Economic Sanctions Enforcement and Compliance

This year marks 30 years since the inception of C5 Group. ACI It is time to match our brand with the dynamic strides we have made. American Conference Institute See inside for details… Business Information in a Global Context

April 27–28, 2016 | The Westin Washington DC City Center, Washington, DC 9th Advanced Conference on ECONOMIC SANCTIONS ENFORCEMENT AND COMPLIANCE

Where industry, policy-makers and the best of the sanctions bar gather EARN CLE/CPE for up-to-date content, connections and compliance best practices CREDITS

SENIOR GOVERNMENT  20+ leading banks, insurers, and exporters share compliance SPEAKERS: best practices: Allianz SE Credit Suisse Morgan Stanley Société Générale Andrea Gacki Michael Dondarski Acting Deputy Chief, Regulated AXA Group Citigroup PayPal Standard Chartered Director Industries Oversight Barclays Exxon Mobil Prudential The Boeing Company Office of Foreign & Evaluation BNP Paribas GE Raymond James Wal-Mart Stores Assets Control Office of Foreign Financial U.S. Department of Assets Control CIBC Google Verizon the Treasury U.S. Department of Capital One MasterCard Pfizer Western Union Treasury Andrew Keller Timely updates on from both the US and EU perspectives Deputy Assistant Rachel (Nagle)  Iran Sanctions Secretary Dondarski Bureau of Economic Senior Advisor,  Expert members of the sanctions bar provide a practical analysis of the latest and Business Affairs Compliance U.S. Department of Programs developments on Russia, Cuba, North Korea, NY State and State Sanctions Compliance and Cyber Sanctions Douglas R. Evaluation Hassebrock Office of Foreign  Senior Government Officials share insights on US and global Director, Office of Assets Control sanctions enforcement during the Economic Sanctions Year in Review Export Enforcement U.S. Department of U.S. Department of Treasury Commerce  New Formats to Facilitate Networking and Learning: Jamie Rose - Practical Case Studies on Russia, - Early Riser Session to Discuss Best Practices David Laufman Compliance Officer Iran and Facilitation Chief, Office of Foreign - Champagne Roundtables Counterintelligence Assets Control - In-Depth Workshops - Interactive Sessions to Meet with Your and Export Control U.S. Department of Industry Peers Section Treasury National Security LEAD SPONSOR: Division Jeffrey R. Braunger U.S. Department of Chief, Licensing Justice Division Office of Foreign Assets Control SPONSORS: U.S. Department of Treasury

Register Now | 888 224 2480 a C5 Group Company Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group AmericanConference.com/EconomicSanctionsDC Business Information in a Global Context Dear Colleague, We are delighted to be co-chairs of 9th Advanced Forum on Economic Sanctions Enforcement and Compliance. This program is widely known as the best economic sanctions conference for both content and networking. This year’s program has been updated to reflect the current needs of sanctions professionals and features key government updates, seasoned industry executives from both financial and non- financial community and expert sanctions counsel. This program will be current and will be updated as new restrictions are lifted or added.

What’s New for 2016? Meet Your Peers and Make 1 In-depth Coverage on the Easing of Iran Sanctions New Acquaintances during 2 What is and is not Allowed for US Companies and Foreign Subsidiaries of Dedicated Networking Time US Companies 3 Question and Answer Panel with the Regulators 4 What is Happening on the Ground in Cuba Wednesday, April 27th 5 Update on Russian Sanctions 12:30 Networking Luncheon 6 Latest Developments on North Korea and Myanmar Participants will have the opportunity to sit with 7 Compliance 2.0: How to get Your Program from Good to Great their industry peers for informal networking. Select from the following industries: 8 Industry Specific Sessions for Exporters, Insurance Companies, Financial  Financial Services Services and Payments  Manufacturing  Insurance Participate in Timely Discussions on Advanced Topics including:  Aerospace/Defense  Retail  Cyber Sanctions  Energy  Due Diligence Screening 5:30 Champagne Roundtables  Resolving Issues that Arise from Mergers & Acquisitions End the day informally as you network and  Handling the Media and Public Relations when have a Sanctions Problem share views with your peers on best practices Operational Challenges for Managing Your Compliance Program and current issues affecting the industry on:  ACI has recruited an exceptional faculty for this year’s program. We hope that this format will continue to provide relevant and valuable take-aways that can be applied Thursday, April 28th to your daily work and be used to benchmark your sanctions compliance program. 7:45-8:45 We hope that you will join us for an interesting and informative meeting. Early Riser Session: Michaela Arndt Jamie Boucher Interactive Panel on How to Work Head, Sanctions Compliance, Partner Effectively with OFAC Americas and Group Head, Skadden, Arps, Slate, US Sanctions Meagher & Flom LLP Standard Chartered

It is time for a brand, logo and language in keeping with the dynamic ACI strides we have made as a company. It is time for a brand that will take American Conference Institute us forward for the next 30 years. Business Information in a Global Context This year marks 30 years since the inception of C5 Group. C5 Group, comprising American Conference Institute, The Canadian Institute and C5 in Europe, will unite under one central brand image, 30 years 30 years 30 years appropriately a globe. See how bringing together the power of people hosting more building a expanding and the power of information can accelerate your growth and success. than 6,000 network of across conferences industry leaders the globe Our new brand look and language will be fully revealed soon. Stay tuned for more exciting changes.

