November 23 & 24, 2009 Metropolitan Hotel, Toronto

Transcription

1 November 2 & 24, 2009 Metropolitan Hotel, Toronto The Canadian Institute s Conference on CORPORATE & WHITE COLLAR CRIME Fraud Bribery Insider Trading Embezzlement Computer Crime Data Breaches Forgery Co-Chairs: Gerald (Gerry) L.R. Ranking Enzo Carlucci Cole & s Gain valuable, practical information from an outstanding faculty of lawyers, regulators, police officers, consultants and corporate investigators, including: ½ ½ Top tips for encouraging and protecting whistleblowers ½ ½ Best practices for defending the corporation ½ ½ Successful strategies for coordinating cases across multiple jurisdictions ½ ½ Learning how to prevent crime from occurring in corporations ½ ½ Understanding how to deal with corporate crime And much more! Sponsored by: PLUS! Gain additional value by attending the post-conference workshop on November 25, 2009 Conducting Internal Investigations into Corporate and White Collar Crime and Mastering Interviewing Techniques See inside for details Register Now CanadianInstitute.com/CorporateCrime

2 Corporate & White Collar Crime Can Cost Companies Millions of Dollars In today s economic climate, companies are more vulnerable than ever to crimes committed by their employees. Canada has traditionally been thought of as a haven for corporate and white collar criminals, as it is often difficult to enforce laws and successfully prosecute offenders. However, recent high profile cases suggest the tide may be turning. As these crimes are occurring constantly, it is crucial that corporations arm themselves with the tools to prevent crime before it happens or handle it in the event that it occurs. At The Canadian Institute s conference on Corporate & White Collar Crime, you will learn practical strategies for preventing, investigating and dealing with corporate and white collar crime. Lawyers, investigators, regulators, police officers and consultants will share their wide-ranging knowledge on matters of critical importance to you, including: regulatory system relating to corporate Understanding the and white collar crime Learning about the remedies available to corporations and how to recover assets computer crime case studies sentencing and appealing cases Best practices for preventing Successful strategies learned from Examining trends in And much more! PLUS! Add value to your attendance by participating in our post-conference workshop on Conducting Internal Investigations into Corporate and White Collar Crime and Mastering Interviewing Techniques. Don t delay! Spaces are limited. You can register by calling The Canadian Institute toll-free at , faxing the registration form to , or registering online at CorporateCrime. Who Should attend Private Practice Lawyers in: - Securities Law - Criminal Law - Corporate & Commercial Law From Corporations: - In-House Counsel - Compliance Officers and Managers - Directors of Corporate Security - Internal Auditors - Risk Managers - Fraud Investigators and Managers Regulatory Agencies Law Enforcement Government Counsel External Auditors Forensic Accountants and Investigators This program has been accredited by the Law Society of Upper Canada towards the professional development requirement for certification. Conference Workshop Criminal Law 10.5 hours 2.5 hours Corporate & Commercial Law 10.5 hours 2.5 hours Civil Litigation 10.5 hours 2.5 hours Distinguished Faculty Co-Chairs: Gerald (Gerry) L.R. Ranking Speakers: Superintendent Dean Buzza Director Integrated Market Enforcement Program HQ Royal Canadian Mounted Police Financial Crime Branch Alexandra Clark Senior Litigation Counsel, Enforcement Branch Ontario Securities Commission Garry Clement President & CEO Whitecollar Consultants & Investigative Group Laura F. Cooper Jacob S. Frenkel Chair, Securities Enforcement & White-Collar Crime Practice Group Shulman, Rogers, Gandal, Pordy & Ecker, P.A. (United States) Carol Hansell Senior Davies Ward Phillips & Vineberg LLP and Chair, Corporate Governance Committee American Bar Association David A. Hausman Robert Hubbard Counsel Ministry of the Attorney General Criminal Law Division Crown Law Office Enzo Carlucci Cole & s John Keefe, Goodmans LLP Richard Lee President Pendragon Consulting Services Jean Major Chief Executive Officer Alcohol and Gaming Commission of Ontario Kim R. Manchester Managing Director ManchesterCF Juan Morillo Clifford Chance (United States) Al Pace, Pace Law David Roebuck, Heenan Blaikie LLP R. Bruce Smith Gowling Lafleur Henderson LLP Robert W. Staley, Bennett Jones LLP Peter Vakof, Advisory Practice PricewaterhouseCoopers LLP Peter Wardle Wardle Daley Bernstein LLP Peter Warrack Senior Manager Intelligence RBC Corporate Investigation Services Seth Weinstein Greenspan Humphrey Lavine

