Overview

Risk Identification

Duties of Directors and Other Officers

Reporting and Record Keeping

Guidelines and Policies

Prevention and Monitoring

Investigation and Enforcement

Awareness of and Training in Anti-bribery and Corruption Policy

Overview

Risk Identification

Duties of Directors and Other Officers

Reporting and Record Keeping

Guidelines and Policies

Prevention and Monitoring

Investigation and Enforcement

Awareness of and Training in Anti-bribery and Corruption Policy

Prevention of Bribery Ordinance (Cap 201)

Independent Commission Against Corruption Ordinance (Cap 204)

Banking Ordinance (Cap 155)

Theft Ordinance (Cap 210)

and 10 other compliance sources

United Nations

Independent Commissioner Against Corruption

Office of the Privacy Commissioner for Personal Data

Hong Kong Stock Exchange

Hong Kong Monetary Authority

Inland Revenue Department

Hong Kong Police Force

Securities and Futures Commission

CARMEN TANG

Partner | Hugill & Ip Solicitors

PRACTICE AREAS: Data Privacy, Dispute Resolution

Carmen is a partner who heads Hugill & Ip’s Data Privacy Practice and Dispute Resolution Team. She has been practising law in Hong Kong for over 15 years. In 2010 Carmen was appointed as a Legal Counsel of the Office for the Privacy Commissioner for Personal Data, HKSAR. She then expanded her legal expertise further in 2012 when she became Investigation Counsel for the Law Society of Hong Kong, leading probes into alleged professional misconduct cases for the Compliance Department. Carmen’s practice touches on all aspects of data protection compliance. She also represents clients in complex commercial court proceedings and advises on legal malpractice and professional ethics issues. Carmen is a member of the International Association of Privacy Professionals. She has been credited as Certified Information Privacy Professional / Asia and Europe.

Overview

Risk Identification

Duties of Directors and Other Officers

Guidelines and Policies

Awareness of and Training in Anti-bribery and Corruption Policy

Prevention and Monitoring

Reporting and Record Keeping

Investigation and Enforcement

The Foreign Influence Transparency Scheme

Corporations Act 2001 (Cth)

Criminal Code Act 1995 (Cth)

Criminal Code 2002 (ACT)

Crimes Act 1900 (NSW)

Criminal Code Act 1983 (NT)

Criminal Code Act 1899 (Qld)

Criminal Law Consolidation Act 1935 (SA)

Criminal Code Act 1924 (Tas)

Crimes Act 1958 (Vic)

Criminal Code Act Compilation Act 1913 (WA)

ASX Listing Rules

Bribery Act 2010 (UK)

Foreign Corrupt Practices Act 1977 (US)

Securities Exchange Act 1934 (US)

includes over 300 compliance sources

Department of Justice (WA, Australia)

Department of Justice (NSW, Australia)

Independent Commission Against Corruption (NSW, Australia)

Justice and Community Safety Directorate (ACT, Australia)

Department of Justice (TAS, Australia)

Attorney General's Department (SA, Australia)

Department of Justice and Attorney-General (QLD, Australia)

Department of the Attorney-General and Justice (NT, Australia)

Attorney General's Department (Australia)

Australian Securities and Investments Commission (Australia)

Australian Transaction Reports and Analysis Centre (Australia)

and 25 other regulators

ROBIN LONERGAN

Special Counsel | Mills Oakley

ROBIN has more than 35 years' experience acting for Australian and international clients in mergers and acquisitions and corporate advisory matters. He has acted for many international clients setting up operations in Australia, advising about the Australian operations and assisting with the expansion of the business in Australia and in using Australia as a base for expansion into Asia. His clients include businesses in the financial services, manufacturing, tourism, aged care and resources industries, as well as acting for professional services operations.

Robin has been nominated as a ‘Best Lawyer’ in Australia in the areas of Construction/ Infrastructure Law, Commercial Law and Corporate Law.

