GRC performance attributes

Keynote
Enabling benchmarking & performance through a standards based approach to Governance, Risk & Compliance

Justin Dundas-Smith, Chair, Singapore Chapter, OPEN COMPLIANCE & ETHICS GROUP (OCEG)

Case study
Beyond box-ticking & compliance to actual performance & instilling a culture of good corporate governance in the company

• Creating a road map in ethics and compliance:  vision, mission, core values and strategy
• Gaining support from senior management/setting the ‘tone from the top’
• The 3Es in  ethics and  corporate governance:  engineering; education;  and enforcement
• The 3Cs in ethics and corporate governance:  compliance, competence and culture
• Integrating corporate governance with corporate social responsibility
• Encouraging buy-in from internal and external stakeholders and extending it to third-party business partners

Elmer D. Nitura, Head, Corporate Governance Office, SMART COMMUNICATIONS

Compliance and governance for listed companies

Case study
Sarbanes-Oxley

• Minimising SOX regulatory burden and systematic paper chases
• Meeting financial reporting standards for SOX Section 404
  Addressing factors in a practical way which affect your SOX compliance: 
  - internal control programmes
  - human factors
  - accountability
  - communication
  - reporting and monitoring

Scarlet Li, SOX PROGRAM MANAGER, ING ASIA/PACIFIC

Morning tea

Fraud risk & controls

Case study
Internal fraud mitigation

• Identifying opportunistic fraud risk drivers
• Implementing strong investigative techniques
• Proactively assessing and measuring internal threats
• Maintaining control of supply chain, partner, vendor and procurement related fraud
• Encouraging fraud risk awareness and culture throughout your organisation

Kris Lee, Manager Fraud Investigative Services Asia Pacific & India, DOW CHEMICAL PACIFIC

Case study
Maximising results of investigations

• Measuring effectiveness and ROI of investigative processes
• Scoping investigations effectively
• Investigating and overcoming more evolved and sophisticated methods of deception
• Implementing strong risk intelligence practices which assist in investigations

Joe Nekic, Senior Regional Manager, Partner & Asset Protection Asia Pacific/ Greater China, STARBUCKS

Anti corruption

Tackling bribery & corruption

• Identifying key risks and indicators
• Embedding  FCPA anti-bribery principals and practices across the enterprise
• Monitoring staff who deal with Governments
• Tracking and maintaining transparency regarding employee expenditures
• Analysing commissions and other payments
• Integrating anti corruption, fraud and AML programmes

Scott Lane, CEO, THE RED FLAG GROUP

Case study
Developing workable whistleblowing programmes

• Implementing and promoting a successful reporting hotline
• Preventing hostility and alienation by whistleblowers
• Encouraging staff to report ethical and legal violations
• Overcoming barriers to successful programmes: trust, fear of retaliation, hostility and alienation of whistleblowers
• Managing cultural considerations in different countries

Kym Fortescue, Chief Compliance Officer - Group Compliance, AMERICAN INTERNATIONAL ASSURANCE COMPANY
Ricky Short, APAC Head of Compliance, ALCATEL-LUCENT

Business resilience

3:30

Case study
Effective business continuity planning

• Maintaining strong business continuity preparedness for evolving or emerging risks
• Gaining demonstrated and meaningful senior management and board sponsorship
• Evaluating and prioritising business interruption threats in five key areas:
  - the workplace
  - systems
  - key personnel
  - interdependency
  - records and data

Information risk & governance

Case study
Achieving information security governance

• Protecting integrity and confidentiality of information and data throughout the information lifecycle
• Minimising information security risks through robust policies and strategies
• Responding to data breaches or loss
• Managing privacy issues, from data capture to usage

Adrian Sit, Manager - Group Information Security, Group Management Services, HUTCHISON WHAMPOA