3 Agenda Day 1 Monday, November 2, :00 Registration Opens Coffee Served 8:45 Opening Remarks from the Co-Chairs Gerald (Gerry) L.R. Ranking, Enzo Carlucci, Cole & s 9:00 Understanding the Current Regulatory System and Dealing with the Difficulties of Enforceability and Prosecution Superintendent Dean Buzza Director, Integrated Market Enforcement Program HQ Royal Canadian Mounted Police, Financial Crime Branch Alexandra Clark Senior Litigation Counsel, Enforcement Branch Ontario Securities Commission John Keefe, Goodmans LLP What is the current state of law in Canada regarding corporate and white collar crime? Understanding the challenges of successfully enforcing laws and prosecuting corporate and white collar crime cases - regulatory system - evidence - witnesses Comprehending the role of the corporations, regulators and law enforcement in exposing and prosecuting these cases - provincial securities commissions - RCMP - local police - private and public companies How can the current regulatory and criminal system be improved to result in more stringent laws and successful prosecutions? - what can we learn from the experiences in the United States and other countries? Does the recent Livent case indicate a change in successfully prosecuting these cases? 10:15 Networking Refreshment Break 10:0 Being Proactive: Preventing Corporate and White Collar Crime from Occurring in Companies Richard Lee President, Pendragon Consulting Services Kim R. Manchester Managing Director, ManchesterCF Understanding why these crimes occur and the types of employees that perpetrate them - examining recent trends, typologies and profiles Best practices for performing due diligence to ensure these crimes don t happen Encouraging employees to be proactive and report suspicious behavior of co-workers - ensuring your employees don t lodge false or malicious complaints Top tips for creating comprehensive internal policies to prevent and detect corporate crime - what should your internal policies contain? Training your staff to be aware of your internal policies concerning corporate and white collar crime Creating comprehensive risk management policies 11:0 Successful Strategies for Encouraging and Protecting Whistleblowers Robert W. Staley, Bennett Jones LLP Best practices for encouraging whistleblowers - how can you convince employees, investors and customers to engage in whistleblowing? Exploring the current state of whistleblower law in Canada - have recent laws concerning the protection of whistleblowers encouraged more to come forward? Creating comprehensive whistleblower protection policies - what should be included? - protecting whistleblowers from retaliation - disseminating this information to employees, investors and customers Examining how public companies are regulated concerning the protection of whistleblowers - what can private corporations learn from these regulations and should they institute the same types of policies? Dealing with spiteful and false accusations from whistleblowers: what options do corporations have in reprimanding these employees? 12:0 Networking Luncheon for Delegates and Speakers Keeping the Bad Guys Out: Lessons Learned from the Regulatory Efforts in the Ontario Gaming Industry Jean Major Chief Executive Officer, Alcohol and Gaming Commission of Ontario 1:45 A Guide to Dealing with Corporate and White Collar Crimes: First Steps and Beyond David A. Hausman, Learning the first steps to be taken when these crimes are suspected or uncovered - who should be notified? - who inside the company should be involved in dealing with these crimes? - what information should be communicated to the suspected or accused employee? Choosing between pursuing the matter internally and pressing criminal charges - which choice is in the benefit of the corporation? - how do the particular circumstances impact the choice? When should companies involve regulators, law enforcement and outside counsel? Top tips for liaising with the RCMP and local police - putting together a comprehensive package to present to law enforcement Best practices for collecting and preserving evidence - understanding issues concerning e-discovery Strategies for engaging in discoveries: who should represent the corporation at discoveries and what information should be presented?