Overview

Risk Identification

Internal Controls System, Guidelines and Policies

Duty of Directors, Officers and other Individuals in Charge of the Affairs of an Organisation

Investigation and Enforcement

Prevention and Monitoring

Reporting and Record Keeping

Awareness of and Training in Anti-bribery and Corruption Policies

Act on Punishment of Public Officials Profiting by Exerting Influence (Act No. 130 of 2009)

Anti-Corruption Guidance (2014)

Anti-Corruption Policy Guide (2016)

Civil Code (Act No. 89 of 1896)

Code of Criminal Procedure (Act No. 131 of 1948)

and 23 other compliance sources

Ministry of Economy, Trade and Industry

Tokyo Stock Exchange

Japan International Cooperation Agency

and 3 other regulators

DAISUKE YUKI

Partner Attorney | Nozomi Sogo Attorneys at Law

PRACTICE AREAS: Compliance, Investigations, White Collar Criminal Defense, Intellectual Property/Entertainment/Game/Sports, Food & Beverage, Cross-border Transactions between Japan, US and Korea

DAISUKE “Ike” YUKI is a partner of Nozomi Sogo. Ike graduated from University of Tokyo Faculty of Law in 1996 as well as University of Southern California Gould School of Law in 2010. Ike got admitted in Japan in 1998 and in New York in 2012. Ike was seconded to the central bank of Japan from 2000 to 2002, Korean law firms from 2008 to 2009, and US law firms from 2011 to 2013.

Ike is a member of Japan Federation of Bar Associations and Daini Tokyo Bar Association (chair of its International Committee in 2017). Ike is also a director of Association of Certified Fraud Examiners Japan (ACFE Japan) and a Certified Fraud Examiner (CFE). Ike has been the Asia Representative of IBA’s Anti-Corruption Committee since 2019.

Ike regularly handle matters in the area of the FCPA defense for Japanese clients as well as advise both Japanese and international clients with regard to anti-corruption compliance programs and whistleblowers’ issues.

Anti-bribery and Corruption

Risk Identification

Duties of Directors

Guidelines and Policies

Bribery and Corruption in Relation to Public Officials

Private Sector Bribery and Corruption

Record-keeping and Financial Reporting

Anti-bribery and Corruption Education and Training

Maintaining Central Registers

Investigation and Enforcement

Application of Anti-bribery and Corruption Laws of Foreign Jurisdictions

Crimes Act 1961 (NZ)

Secret Commissions Act 1910 (NZ)

Serious Fraud Office Act 1990 (NZ)

Companies Act 1993 (NZ)

Electoral Act 1993 (NZ)

Mutual Assistance in Criminal Matters Act 1992 (NZ)

Protected Disclosures Act 2000 (NZ)

Financial Markets Conduct Act 2013 (NZ)

Financial Reporting Act 2013 (NZ)

Contract and Commercial Law Act 2017 (NZ)

and 15 other compliance sources

Financial Markets Authority

Electoral Commission

State Services Commission

and 11 other regulators

TANIA GOATLEY

Partner | Bell Gully

PRACTICE AREAS: Media, Consumer law, Intellectual property, Litigation and dispute resolution, Privacy and data protection, Information, Communications and Technology, Food, Beverage and Hospitality, Cybersecurity, Anti-Bribery and Corruption

Tania advises on all aspects of advertising promotions, including impacts of the Gambling Act, Fair Trading Act and Privacy Act. She is also experienced in advising on food and wine labelling issues, involving advice on the Food Standards Australia New Zealand (FSANZ) Code, the Food Act, the Wine Act and related regulations and industry codes.

She has a strong media law background, advising on defamation claims, appearing in Court on name suppression issues, and providing media law training to journalists. She advises on all aspects of intellectual property law, including copyright, passing off and trade mark infringement disputes and litigation.

In addition to her particular areas of expertise, Tania provides general advice on commercial and contractual disputes and litigation with successful outcomes for her clients.

Tania is recommended for intellectual property by The Legal 500 Asia Pacific 2020, which notes her specialties as media, advertising, privacy law and IP matters. Tania is also recommended as a recognised practitioner by Chambers Asia Pacific 2020 for Technology, Media and Telecoms.

