PANEL 1: THE GLOBAL REGULATORY ENVIRONMENT: CORPORATES UNDER PRESSURE

European Union and Switzerland Sign Cooperation Agreement in Competition Matters submitted by Holger Dieckmann, Member of International Relations Unit, DG Competition, European Commission.

FINMA SQA II Market Overview Report on Insurer Governance Risk Management Internal Controls submitted by Gabe Shawn Varges, Head of Governance, FINMA.

Risk Orientation in Regulation and Supervision, Journal of Regulation & Risk North Asia submitted by Gabe Shawn Varges, Head of Governance, FINMA.

Governing Renumeration, Gabe Shawn Varges, Head of Governance, FINMA.

PANEL 2:  CULTURE OF COMPLIANCE AND COOPERATION

Federal Reserve Bank of New York Staff Reports submitted by Grace Y. Sone, Member of the Secretariat, Financial Stability Board, Bank for International Settlements.

www.financialstabilityboard.org/publications/r_130212.htm submitted by Grace Y. Sone, Member of the Secretariat, Financial Stability Board, Bank for International Settlements.

“Thematic Review on Risk Governance, Key Findings & Recommendations” Presentation submitted by Grace Y. Sone, Member of the Secretariat, Financial Stability Board, Bank for International Settlements.

Novartis Code of Conduct submitted by Peter Kornicker, Chief Compliance Officer, Novartis International AG.


PANEL 3:  GLOBAL REGULATORY ENFORCEMENT, MULTI-JURISDICTIONAL INVESTIGATIONS, ECONOMIC SANCTIONS AND PENALTIES

Principles of Federal Prosecution of Business Organizations submitted by Richard Zabel, Deputy United States Attorney – Southern District of New York, U.S. Department of Justice.

Complaint (US v  Deutsche Bank AG and Mortgageit Inc) submitted by Richard Zabel, Deputy United States Attorney – Southern District of New York, U.S. Department of Justice.

Indictment (US v  Gupta) submitted by Richard Zabel, Deputy United States Attorney – Southern District of New York, U.S. Department of Justice.

Indictment (US v  Wegelin  Co  Berlinka Frei Keller) submitted by Richard Zabel, Deputy United States Attorney – Southern District of New York, U.S. Department of Justice.

OFAC's Economic Sanctions Enforcement Guidelines submitted by Charles M. Steele, Associate Director for Enforcement, Office of Foreign Assets Control, U.S. Department of the Treasury.

The enforcement page from www.treasury.govhas Guidelines that govern how we enforce cases - i.e., how we analyze cases and determine whether or not we should bring an enforcement action and, if so, what the amount of the penalty should be. The enforcement page has a number of helpful items and resources. www.treasury.gov/resource-center/sanctions/CivPen/Pages/civpen-index2.aspx submitted by Charles M. Steele, Associate Director for Enforcement, Office of Foreign Assets Control U.S. Department of the Treasury.