2 Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group Distinguished Faculty CONFERENCE FACULTY: Pinar Gungoren-Chedru Kenneth Rivlin G. Stephen Alsace Global Head of Sanctions Partner Compliance Allen & Overy LLP CONFERENCE CO-CHAIRS: Senior Director, Sanctions CIBC (Toronto) Societé Générale SA (France) Anders Rodenberg Michaela Arndt Director, Financial Services Mary Beth Balhoff Tyler Hand Lead, Sanctions Compliance, Vice President, Head of Global Bureau Van Dijk Americas and Group Head, Counsel Sanctions and Interdiction Alice Rojas US Sanctions ExxonMobil Corporation Western Union Head, Sanctions Governance Standard Chartered David Brummond Joshua Holzer and OFAC Reporting Jamie Boucher Of Counsel Trade and Compliance Counsel Financial Crime Compliance – Partner DLA Piper LLP Pfizer Americas Skadden, Arps, Slate, Meagher Les Carnegie Standard Chartered Bank & Flom LLP Douglas N. Jacobson Partner Partner Liana Sebastian Latham & Watkins LLP Export Compliance Counsel GOVERNMENT SPEAKERS: Jacobson Burton Kelley PLLC Cory D. Childs Google Andrea Gacki Thomas J. Koffer Assistant General Counsel Global Head of Anti-Corruption & Damian V. Sepanik Acting Deputy Director Chief Compliance Officer Walmart Economic Sanctions Compliance Office of Foreign Assets Control Zurich North America U.S. Department of the Treasury Alison Clew Credit Suisse Frederick Shaheen Principal Edward J. Krauland Andrew Keller Chief Counsel, Global Trade Deloitte Financial Advisory Partner Deputy Assistant Secretary The Boeing Company Services LLP Steptoe & Johnson LLP Bureau of Economic and Charles Smith Business Affairs Nicholas Coward Judith Lee Vice President, U.S. Department of State Partner Partner Anti-Money Laundering Unit Douglas R. Hassebrock Baker & McKenzie LLP Gibson, Dunn & Crutcher LLP Prudential Financial Director, Office of Export Kevin J. Cuddy Greta Lichtenbaum David Stetson Enforcement Senior Manager – Partner Co-Head, Government U. S. Department of Commerce International Trade Compliance O’Melveny & Myers LLP Sanctions Group David Laufman General Electric Rae Lindsay Goldman, Sachs & Co Chief, Counterintelligence Fred Curry Partner Sean M. Thornton and Export Control Section Principal Clifford Chance (UK) Head of Legal Financial Security National Security Division Deloitte Jeanine P. McGuinness (US), Group Legal U.S. Department of Justice BNP Paribas Thomas Feddo Partner Christopher Conroy Partner Davis Polk & Wardwell LLP Lynn M. Van Buren Assistant General Counsel Chief, Major Economic Alston & Bird LLP Ronald Meltzer Crimes Bureau Verizon Sean Friedly Partner New York County District Wilmer Hale LLP Karen A. Walter Attorney’s Office Senior Manager – Head of Economic Sanctions Unit Sanctions Governance Molly J. Miller Allianz SE (Munich) Michael Dondarski Raymond James Senior Director, Economic Chief, Regulated Industries Amy Worlton Andy Gelinas Sanctions and Trade Controls Oversight & Evaluation Capital One Partner Office of Foreign Assets Control Sanctions Counsel Wiley Rein LLP U.S. Department of Treasury Morgan Stanley Serena D. Moe Director/Sanctions Regulatory Jeremy B. Zucker Rachel (Nagle) Dondarski Terence Gilroy Global Sanctions and Partner Senior Advisor, Compliance Director, AB&C Compliance Dechert LLP Programs Legal-Financial Crime Citigroup Sanctions Compliance & Barclays Brenda Perrotti Evaluation Corinne Goldstein Vice President, Global Sanctions Office of Foreign Assets Control Partner MasterCard U.S. Department of Treasury Covington & Burling LLP Beth Peters Jamie Rose Carlton Greene Partner Compliance Officer Partner Hogan Lovells US LLP Office of Foreign Assets Control Crowell & Moring U.S. Department of Treasury Maura Rezendes Aynel Alvarez Guerra Partner Jeffrey R. Braunger Foreign Staff Attorney Allen & Overy LLP Chief, Licensing Division Brown Rudnick LLP Office of Foreign Assets Control U.S. Department of Treasury

