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September 23, 2011 (Fri)
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FCPA Series: Conducting Effective Due Diligence
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*James Gordon, Managing Director, Navigant Consulting Asia Ltd.
*John Macpherson, General Manager, HK and Director, Crisis and Security Consulting, Greater China, Control Risks
*Chris Yates, Senior Associate and Registered Foreign Lawyer, Clifford Chance
Moderator:
Kelly Austin, Partner, Hong Kong, Gibson, Dunn & Crutcher LLP
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Hosted by the Law Committee
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The second of three parts in the Law Committee’s FCPA series, this session will provide an overview of how to conduct effective due diligence in a variety of settings across Asia, and how to respond to any red flags that emerge. The experienced panelists will address the following points:
Regional Risks and Types of Due Diligence
Asia culture and business structures Nature and complexity of SOE’s Local laws, transparency and enforcement Different options for Due Diligence inquiries (desk top/site visits/forensic, etc.) The importance of business inquiries and human intelligence to confirm risks
Process and Protocol for Conducting Due Diligence Investigations
Differences in scope and approach for Pre and Post LOI Due Diligence Availability of databases and documents and the integrity of information How to structure business, reputational and corruption due diligence investigations Key steps to take to conduct effective anti-corruption inquiries Identifying, Verifying and Quantifying “Red Flags”
Red Flags – What Steps Should You Take
How do you evaluate information that is indicative of Red Flag concerns The use of Compliance Plans and Compliance Certificates to Address Red Flags Contractual Options (Reps & Warranties) for dealing with Red Flags Termination & Audit Options Conditional Offers based on Due Diligence Completion and resolution of Red Flag issues
About our panelists and moderator:
 James Gordon is a Managing Director in Navigant’s Strategic Business Consulting practice and the regional leader for Navigant in Asia and the mainland. He has more than 25 years of experience in conducting and managing complex high stakes litigation and investigations for a diverse group of clients in matters involving: responding to regulatory and governmental inquires; independent investigations for Special Committees; internal fraud; investigating allegations of corruption; business, financial and reputational due diligence; commercial litigation and managing large scale discovery projects. Mr. Gordon has managed over 500 investigations and has assisted clients in recovering more than $4 billion in damages and in defending against allegations of tens of billions of liabilities. He has substantial experience in assisting counsel and their clients, especially in Asia, in conducting Anti‐Corruption due diligence and investigations and responding to cross border litigation and discovery. Mr. Gordon has worked on some of the most high‐profile regulatory and enforcement investigations in US history, including: the Wall Street IPO Securities Litigation; Tyco; WorldCom; Parmalat; HealthSouth and Enron.
 John Macpherson is the director of Control Risks’ crisis and security consulting practice for the Greater China region and the general manager of Control Risks’ Hong Kong office. He has extensive experience working with clients around the Asia Pacific region providing strategic advice and developing risk management strategies across the spectrum of political, integrity and security risk. Prior to his current role, John worked for Control Risks in Australia Pacific as the manager for Global Services and as a senior consultant in Crisis and Security Consulting and Corporate Investigations. He has worked with clients in the financial, energy and resource, food and fast-moving consumer goods sectors as they develop market entry strategies and manage and solve complex problems including corruption, product contamination, extortion, illegal detention, government relations and issue-motivated groups. Before joining Control Risks, John was a senior advisor for the Australian Refugee and Migration Review Tribunals, undertaking investigations providing advice on complex migration and refugee issues. John has an honors degree in social science (international relations) from the University of NSW and qualifications in risk assessment.
 Chris Yates is a Senior Associate and Registered Foreign Lawyer in Clifford Chance’s Litigation and Dispute Resolution Group in Hong Kong and is admitted in England and Wales and Hong Kong. Chris’ practice and experience cover a broad range of corporate litigation including international arbitration, commercial litigation, internal investigations and regulatory matters. Chris has recently been advising a number of investment banks and private equity funds on ant-corruption matters and the implementation of compliance procedures required under the UK Bribery Act. This has been of particular concern within the region with regards to frontier investment by companies traditionally focused on the developed economies. His client base consists of investment banks, multi-national corporations and private equity firms making investments within the region. Chris therefore has practical experience in dealing with issues such as corruption, joint venture arrangements, sovereign risk, arbitration and cross-jurisdictional enforcement proceedings.
 Kelly Austin is a partner in Gibson Dunn’s Hong Kong office. Ms. Austin’s practice focuses on government investigations, regulatory compliance and international disputes. She has extensive expertise in corporate internal investigations, including those involving the FCPA, and in creating and implementing effective compliance programs. Prior to her position with Gibson, Dunn & Crutcher, Ms. Austin served as the Compliance and Litigation Counsel for General Electric in Asia. In that role, she coordinated litigation, alternative dispute resolution proceedings, government and internal investigations, and compliance matters for the GE businesses throughout the region.
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| Time: |
12:00pm-2:00pm (sandwiches & beverages included)
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| Fee(s): |
Member Fee: HK$300 [ Login Now | Enjoy special member rates ]
Non Member Fee: HK$390
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| Venue: |
AmCham Office
1904 Bank of America Tower
12 Harcourt Road, Central
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| Inquiries: |
kalau@amcham.org.hk (please use the following subject line for your email: "Date of event / Speaker name(s) or event title")
Fax (852) 2810 1289 |
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| Media: |
MEDIA WELCOME 
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