4 :00 Computer Crimes and Electronic Evidence Peter Vakof, Advisory Practice, PricewaterhouseCoopers LLP Reviewing different types of computer crimes - internal and external Exploring some of the characteristics of computer crimes vs. traditional white collar crimes Understanding types and sources of electronic evidence - location - type - format - accessibility - forensic preservation Utilizing forensic technology to investigate computer crime - covert operation - forensic data analytics - evidence recovery - identifying hidden data What can companies do to protect themselves from computer crimes? - policy, technology and practice 4:00 Co-Chairs Closing Remarks Conference Adjourns Agenda Day 2 Tuesday, November 24, :15 Coffee Served 8:45 Opening Remarks from the Co-Chairs 9:00 Successfully Coordinating Corporate and White Collar Crime Cases Across Multiple Jurisdictions Jacob S. Frenkel Chair, Securities Enforcement & White-Collar Crime Practice Group Shulman, Rogers, Gandal, Pordy & Ecker, P.A. (United States) Peter Warrack Senior Manager Intelligence, RBC Corporate Investigation Services Juan Morillo, Clifford Chance (United States) Best practices for managing aspects of these cases in multiple jurisdictions: domestic and international - how will the involvement of multiple jurisdictions impact an internal or external investigation? Coordinating major and complex investigations across multiple jurisdictions: dealing with privacy, regulatory and other issues - creating an investigations plan and model Dealing with concurrent/parallel criminal and civil cases in other jurisdictions Top tips for coordinating with regulatory bodies and law enforcement in other provinces or countries Managing relationships with subsidiaries, outside counsel and outside investigators in other jurisdictions Understanding the role of Mutual Legal Assistance Treaties: what impact will they have on cases? - examining mutual legal assistance requests: what are your responsibilities when presented with a request and how do you request information from other jurisdictions? Collecting and preserving data in other jurisdictions 10:15 Networking Refreshment Break 10:0 Damage Control: Best Practices for Defending the Corporation in the Courts and in the Public Arena Laura F. Cooper, Carol Hansell Senior, Davies Ward Phillips & Vineberg LLP and Chair, Corporate Governance Committee American Bar Association Understanding how and why corporations are named as defendants Successful strategies to defend your company in criminal cases - navigating issues of vicarious liability Coordinating with outside counsel and counsel for the accused employee Protecting the company s reputation with the media and the public - learning what information to disseminate to the media - talking to reporters and responding to other public inquiries Dealing with shareholder and other stakeholder concerns and questions 11:0 Overcoming Critical Issues in Preventing, Prosecuting and Defending Corporate and White Collar Crimes Robert Hubbard Counsel, Ministry of the Attorney General, Criminal Law Division, Crown Law Office David Roebuck, Heenan Blaikie LLP The successful enforcement against, and prosecution of, white collar and corporate crimes in Canada has been increasingly difficult. Successful prosecutions have been minimal. However, these cases occur frequently, at different corporations around the country and with varying amounts of damages. Some companies and law enforcement officials have handled these cases well, while other cases have experienced severe setbacks. This session will take you through some examples of corporate and white collar crime and provide you with practical strategies for preventing these crimes in your corporation and successfully prosecuting or defending the accused and companies. Case Studies 12:0 Networking Luncheon for Delegates and Speakers 1:45 Successful Strategies for Pursuing Remedies and Recovering Assets R. Bruce Smith, Gowling Lafleur Henderson LLP Peter Wardle, Wardle Daley Bernstein LLP What remedies are open to companies after they have been a victim of corporate and white collar crimes? - pushing for criminal investigations - filing civil lawsuits - recovering lost or stolen assets