9:00am – 12:30pm 1:30pm – 5:00pm A Registration Begins at 8:30am B Registration Begins at 1:00pm Comprehensive Overview of U.S. Economic Sanctions How to Assess the Effectiveness of Your Sanctions Regulatory Regimes and the Essential Elements of an Compliance Program – a Practical Guide to Effectively Effective Compliance Program Monitoring, Testing and Auditing Your Controls Michael Zytnick Alice Rojas Group Dispute Resolution Legal Financial Security (US) Head, Sanctions Governance and OFAC Reporting BNP Paribas (New York, NY) Financial Crime Compliance – Americas Standard Chartered Bank (Newark, NJ) Ann Broeker Compliance Leader – Amy Worlton International Trade Controls and Economic Sanctions Partner GE Capital (Chicago, IL) Wiley Rein LLP (Washington, DC) Molly J. Miller Monitoring, testing and auditing your sanctions compliance program are Senior Director, Economic Sanctions critical components of sanctions compliance. During this practical and and Trade Controls hands-on workshop, expert leaders will share best practices on how they Capital One (New York, NY) have approached monitoring and testing on a global scale and where to focus your limited resources. This interactive workshop gives participants This session is designed both for people new to sanctions or for those the unique opportunity to benchmark their compliance programs who would like an in-depth refresher before the main program which against their peers in the industry. The session will provide insights into is more advanced. the essential elements of a strong compliance program, will discuss the common areas of risk, and will explore tailored strategies to address these • Learn the nuts and bolts of how OFAC comprehensive and limited risks in a compliance program. Take advantage of this unique opportunity sanctions on Burma, Cuba, Iran, North Korea, Russia, Syria, and to discuss your specific approach and find out how other companies are Sudan operate addressing this issue. Some of the topics to be discussed include: • Understand how OFAC’s list-based programs include a range of subtle nuances that can expose U.S. persons to civil and criminal liability • How to implement a review and monitoring of your compliance program • Discover how statutory exemptions, general licenses, and specific on a global basis? licenses allow for the processing of otherwise prohibited activity • Developing a risk based approach to compliance program audits • Review of OFAC required reporting requirements and the Economic and monitoring of key controls Sanctions Enforcement Guidelines • Why periodic audits are important • Learn how best practices in the development of a global sanctions • Who should do the work: internal audit vs external audit vs consulting compliance program can protect you against enforcement actions • What internal controls and procedures should be reviewed? • Participate in numerous case studies applying U.S. sanctions to • Timing and frequency of the review real-life situations • What is “risk-based compliance”? • Learn how to test your program for accuracy - Adapting to new OFAC requirements • 10 critical elements that should be in every global sanctions - Tackling new corporate transactions and new products and services compliance program - Updating compliance policies and procedures in light of audit results

EARN CLE/CPE Continuing Professional Education Credits CREDITS American Conference Institute (ACI) will apply for Continuing Professional Education credits for all conference attendees who request credit. There Continuing Legal Education Credits are no pre-requisites and advance preparation is not required to attend this conference. Accreditation will be sought in those jurisdictions requested bythe registrants which have continuing education requirements. This course Course objective: Timely updates to economic sanctions, internal risk assessments and is identified as nontransitional for the purposes of CLE accreditation. investigations, reporting requirements and transaction due diligence. Prerequisite: None. Level of knowledge: Intermediate. Teaching Method: Group-Live. Advanced Preparation: ACI certifies that the activity has been approved for CLE credit by the None. Delivery method: Group Live. New York State Continuing Legal Education Board. Please refer to the information in this brochure for outline, course content and objectives. ACI certifies that this activity has been approved for CLE credit by the Final approval of a course for CPE credits belongs with each states’ regulatory board. State Bar of California. Recommended CPE Credit: 14.5 hours for the main conference and an additional 4.0 hours You are required to bring your state bar number to complete the for each workshop. appropriate state forms during the conference. CLE credits are ACI is registered with the National Association of State Boards of Accountancy (NASBA) as processed in 4-8 weeks after a conference is held. a sponsor of continuing professional education on the National Registry of CPE Sponsors. ACI has a dedicated team which processes requests for state approval. State boards of accountancy have final authority on the acceptance of individual courses Please note that event accreditation varies by state and ACI will make for CPE credit. Complaints regarding registered sponsors may be addressed to the National every effort to process your request. Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417 Questions about CLE credits for your state? Visit our online CLE Help or by visiting the web site: www.learningmarket.org Center at www.americanconference.com/CLE To request credit, please check the appropriate box on the Registration form.