Overview

Code of conduct and policies

Risk Identification

Prevention and Monitoring

Reporting and Record Keeping

Investigation and Enforcement

Duties of Directors and Management

Prevention of Corruption Act (PCA) (Cap 241, 1993 Rev Ed)

Corruption, Drug Trafficking and other Serious Offences (Confiscation of Benefits) Act, Chapter 65A (CDSA)

Political Donations Act (Chapter 236)

and 20 other compliance sources

Corrupt Practices Investigation Bureau

Monetary Authority of Singapore

Accounting and Corporate Regulatory Authority of Singapore

and 6 other regulators

PHILIP FONG

Managing Partner | Eversheds Harry Elias

PRACTICE AREAS: Litigation and Dispute Management, Fraud and Financial Crime

Philip is the Managing Partner of Eversheds Harry Elias and heads the Litigation Practice Group in Singapore.

Philip’s extensive experience in civil litigation includes disputes in or over contracts, shares, companies, property, professional negligence, trusts and wills. He is consistently identified as a leading business crime lawyer in directories such as Who’s Who Legal, having represented many clients in securities and corruption cases.

Philip’s career started with the Commercial Affairs Department, the specialist enforcement agency which prosecutes white collar crimes. Philip was the first head of the agency’s Anti-Money Laundering unit.

Philip’s advice is constantly sought on insider trading and market manipulation, regulatory compliance (directors’ duties and governance) and medical malpractice. Philip has acted as prosecuting counsel for professional bodies (such as the Singapore Medical Council) against doctors and accountants. His high-profile cases in the Supreme Court include judicial reviews and challenges to collective sale agreements of condominiums. Apart from court work, Philip handles arbitrations seated in Singapore, Hong Kong and Malaysia.

Philip has been highly recommended as a star name and leading lawyer by independent publications such as The Asia Pacific Legal 500, Who’s Who Legal, Asian Business Legal, The Straits Times, The Guide to Asia-Pacific’s Leading Law Firms, TODAY Paper, The Business Times and Channel News Asia.

Philip speaks regularly at business forums and seminars on securities laws, corruption, enforcement actions of government agencies, issues relating to directors’ duties, white collar crimes and legal issues in medical practice.

Overview

Liability for Bribery

Implementing Adequate Procedures to Prevent Bribery

Specific Bribery Risks: Policies & Procedures

Managing Investigations & Enforcement

Bribery Act 2010 (UK)

Fraud Act (UK)

Serious Crime Act 2007 (UK)

Proceeds of Crime Act 2002 (UK)

and 14 other compliance sources

Serious Fraud Office

Crown Prosecution Service

Crown Office & Procurator Fiscal Service (Scotland)

Director of Public Prosecutions for Northern Ireland

National Crime Agency

Financial Conduct Authority

Prudential Regulatory Authority

Ministry of Justice

MARTIN POLAINE

Barrister

PRACTICE AREAS: Anti-Corruption, AML/Financial Regulatory, Dispute Resolution, Public International Law, International/Transactional Criminal Law

Martin Polaine is a barrister (England & Wales) of over 30 years’ experience, a member of the Chartered Institute of Arbitrators (MCIArb) and a Fellow of the Asian Institute of Alternative Dispute Resolution (FAIADR).

He has advised states, corporates and individuals in Africa, Asia and Europe on anti-corruption, AML/financial regulatory, dispute resolution, public international law and international/transnational criminal law. He has extensive experience in civil law, as well as common law, states and his practice includes international arbitration (both commercial and state-investor), international trade and sale of goods, treaty drafting, international human rights law and international co-operation. He also has a complementary background as a former senior prosecutor.

Martin has had conduct of numerous complex and sensitive cases, with a particular focus on those with an international element, and serves as an expert for international organisations (including Commonwealth Secretariat, Council of Europe, EU, UN agencies and the OECD).

He has extensive experience in advising at ministerial and senior official level. His wide-ranging representational roles have included treaty negotiation and serving as the UK’s legal representative on the OECD Working Group on Bribery.

In addition to his regulated legal practice, he is also a director of a legal consultancy that provides specialist advice on crisis preparedness & management and corporate procedure/governance stress-testing.

Martin is a published author of legal texts (including ‘Corruption & Misuse of Public Office’ (Oxford University Press, 2006) and ‘Counter-Terrorism Law & Practice: An International Handbook’ (Oxford University Press, 2009)) and many conference and journal papers. He also teaches law at postgraduate level and is the author of (and tutor for) the ‘International Trade & Investment Law’ component of the LLM course provided by the Australian College of Law.