5 Doing a cost-benefit analysis: learning when pursuing remedies or recovering assets is in the best interest of the company - dealing with small crimes: is it worth it for the company to attempt to recover lost assets in these cases? Backing off after recovering assets: circumstances when companies may drop penalties or decide not to push for a criminal investigation after being compensated? 2:45 Exploring Trends in Sentencing and Appealing Corporate and White Collar Crime Cases Seth Weinstein, Greenspan Humphrey Lavine Examining sentences for white collar criminals - fines - prison terms - probation - restitution Are these trends in sentencing a good deterrent for criminal activity? Deciding when to appeal cases Best practices for conducting appeals Preserving evidence and documents throughout the appeal process Successful strategies for drafting appeal documents Working with appellate lawyers :45 Co-Chairs Closing Remarks Conference Concludes Fasken Martineau is a leading international business and litigation firm with over 650 lawyers. Our lawyers have expertise working with businesses and individuals in the prosecution and defence of all facets of corporate and white collar crime including workplace fraud, internal investigations and proceedings to recover damages or obtain injunctive relief. Since inception in 1975, Cole & s has grown to become one of Canada s leading independent financial advisory services firms. Our practice areas include business valuation, financial litigation support, corporate finance and forensic and investigative accounting. Our forensic team includes professionals from a broad range of disciplines chartered accountants, investigative forensic accountants, engineers, chartered financial analysts, chartered business valuators, and economists. Post-Conference Workshop Wednesday, November 25, :00 a.m. 12:00 p.m. Conducting Internal Investigations into Corporate and White Collar Crime and Mastering Interviewing Techniques Garry Clement President & CEO, Whitecollar Consultants & Investigative Group Jacob S. Frenkel Chair, Securities Enforcement & White-Collar Crime Practice Group Shulman, Rogers, Gandal, Pordy & Ecker, P.A. (United States) Al Pace, Pace Law Understanding who should be involved in internal investigations into corporate and white collar crime and their roles - internal investigatory unit - in-house counsel, human resources, management - outside investigators - outside counsel Dealing with issues of privilege and confidentiality Deciding when to begin an investigation Top tips for preparing for your investigation: setting goals and creating checklists Best practices for conducting an investigation Successful strategies for handling and preserving evidence Navigating around concurrent criminal, regulatory or civil cases: how will these affect internal investigations? Talking to witnesses during investigations: dealing with human resources issues and confidentiality Interviewing employees prior to being hired and during reviews: knowing what questions to ask to detect potential future criminal activity Understanding how to conduct interviews during internal investigations - planning your interview - preparing questions - choosing your communication style - interviewing witnesses Sponsorship & Exhibition Opportunities Maximize your organization s visibility in front of key decision-makers in your target market. For more information, contact Senior Business Development Executive Andrew Thompson at ext. 22, toll-free ext. 22 or by at a.thompson@canadianinstitute.com The Canadian Institute s Green Initiatives: Efforts We print all brochures with The Canadian Institute s Environmentally Tri-Certified (FSC, PEFC, SFI) Print We have reduced paper print and use by more than 25% over the past year We provide webcast options for individuals unable to travel to our events We encourage our delegates to recycle their conference badges What are we doing to reduce the environmental impact of hosting conferences across Canada? s The Canadian Institute, in partnership with Zerofootprint, is pleased to announce a program that will allow attendees to contribute to the reduction of carbon emissions associated with our events. For only $5 you can offset your contribution and support tire recycling projects in Canada. For more information visit We also work very closely with all conference venues to reduce, reuse and recycle The Canadian Institute, 2009