4 Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group Part 1 Key Takeaways from the Last perspective, of Implementation Day for US companies, EU companies, and multinationals Year and Priorities Going Forward based in either, including: At this highly anticipated opening session, senior enforcement officials from the U.S. • What does General License H mean for US Departments of Commerce, Justice, State companies? How is it different from the and Treasury will review the past year's major status quo ante? Wednesday, April 27, 2016 enforcement events and sanctions program • Is it possible for non-US companies to make changes and offer their insights regarding US dollar payments? priorities for the coming year including: • What are the risks for EU companies exploring business opportunities in Iran? 8:00 Registration Opens • Key sanctions enforcement cases, and how • What happens if there is a “snap back” and priorities are evolving how can companies protect themselves? • How cases are built: The extent of • What will the US enforcement policies be 8:30 coordination between US government after Implementation Day? agencies, and with foreign enforcement Co-Chairs Opening Remarks agencies • Major changes in economic sanctions 11:45 Michaela Arndt programs: what has happened, and Perception vs Reality: How to Protect Head, Sanctions Compliance, what's next Your Company amid Eagerness to Americas and Group Head, US Sanctions • Managing conflicts between US and EU Standard Chartered (Newark, NJ) sanctions: what is expected of your company Pursue New Business Opportunities if your industry is under investigation in Cuba and Iran Jamie Boucher Partner Part II The Agencies Respond to Frederick Shaheen Skadden, Arps, Slate, Meagher & Flom LLP Industry Questions and Concerns Chief Counsel, Global Trade (Washington, DC) The distinguished speakers will answer questions The Boeing Company (Washington, DC) and comments from industry in a moderated Michaela Arndt 8:45 discussion. Participants will be contacted in Head, Sanctions Compliance, advance of the event to suggest comments and Keynote Address questions for discussion, and time also will be Americas and Group Head, US Sanctions reserved for live audience Q & A. Standard Chartered (Newark, NJ) Andrea Gacki Acting Deputy Director Questions can be submitted in advance Brenda Perrotti Office of Foreign Assets Control of the conference at Vice President, Global Sanctions [email protected] U.S. Department of the Treasury MasterCard (Purchase, NY) (Washington, DC) Kenneth Rivlin 10:30 Networking Break Partner Allen & Overy LLP (New York, NY) 9:15 10:45 Ronald Meltzer – Panel Moderator The Economic Sanctions Year in Focus on Iran: Day to Day Legal and Partner Review and Q & A with the Regulators Wilmer Hale (Washington, DC) Operational Considerations after Andrew Keller Implementation Day and What to Despite significant easing of U.S. sanctions against Iran and Cuba, key restrictions – Deputy Assistant Secretary Expect Going Forward particularly those applicable to U.S. persons – Bureau of Economic and Business Affairs Lynn M. Van Buren will remain in effect. During this exclusive panel, U.S. Department of State Assistant General Counsel find out how global companies can overcome Douglas R. Hassebrock Verizon (Washington, DC) new compliance challenges relating to: • potential work of foreign subsidiaries Director, Office of Export Enforcement Philip Urofsky U.S. Department of Commerce • prohibitions on "facilitation" by U.S. persons Partner • restrictions on "U-turn" transactions David Laufman Shearman & Sterling LLP (Washington, DC) through the U.S. financial system Chief, Counterintelligence and Export Rachel (Nagle) Dondarski • SEC disclosure obligations Control Section Senior Advisor, Compliance Programs • export controls for U.S.-origin technology National Security Division Sanctions Compliance and Evaluation U.S. Department of Justice In some ways, recent initiatives and Office of Foreign Assets Control commitments to ease sanctions against Iran Senior Representative U.S. Department of the Treasury and Cuba make compliance more difficult Office of Foreign Assets Control and increase the gap between perceived Edward J. Krauland – Panel Moderator opportunities and actual, ongoing restrictions. U.S. Department of the Treasury Partner And these developments also widen disparities Jeremy B. Zucker – Panel Moderator Steptoe & Johnson LLP (Washington, DC) between US and EU sanctions – another Partner Implementation Day saw a plethora of guidance problem for global companies that face overlapping, multi-jurisdictional compliance Dechert LLP (Washington, DC) from the Treasury Department and the EU as many of the primary sanctions (EU) and requirements. This panel will explore those secondary sanctions (US) were lifted, but what challenges and gaps in various types of does it all mean? This panel will explore the transactions and industry contexts. real-world implication, from a private sector

Register Now | 888 224 2480 a C5 Group Company Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group AmericanConference.com/EconomicSanctionsDC Business Information in a Global Context 12:30 Networking Luncheon for Attendees and Speakers – Industry Participants will have the opportunity to sit with their industry peers for informal networking  Financial Services  Insurance  Retail  Manufacturing  Aerospace/Defense  Energy

BREAKOUT SESSIONS Track 1 Track 2 Case Studies: Industry-Specific Benchmarking Sessions Test Your Knowledge with Real World Scenarios 1:45 Iran Scenarios: What Is and Is Not Allowed for U.S. Interactive Session: Companies and Foreign Subsidiaries of U.S. Companies Top 5 Sanctions Risks for Insurance Companies Andy Gelinas Corinne Goldstein Damian V. Sepanik Sanctions Counsel Partner Chief Compliance Officer Morgan Stanley (New York, NY) Covington & Burling LLP Zurich North America (Schaumburg, IL) (Washington, DC) Mary Beth Balhoff Charles Smith Counsel Vice President, Anti-Money Laundering Unit ExxonMobil Corporation (Houston, TX) Prudential Financial (Newark, NJ) Participate in interactive case studies to analyse and resolve issues that non-U.S. entities owned or controlled by U.S. persons may confront in David Brummond doing business with Iran following Implementation Day. Discussions will Of Counsel include whether the non-U.S. entity may do business with Iran if: DLA Piper LLP (Washington, DC) • The CEO or a majority of its Board members are U.S. persons Participate in an interactive discussion among insurers and reinsurers • The corporate family is organized along product lines and the as you analyze current developments including: relevant sales director resides in the U.S., or its marketing budget must be approved at the U.S. parent level • Risk assumption activities of foreign affiliates of US insurers • The SAP system is housed on a U.S. server - Iran energy, aviation and maritime risks • The technology it uses to manufacture products for sale to Iran - Cuba travel insurance is U.S.-origin • Role of US employees in foreign affiliates of US insurers • The products it intends to sell to Iran are U.S. origin but drawn • Sanctions exclusionary clause challenges from a general non-U.S. inventory - Market realities • The corporate family has its banking relationship with a U.S. financial institution - Regulatory expectations 2:45 Russia/Ukraine Scenarios: How to Apply the 50% Rule Interactive Session for Financial Services: Jeanine P. McGuinness Anders Rodenberg Focus on New York State Enforcement Partner Director, Financial Services Davis Polk & Wardwell LLP Bureau Van Dijk Christopher Conroy (Washington, DC) (New York, NY) Chief, Major Economic Crimes Bureau New York County District Attorney’s Office (New York, NY) Maura Rezendes Partner Carlton Greene Allen & Overy LLP (Washington, DC) Partner This panel will provide an update on the latest developments involving Crowell & Moring (Washington, DC) Russia/Ukraine sanctions and how to comply with OFAC’s “50 percent rule”. This timely panel provides a rate opportunity to hear what the agencies • Practical review the 50% rule in the context of U.S. sectoral expect during sanctions investigations. Learn how federal and state sanctions on certain Russian entities agencies work together on enforcement issues. Find out what will • How ownership issues are flagged in compliance programs, the trigger an inquiry from NY State Department of Financial Services and unique challenges of applying the rule under the Russia/Ukraine other agencies sanctions, and how to make decisions and assess risks with imperfect information • Staying clear of the widening reach of NY State sanctions • Establishing a protocol for assessing ownership when there is a lack • Impact of new AML rules from DFS of transparency • How to respond if you receive a subpoena • How to calculate whether the 50% threshold is reached when • Ways to cooperate with the authorities during an investigation there are multiple minority partners • How to document compliance

