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Anti-Corruption Compliance and Enforcement – Minimizing Risk
LIVE Webcast
John S. (Jay) Darden, Esq.
Assistant Chief, Fraud Section, Criminal Division
U.S. Department of Justice
John S. (Jay) Darden serves as an Assistant Chief in the Fraud Section of the Criminal Division of the Department of Justice in Washington, DC. Darden specializes in the investigation and prosecution of criminal health care fraud cases and violations of the Foreign Corrupt Practices Act. Darden also has experience investigating and prosecuting insurance fraud, bank fraud, mail and wire fraud, and money laundering. Prior to joining the Fraud Section, he was a member of the Business Litigation Team at King & Spalding LLP in Atlanta, Georgia. Darden served as the lead prosecutor on the recent FCPA disposition involving Daimler AG and three of its subsidiaries. For his work combating health care fraud, Darden was awarded the U.S. Attorney General’s Award for Distinguished Service in 2008. Darden is a graduate of the University of Virginia Law School and Washington and Lee University. While in law school, Darden was Managing Editor of the Virginia Law Review. Darden is a native of Atlanta, Georgia.
Charles F. Smith
Partner, Corporate and Commercial Litigation, Government Enforcement Matters
Skadden, Arps, Slate, Meagher & Flom LLP
Charles F. Smith has represented a broad array of U.S. and international corporations in complex commercial litigation and regulatory investigations. He has tried many cases in federal and state courts, a number of which have involved complex financial issues and extensive expert testimony. Mr. Smith was trial counsel for Deutsche Bank in its successful efforts to obtain dismissal of the Chapter 11 case filed in Texas by Yukos Oil Company, a Russian oil company. He also has tried cases for, among others, The Middleby Corporation, Kmart Corporation and Service Merchandise.
Mr. Smith also has represented clients in a number of regulatory and internal investigation matters before the SEC, the Department of Justice, FINRA and international and state regulators.
He has represented financial institutions, including Ameriprise Financial and American Equity, in regulatory investigations before the SEC and FINRA. Recently, Mr. Smith successfully represented a broker-dealer client in a three-year FINRA investigation into variable universal life insurance sales practices, which was resolved without any enforcement action. Mr. Smith also represented Digital River, Inc. in an SEC investigation related to options backdating issues. Following the investigation, the SEC decided not to take enforcement action against the company or its executives. In addition, he has represented U.S. and multinational clients, including Daimler AG and Ball Corporation, before the SEC and the Department of Justice in investigations under the Foreign Corrupt Practices Act. He also has represented a major financial exchange and other clients in internal investigations, transaction due diligence and training on antibribery compliance matters.
Mr. Smith heads the Chicago office pro bono program. He has handled many pro bono matters including a death penalty case and a number of Seventh Circuit appeals. Mr. Smith is a director of The Chicago Bar Foundation, Appleseed, a national public interest legal organization and Chicago Appleseed. He is vice chair of the board of trustees of Knox College.
Education: J.D., University of Chicago Law School, 1987 (cum laude; Comment Editor, University of Chicago Law Review; Order of the Coif); B.A., Knox College, 1984 (cum laude)
Michael Schwartz
Principal
KPMG LLP
Michael B. Schwartz is a Principal in KPMG LLP’s Forensic Advisory Services practice in Houston, Texas. He provides a broad array of professional services to corporate and public sector clients by assisting them in preventing, detecting and investigating fraud, waste, abuse and other misconduct. Mr. Schwartz is the forensic coordinating partner nationally for the public sector and the national and global coordinator for Foreign Corrupt Practices Act (FCPA)-related forensic services. Previously, he was the national forensic coordinator of KPMG’s computer forensic practice. Mr. Schwartz has over twenty years of trial and other legal experience as an Assistant United States Attorney, in law firms and corporate legal departments prior to joining KPMG, and is a frequent speaker in Houston and nationally on FCPA, fraud, misconduct and compliance-related topics.
Daniel S Dorsky
Senior Compliance Counsel for FCPA
Tyco International
Dan Dorsky is Tyco’s Senior Compliance Counsel – FCPA. In this capacity, Dan plays a leading role in driving Tyco’s worldwide compliance with the Foreign Corrupt Practices Act. Towards this end, he leads and oversees investigations, assists in the resolution of compliance matters, assists in revising policies, and provides compliance training. He also assists with other compliance issues as they arise. He joined Tyco from Home Box Office, Inc., where he had been Compliance Counsel.
Dan began his law career as a litigator. After a federal clerkship in New York, Dan worked with the ACLU to protect abused and neglected children in foster care. He then served in the United States Attorney’s Office as a federal prosecutor, in both the Southern and Eastern Districts of New York, where he prosecuted a variety of criminal cases. He led significant prosecutions against organized crime and, later, white-collar crime. Some of his more significant accomplishments include the successful prosecution of the bosses of two of the five crime families operating in New York City, as well as the successful resolution of an investigation into a large national retailer, which resulted in an $18,000,000 recovery of back taxes.
Dan graduated from Haverford College with a degree in philosophy and earned his law degree from New York University School of Law.
Anti-Corruption Compliance and Enforcement – Minimizing Risk LIVE Webcast
Speaker Firms and Agency:
U.S. Department of Justice
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