6 November 2 & 24, 2009 Metropolitan Hotel, Toronto The Canadian Institute s Conference on CORPORATE & WHITE COLLAR CRIME Fraud Bribery Insider Trading Embezzlement Computer Crime Data Breaches Forgery To expedite your registration, please mention your Priority Service Code 52L10.WEB REgistration form Attention Mailroom: If undeliverable to addressee, please forward to: In-House Counsel, Compliance Officer, Auditor, Securities Lawyer Top Reasons to Attend ' Ê : Learn how to create whistleblower policies Gain best practices to defend your company Understand how to coordinate multi-jurisdictional cases Network with experts and colleagues 5 EASY WAYS TO REGISTER * 8 Phone: or Fax: or CustomerService@CanadianInstitute.com Mail: The Canadian Institute 129 Bay Street Toronto, Ontario M5R 2C4 Online: CorporateCrime step step 2 step 1 conference code: 52L10-TOR YES! Please register the following delegate for Corporate and White Collar Crime Fee Per Delegate Register & Pay by October 2, 2009 Register & Pay after October 2, 2009 o Conference Only $ % GST = $ $ % GST = $ o Conference + Post-Conference Workshop $ % GST = $ $ % GST = $ Conference participants will receive a CD-ROM of the conference materials as part of their registration fee. o Please add a copy of the *Conference Proceedings (BINDER) to my order for $195 + $21.95 (S&H) + (applicable taxes) *Published and shipped within 4 weeks from conference o I cannot attend but would like information regarding the live webcast of this event. o I cannot attend but would like information regarding conference materials. o Yes, I would like to reduce the environmental impact of my attendance by contributing $5.00 to support tire recycling projects in Canada. contact details NAME ORGANIZATION ADDRESS POSITION CITY PROVINCE POSTAL CODE TELEPHONE TYPE OF BUSINEss APPROVING MANAGER Payment Please charge my o VISA o MasterCard o AMEX Number fax Expiry no. OF EMPLOYEES POSITION Signature o I have enclosed my cheque for $ including GST made payable to The Canadian Institute (GST No. R ) For group discounts please call o Wire Transfer ($CAD) Please quote the name of the attendee(s) and the conference code 52L10 as a reference. Beneficiary: The Canadian Institute Bank Name: HSBC / Account #: Address: 150 Bloor St, Suite M100, Toronto, ON Swift Code: HKBCCATT / Branch #: 1062 Administrative Details Venue: Metropolitan Hotel Address: 108 Chestnut Street, Toronto, ON TEL.: Hotel Reservations For information on hotel room availability and reservations, please contact Metropolitan Hotel at Program Materials Conference participants will receive a comprehensive set of conference materials prepared by the speakers, as an excellent reference source after the conference. If you have paid and are unable to attend, the conference materials will be shipped to you upon request only. Request must be received within 0 days upon conclusion of the conference. Payment Policy Payment must be received in full by the conference date to ensure admittance. All discounts will be applied to the Conference Only fee (excluding add-ons), cannot be combined with any other offer, and must be paid in full at time of order. Group discounts available to individuals employed by the same organization. Cancellation and Refund Policy You must notify us by at least 48 hrs in advance if you wish to send a substitute participant. Delegates may not share a pass between multiple attendees without prior authorization. If you are unable to find a substitute, please notify The Canadian Institute in writing no later than 10 days prior to the conference date and a credit voucher will be issued to you for the full amount paid. Credit Vouchers are valid for 1 year and are redeemable against any other conference by The Canadian Institute. If you prefer, you may request a refund of fees paid less a 25% service charge. No credits or refunds will be given for cancellations received after 10 days prior to the conference date. The Canadian Institute reserves the right to cancel any conference it deems necessary and will, in such event, make a full refund of any registration fee, but will not be responsible for airfare, hotel or other costs incurred by registrants. No liability is assumed by The Canadian Institute for changes in program date, content, speakers or venue. Incorrect Mailing Information To advise us of changes to your contact information, please send amendments by Fax to or us at Data@ CanadianInstitute.com or visit our website and click on update your customer information.