6 Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group 3:30 Networking Break

BREAKOUT SESSIONS Track 1 Track 2 Case Studies: Test Your Knowledge on Real World Scenarios Industry-Specific Interactive Sessions 3:45 Facilitation Case Studies Interactive Session: Focus on the Payments Industry David Stetson Tyler Hand Co-Head, Government Sanctions Group Vice President, Head of Global Sanctions and Interdiction Goldman, Sachs & Co. (New York, NY) Western Union (Engelwood, CO) Les Carnegie Thomas Feddo Partner Partner Latham & Watkins LLP (Washington, DC) Alston & Bird LLP (Washington, DC) Participate in real-world and practical case studies to test your Join in a conversation about the unique considerations regarding understanding of OFAC’s concept of facilitation across US sanctions traditional and non-traditional payment methods. Discuss the current programs including: challenges for getting credit card transactions approved in Cuba and other payment transactions in high risk countries. • Facilitation in the context of policies and procedures • Facilitation in the context of operational and systems issues • Facilitation in the context of referrals and approvals

4:30 What You Need to Know about European Sanctions Interactive Session for Exporters Karen A. Walter Head of Economic Sanctions Unit Liana Sebastian Allianz SE (Munich) Export Compliance Counsel Google (Mountain View, CA) Rae Lindsay Partner Greta Lichtenbaum Clifford Chance (UK) Partner O’Melveny & Myers LLP (Washington, DC) • Main features of EU sanctions – law, policy, enforcement • Recent developments (Russia/Ukraine and Iran) and disparities • Indirect sanctions risks: sales through distributors between the US and EU approaches • Differing standards among the sanctions regimes applicable • Compliance and risk management in Europe – following the US lead to U.S. exports • Enforcement and litigation trends in Europe • Intersection of OFAC and BIS rules • How to convince foreign business partners to be partners in compliance • Challenges related to exports of services • How sanctions creates challenges in logistics and trade finance

5:30 Champagne Roundtables End the day informally as you network and share views with your peers on best practices and current issues impacting the industry.  Iran  Russia  EU  Cuba

6:15 Conference Adjourns to Day Two

Missed A Conference? ORDER THE CONFERENCE MATERIALS NOW! 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 +1-888-224-2480 or visit: www.americanconference.com/conference_papers