ARVINDER SAMBEI

Barrister

PRACTICE AREAS: Anti-Corruption, AML/Financial Regulatory, Public International Law, International/Transactional Criminal Law

Arvinder Sambei is a practising barrister of over 30 years’ experience and one of the directors of London-based Amicus Legal Consultants.

She has previously held the posts of Head of Criminal Law at the Commonwealth Secretariat, Legal Adviser to the Permanent Joint Headquarters (PJHQ) at the UK’s Ministry of Defence and Principal/Senior Crown Prosecutor (Crown Prosecution Service of England & Wales). As a prosecutor, she had conduct of many of the UK’s high profile extradition, counter-terrorism, transnational and war crimes cases. In addition, her responsibilities included liaison with other jurisdictions on treaty negotiations, extradition and mutual legal assistance requests.

As the Head of the Criminal Law Section at the Commonwealth Secretariat, she was responsible for ensuring design and delivery of programmes of assistance and training for member states to enhance criminal law systems.

Arvinder acts as an expert for many international and regional organisations (including Council of Europe, EU, IMF, and UN agencies) on anti-corruption & governance, AML/CFT, sanctions, international co-operation, asset recovery, economic crimes, corporate criminal liability, maritime crime and security, human rights and public international law. She has also been engaged in treaty and legislative drafting, state and project evaluation, and capacity building/technical assistance programmes.

She is a published author of legal texts (with Oxford University Press and others), an experienced trainer and has written articles, practitioner manuals and technical papers published by, inter alia, the Council of Europe, Commonwealth Secretariat, OECD, OSCE and UNODC on her areas of expertise.

Overview

Bribery and Corruption in Relation to Foreign Public Officials

Application of Anti-bribery and Corruption Laws of Foreign Jurisdictions

Bribery and Corruption in Relation to US Public Officials

Commercial Bribery and Corruption

Bribery and Corruption in Relation to Financial Institutions and Examiners

Risk Identification and Management

Duties of Directors and Senior Officers

Guidelines and Policies

Anti-bribery and Corruption Education and Training

Maintaining Central Registers of Information

Financial Reporting and Record-keeping

Investigation and Enforcement

Foreign Corrupt Practices Act

18 USC s 2

18 USC s201

18 USC s208

and 147 other compliance sources

Department of Justice

Securities & Exchange Commission

Federal Bureau of Investigation – International Corruption Unit

Department of Homeland Security

Internal Revenue Service – Criminal Investigation

and 4 other regulators

SHARIE BROWN

Partner | Troutman Sanders

PRACTICE AREAS: White Collar and Government Investigations, Due Diligence and Corporate Compliance, Foreign Corrupt Practices Act (FCPA), OFAC Trade Sanctions

Corporate officers, directors and audit committees trust Sharie Brown to help them constructively resolve their internal and government investigations and regulatory matters regarding the FCPA, OFAC sanctions, anti-money laundering and trade controls involving the DOJ, SEC, and U.S. Commerce and Treasury Departments.

Sharie is a recognized leader in ethics, compliance, risk assessments, and investigations involving financial fraud, corruption, civil forfeiture actions, trade and export controls, and OFAC sanctions. Sharie is regarded as a trusted advisor and skilled investigator in financial fraud matters, FCPA anti-bribery and whistleblower investigations, M & A compliance due diligence, risk assessments, and compliance program training, as well as OFAC sanctions, U.S. anti-boycott law, and anti-money laundering requirements. Her projects have taken her around the world.

Sharie chaired the white collar defense and corporate compliance practice groups at two large international law firms. Previously, she was Mobil Oil Corporation’s ethics and compliance officer. Sharie also served as a federal prosecutor in the Eastern District of Pennsylvania, where she handled tax, bank fraud and securities fraud cases, and was commended by the FBI Director.

Sharie’s leadership and frequent media contributions regarding financial fraud and corruption make her an international thought leader in the field. Although based in Washington, DC, she speaks on FCPA, anti-corruption, anti-money laundering, compliance, OFAC sanctions and trade controls on international panels. She is co-chair of the DC Bar’s 2020 Community of the Year, the International Law Community.