seat. Simon is a barrister specialising and Europe, in November 2017. She is an award and operation of whistleblowing programmes that in a range of often high profle matters including winning journalist and has been a fnancial writer, see organisations and individuals beneft from the banking and fnancial fraud, the military, sexual columnist and editor for over 20 years. She is also information that human intelligence provides. In crimes and whistleblowing. Simon is one of the an expert in regulating in the interests of consum- this capacity, Andrew has worked with organi- most experienced Military Law barristers in the ers. From 2014-2017 she was a member of the sations from the UN and IOC through to charities UK. During his political career Simon undertook to Securities and Markets Stakeholder Group of the and banks amongst other industries. Andrew has challenge the mechanisms that underpin statutory European Securities and Markets Authority. Prior been the UK Delegate Head of the British Stand- governance and has remained active in his role as to that from 2006-2012 she was a member or the ards Institute to the International Standards Or- an advisor to the All Party Parliamentary Group Financial Services Consumer Panel, latterly chair- ganisation for the Governance of Organisations on Fair Business banking. Simon also advises ing its European Working Group. She has also since 2017 where he has taken a lead role in the WhistleblowersUK in his role as standing counsel. consulted on the impact of fnancial regulation for development of the upcoming ISO Whistleblow- Simon regularly contributes to publications and a number of private sector organizations. She has ing standard, ISO37002. He’s a frequent contrib- journals offering insight into specialised and com- an MA in Political Economy & History from Uni- utor to media along with academic studies and the plex topics including whistleblowing. versity of Glasgow and a postgraduate diploma recent APPG report into Whistleblowing. in journalism from Cardiff University.

17. 18. Anthony Stansfeld Douglas Thornton Andy Verity Hugh Wilkins

Anthony Stansfeld is currently a member of West Doug is a Fellow of the Royal Institution of Char- As the Director of Neuro-Training Pty Ltd and ad- Hugh is a clinical scientist and has worked in hos- Berks Council, and was a member of the Thames tered Surveyors having been frst elected in 1993. viser to The College of Neuro-Training Pty Ltd, An- pitals and universities in the UK and overseas. His Valley Police Authority for several years taking He has a Degree in Land Economics and is also a drew Verity is a man with a passion for understand- main areas of responsibility have been in the safe over as Chairman of the Performance Committee Chartered Member of the Institute of Building. He ing neurological health. He brings the knowledge, and effective use of radiation in medicine, for di- in 2011. He has had a career in both the military has held senior roles in both the public and private expertise and experience necessary to lead and agnosis, treatment and research. He was unfairly and in industry. He enlisted in the Army at 17 and sector with organisations such as Tesco, Amazon, develop nationally recognized training colleges. dismissed by hospital managers after raising pa- joined the Royal Green Jackets where he saw ac- and, regretfully, High Speed 2. As a Director at Previously Andrew has developed multiple curric- tient safety and legal compliance concerns, sub- tive service in Borneo and Northern Ireland. He Tesco Doug co-authored Governance and Pro- ulum in Australian colleges to Diploma level and sequently corroborated by the relevant regulator learnt to fy helicopters at Middle Wallop and cess for global property teams as well as success- founded training colleges in Australia, Norway, (the Care Quality Commission). He is currently commanded various Army Air Corps Squadrons, fully leading a substantial United Kingdom land Germany, Italy, South Africa and Switzerland. seeking to raise awareness of the realities of re- including the Army helicopters in the Falkland Is- acquisition & development program. Married with During his fve year term as the President of the In- prisals against whistleblowers, and is promoting lands in the latter half of 1982. two inbetweener children he enjoys walking the ternational Association of Specialized Kinesiolo- specifc actions to encourage the culture change dogs, golf, and the odd bit of sailing. gists, Andrew has aided in laying the groundwork which is widely recognized as being needed so for professional structures of qualifcation that are that NHS staff in particular can speak up without now the accepted norm, both nationally and inter- suppression or retaliation. nationally. With over 25yrs years of working in the natural therapy felds and with a dedicated focus to the neurological aspect of living a balanced, effective life.

19. 20. Notes:

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