Register Now | 888 224 2480 a C5 Group Company Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group AmericanConference.com/EconomicSanctionsDC Business Information in a Global Context Michael Dondarski high profile sanctions investigations Thursday, April 28, 2016 Chief, Regulated Industries Oversight & Evaluation 11:30 Office of Foreign Assets Control 7:30-8:30 U.S. Department of Treasury Operational Excellence: How to Early Riser Session: (Washington, DC) Optimize Technical, Financial and HR Resources amid Limited Resources Interactive Panel on How to Work Alison Clew Effectively with OFAC Principal Sean M. Thornton Deloitte Financial Advisory Services LLP Head of Legal Financial Security (US) Terence Gilroy (Boston, MA) Director, Legal-Financial Crime Group Legal Barclays (New York, NY) Jamie Boucher BNP Paribas (Washington, DC) Partner Pinar Gungoren-Chedru 8:40 Skadden, Arps, Slate, Meagher & Flom LLP (Washington, DC) Global Head of Sanctions Compliance Opening Remarks from Conference Societé Générale SA (France) Co-Chairs This panel will focus on both the technical and strategic aspects of the investigation process This panel will provide guidance on the day to including: day challenges and opportunities of having a 8:45 robust sanctions compliance program including: • Factors to consider in organizing and Doing Business in Cuba: Practical conducting the Investigation • Best practices for informing the company Issues from the US and Cuban • Strategies for managing multi-agency and when sanctions restrictions change Perspectives multi-jurisdiction investigations • Getting senior management buy-in • What does it mean to "cooperate"? • Using technology to supplement your Douglas N. Jacobson • Planning and preparing for post-settlement sanctions program Partner obligations • Strategies to select the best vendors for Jacobson Burton Kelley PLLC your company (Washington, DC) 10:30 Networking Break • Managing variable staffing needs Aynel Alvarez Guerra Foreign Staff Attorney 10:45 12:15 Brown Rudnick LLP (Boston, MA) So You Might Have a Sanctions Focus on North Korea and Myanmar: Jamie Rose Problem – Handling the Media and Staying Abreast of Changing Compliance Officer Public Relations Fallout Sanctions Landscape Office of Foreign Assets Control U.S .Department of the Treasury Brai Odion-Esene Nicholas Coward (Washington, DC) Senior Director Partner Hamilton Place Strategies (City, State) Baker & McKenzie LLP (Washington, DC) This panel, will focus on some of the practical business issues and challenges that U.S. Judith Lee This session will review recent developments companies will face as they enter the Cuban Partner and illustrate the legal and practical challenges market, including: Gibson, Dunn & Crutcher LLP for sanctions compliance in the context of these two contrasting programs – one on the • U.S. and Cuban legal considerations in (Washington, DC) rise and one on the decline. As to North Korea, doing business with Cuba This panel will discuss handling the public what is left to sanction and would it make any • Overview of the key sectors where Cuba is relations and media issues surrounding a difference. As to Burma, most sanctions have seeking foreign investment and products sanctions compliance issue including: been relaxed but have the authorizations • How to engage in business in Cuba: achieved the desired results. If not, why not? understanding the various business forms • Assessing the issue and understanding • Navigating the approval process for the sale what makes an investigation media-worthy North Korea • Using in-house resources as a quick response of product and investment in Cuba - OFAC prohibitions • Overview of key employment issues for and synchronizing messages conveyed by the company across media outlets, corporate - Licensing requirements under the Export companies doing business in Cuba Administration Regulations • Issues associated with the movement of communications and outside counsel • When to make public statements vs. keep - US Import restrictions goods from the US to Cuba - Recent legislative initiatives • Tips on obtaining Cuba-related licenses a low profile from BIS and OFAC • Understanding the new role social media plays Burma (Myanmar) • Crafting a tailored message – what to tell - Prohibitions 9:30 the press and investors vs. employees and - General licenses Focus on Enforcement: Managing shareholders - Compliance challenges Government Investigations and • Minimizing the negative impact on - Reporting obligations Preparing for Their Aftermath management and employees • Considering the impact on other interested 12:45 Networking Lunch for parties – customers, third parties and lenders • Preparing for the collateral damage and Attendees and Speakers other contingent liabilities associated with

8 Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group 2:00 Cory D. Childs Resolving Sanctions Issues that Assistant General Counsel Arise from M & A Due Diligence Walmart (Bentonville, AR) ECONOMIC SANCTIONS • Tailoring internal compliance procedures Joshua Holzer to the site and country IN THE HEADLINES... Trade and Compliance Counsel • Implementing a global licensing strategy: Pfizer (New York, NY) Streamlining your approach to meeting “Obama Unveils New Penalties Fred Curry local requirements and securing approvals Principal • Assessing risks based on your specific for Overseas Cyber-attacks business activities Deloitte (Washington, DC) WSJ April 2015 • Drafting a formal written compliance Beth Peters program for screening embargoed countries, Partner denied parties and prohibited end-users Iran Complies with Nuclear Hogan Lovells US LLP (Washington, DC) • Setting up a training and awareness program • Scoping the sanctions and restricted party • Knowing which U.S. and foreign government Deal: Sanctions Lifted risks due diligence with US versus non-US agencies to report to, and ways to streamline NY Times January 2016 owned targets reporting processes across different • Special considerations with joint-venture jurisdictions representations and conditions to closing Iran without Sanctions, pre-close actions • Licensing sanctioned country business 4:15 EU ready to pounce post-close Due Diligence Screening Best CNN January 2016 • Post-close compliance program voluntary Practices disclosures Sean Friedly Crédit Agricole Corporate 2:45 Senior Manager – Sanctions Governance and Investment Bank Settles Focus on Cyber Sanctions: Raymond James (St. Petersburg, FL) Understanding the Potential Impact G. Stephen Alsace Potential Civil Liability of this New Sanctions Program Senior Director, Sanctions for Apparent Violations CIBC (Toronto) Thomas J. Koffer of Multiple Sanctions Global Head of Anti-Corruption & • Records and testing – what auditors and Programs in the amount Economic Sanctions Compliance regulators are looking for Credit Suisse (New York, NY) • Hit management – the importance of of $329,593,585. effective tuning This session will discuss the latest developments • What different lists should a company OFAC website in this rapidly changing area. use to screen against • Specifics of the new sanctions program • Discuss tools for automated/manual targeting individuals and groups outside screening in order to compare services the United States that use cyber-attacks and systems available to threaten U.S. foreign policy, national security or economic stability TESTIMONIALS • How this affects your company today 5:00 • Determining what constitutes creating Question and Answer Panel: harming critical infrastructure, Licensing Best Practices Very informative from a misappropriating funds, using trade secrets regulatory viewpoint for competitive advantage and disrupting Jeffrey R. Braunger computer networks would trigger the Chief, Licensing Division VP-Sanctions Control Officer, penalties Office of Foreign Assets Control JP Morgan Chase U.S .Department of the Treasury 3:15 Networking Break (Washington, DC) I enjoyed the speakers Participate in an informal discussion about Global Security Risks, Bill and Melinda Gates 3:30 working closer with OFAC to obtain necessary Foundation Compliance 2.0: Tools to Strengthen licenses. Bring your questions and discuss: Your Program from Good to Great • What type of transactions can be licensed? Great speakers, really on Kevin J. Cuddy • Best practices to work effectively with OFAC Senior Manager – • Anticipated timeframe for OFAC responses target – Great content International Trade Compliance • What to include in your application to Assistant OFAC Compliance Officer, AFEX General Electric Company expedite the process (Washington, DC) Serena D. Moe 5:30 Conference Ends Director/Sanctions Regulatory Global Sanctions and AB&C Compliance Citigroup Inc. (Washington, DC)

