2020 South America Regional Compliance & Ethics Conference

1. Building Effective Relationships with Regulators

   2020 South America Regional Compliance & Ethics Conference  | Presenter(s): Claudia Andia  | August 28, 2020 

   • 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 and ethics program proving compliance for the regulator

2. Compliance in Times of Quarantine

   2020 South America Regional Compliance & Ethics Conference  | Presenter(s): Sebastian Segovia  | August 28, 2020 

   • 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 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

3. Conversations with a Prosecutor about Perspectives on Compliance and Corporate Wrongdoing

   2020 South America Regional Compliance & Ethics Conference  | Presenter(s): Eduardo El Hage, Shin Jae Kim  | August 28, 2020 

   • 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

4. Effective Third Party Due Diligence and Monitoring (2020 South America Regional Compliance & Ethics Conference)

   2020 South America Regional Compliance & Ethics Conference  | Presenter(s): Melina Llodra, Mariana Idrogo  | August 28, 2020 

   • 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

5. Test the Effectiveness of Your Compliance Program: Spot-Checks

   2020 South America Regional Compliance & Ethics Conference  | Presenter(s): Miguel Angel Enriquez  | August 28, 2020 

   • Diving through 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

6. 10 Bias Traps That the Investigator or Auditor Should Avoid

   2020 South America Regional Compliance & Ethics Conference  | Presenter(s): Jefferson Kiyohara, Antonio C. Hencsey  | August 28, 2020 

   • 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