Register Now | 888 224 2480 a C5 Group Company Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group AmericanConference.com/EconomicSanctionsDC Business Information in a Global Context” AUDIENCE PROFILE Here’s who you can expect to network, benchmark and learn from this April! Exclusive opportunity to Global Audience Meet with a Global Audience to discuss current economic sanctions best practices. Over the last years, delegates from 8 37% FINANCIAL 18 Countries have attended ACI’s Economic Sanctions Enforcement & Compliance Event. 7% GOVERNMENT

Austria Italy Lebanon Belgium Ireland Turkey Finland Netherlands 22% EXPORTERS France Switzerland Russian Canada Germany United Kingdom Federation

South Myanmar United States Africa Taiwan 35% LAW FIRMS

This conference attracts a senior-level audience

COMPLIANCE: 18%

DIRECTOR: 14%

PARTNER: 14%

COUNSEL: 14%

ASSOCIATE: 9%

ATTORNEY: 8% VICE PRESIDENT: 7% MANAGER: 4% OTHER: 12%

ABOUT THE VENUE

n the heart of our nation’s capital, The Westin Washington, D.C. City Center is a vibrant hotel that captures the city’s dynamic spirit. Our central location makes it easy to appreciate the world-renowned buildings and historical monuments found throughout the city. The Washington IConvention Center is just five blocks east, and the White House is five blocks south. Shops, restaurants, and nightclubs are just four blocks west on Connecticut Avenue. You’ll appreciate our country’s rich history when you visit some of the many cultural exhibits and memorials in the area, such as the Smithsonian Institute, the U.S. Capitol Building, the National Gallery of Art, and the Lincoln Memorial. Our location is served by two metro stations: McPherson Square on the Blue/Orange lines and Farragut North on the Red line. Exclusive Room Rates! American Conference Institute is pleased to offer our delegates a limited number of hotel rooms at a preferential rate. Please contact the hotel directly at 1-800-937-8461 and mention the “ACI’s Economic Sanctions” conference or book online at http://tinyurl.com/EconSanction.

LEAD SPONSOR: 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 Deloitte Advisory's anti-money laundering and sanctions industries in the US and around the world. consulting practice has helped resolve money laundering, As a member of our sponsorship faculty, your organization will be deemed as a partner. We terrorist financing, and other complex matters related to financial will work closely with your organization to create the perfect business development solution crime around the world. Our global network includes former catered exclusively to the needs of your practice group, business line or corporation. bank regulators, federal law enforcement officials, compliance For more information about this program or our global portfolio of events, please contact: officers, and more. Count on us to understand the complexities Wendy Tyler, Director of Sales, American Conference Institute you face and offer a breadth of services to help you respond. Tel: 212-352-3220 x5242 | [email protected]

10 Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group WHO SHOULD ATTEND: Mark your Calendar VP, DIRECTOR OUTSIDE COUNSEL VICE PRESIDENTS, for Upcoming AND MANAGER OF: SPECIALIZING IN: DIRECTORS AND Sanctions Events OFAC Compliance Economic Sanctions MANAGERS OF: Global Sanctions OFAC OFAC Compliance Global Sanctions FCPA, AML & OFAC Risks for AML International Trade Law AML Private Equity and Hedge Funds Financial Crime Export Controls Financial Crime April 5, 2016 | New York, NY Regulatory Compliance Financial Services Regulatory Compliance Export Controls AML and Fraud Export Controls Canada Forum on International Trade International Trade Economic Sanctions Compliance October 2016 | Toronto, Canada

Economic Sanctions Boot Camp MEDIA PARTNERS: December 2016 | New York, NY

1 Choose your Registration Method © American Conference Institute, 2016  PHONE:  ONLINE:  MAIL: 1-888-224-2480 www.AmericanConference.com/EconomicSanctionsDC American Conference Institute 45 West 25th Street, 11th Floor  EMAIL:  FAX: New York, NY 10010 [email protected] 1-877-927-1563

2 Select your Level of Engagement Register & Pay by March 11, 2016 Register & Pay after March 11, 2016 Bringing a Team? o Conference $2095 $2295 3 - 4 10% Conference Discount o Conference + 1 Workshop o A or o B $2695 $2895 5 - 6 15% Conference Discount o ELITEPASS*: Conference + Both Workshops $3295 $3495 7 20% Conference Discount All program participants will receive an online link to access the conference materials as part of their registration fee. 7 or more Call 888-224-2480 o Please reserve ___ additional copies of the Conference Materials at $199 per copy.

*ELITEPASS is recommended for maximum learning and networking value. Special Discount ACI offers financial scholarships for government employees, judges, law students, non-profit entities and others. For more 3 Fill in your Profile Conference Code 897L16-WAS information, please email or call customer service. SALUTATION NAME Fee Includes JOB TITLE ORGANIZATION The program, all program materials, refreshment breaks and lunches. ADDRESS CITY STATE/PROVINCE ZIP CODE COUNTRY TEL. Terms and Conditions FAX EMAIL Payment Policy TYPE OF BUSINESS NO. OF EMPLOYEES Payment must be received in full by the program date to ensure APPROVING MANAGER JOB TITLE admittance. All discounts will be applied to the Program Only fee (excluding add-ons), cannot be combined with any other offer, and o I would like to receive CLE accreditation for the following states: . See CLE details inside. must be paid in full at time of order. Group discounts available to 3 or more individuals employed by the same organization, who register at o ACH PAYMENT ($USD) Complete Payment Details the same time. 4 Please quote the name of the attendee(s) and the event code 897L16 as a reference. Please charge my o VISA o MasterCard o AMEX o Discover Card o Please invoice me Delegate Substitutions and Cancellations For US registrants: NUMBER EXP. DATE Bank Name: HSBC USA You must notify us by email at least 48 hrs in advance of the conference Address: 800 6th Avenue, New York, NY 10001 if you wish to send a substitute participant. If you are unable to find CARDHOLDER Account Name: American Conference Institute a substitute, please notify us in writing no later than 10 days prior UPIC Routing and Transit Number: 021-05205-3 to the conference date. All cancellations received will be subject to a o I have enclosed my cheque for $______including applicable taxes made UPIC Account Number: 74952405 cancellation fee of $350. Delegates opting to receive a credit voucher Non-US residents please contact Customer Service payable to American Conference Institute (T.I.N.—98-0116207) for Wire Payment information will receive a credit for the full amount paid, redeemable against any other American Conference Institute conference in the next 12 I confirm I have read and understood the terms months. 5 Accept the Terms and Conditions to Register and conditions of registering for this event No credits or refunds will be given for cancellations received within 10 days of the conference start date. Delegates may not “share” a pass between multiple attendees without prior authorization. No liability is Venue Information at a Glance Book your Accommodation assumed by American Conference Institute for changes in program Venue: The Westin Washington, D.C. City Center American Conference Institute is pleased to offer our delegates date, content, speakers or venue. American Conference Institute Address: 1400 M St NW, Washington, DC, 20005 a limited number of hotel rooms at a preferential rate. Please reserves the right to cancel any conference it deems necessary and Join the Conversation @ACI_Finance #EconomicSanctions International Trade Group Reservations: 1-800-937-8461 contact the hotel directly and mention the “ACI’s Economic will, in such event, make a full refund of any registration fee, but will not Online Reservations: http://tinyurl.com/EconSanction Sanctions” conference. be responsible for airfare, hotel or other costs incurred by registrants. April 27–28, 2016 | The Westin Washington DC City Center, Washington, DC EARN CLE/CPE CREDITS 9th Advanced Conference on ECONOMIC SANCTIONS ENFORCEMENT AND COMPLIANCE

American Conference Institute Attention Mailroom Incorrect Mailing Information 45 West 25th Street, 11th Floor If undeliverable to addressee, please forward to: Vice Presidents, If you would like us to change any of your details, New York, NY 10010 Directors and Counsel of OFAC Compliance, Economic please email [email protected] Sanctions, AML, Financial Crime, Regulatory Compliance, Export or fax the label on this brochure to 1-877-927-1563. Controls, International Trade Compliance, Government Relations

REGISTRATION CODE

 S10-897-897L16.S

April 27–28, 2016 | The Westin Washington DC City Center, Washington, DC 9th Advanced Conference on ECONOMIC SANCTIONS ENFORCEMENT AND COMPLIANCE Where industry, policy-makers and the best of the sanctions bar gather for up-to-date content, connections and compliance best practices

SENIOR GOVERNMENT SPEAKERS: Andrea Gacki Andrew Keller Douglas R. David Laufman Michael ondarski Rachel (Nagle) Jamie Rose Jeffrey R. Acting Deputy Deputy Assistant Hassebrock Chief, Chief, Regulated Dondarski Compliance Officer Braunger Director Secretary Director, Office Counterintelligence Industries Oversight Senior Advisor, Office of Foreign Chief, Licensing Office of Foreign Bureau of of Export and Export Control & Evaluation Compliance Assets Control Division Assets Control Economic Enforcement Section Office of Foreign Programs U.S. Department Office of Foreign U.S. Department and Business U.S. Department National Security Assets Control Sanctions of the Treasury Assets Control of the Treasury Affairs of Commerce Division U.S. Department Compliance and U.S. Department U.S. Department U.S. Department of of the Treasury Evaluation of the Treasury Office of Foreign of State Justice Assets Control U.S. Department of the Treasury