CPG’s 9th Making Compliance Work: Challenges and Innovations | German-Southeast Asian Center of Excellence for Public Policy and Good Governance (CPG)

Henning Glaser, Director, German-Southeast Asian Center of Excellence for Public Policy and Good Governance (CPG), Faculty of Law, Thammasat University

Keynote speech: Colonel Grant Newsham, former Executive Director, Corporate Security, Morgan Stanley (Japan) Securities Ltd, Japan “Compliance and ‘CPR’ Risk: Often Overlooked …. Often Fatal”

Informal get-together at cocktail reception with cultural program

Saturday, 13 October 2018

“Making Compliance Work: Challenges and Innovations” – An introduction by Henning Glaser, Director, German-Southeast Asian Center of Excellence for Public Policy and Good Governance (CPG), Faculty of Law, Thammasat University

Minute of Silence in honor of the late King Bhumibol Adulyadej

Session 1: Global standards vs local realities

“Compliance with money laundering and financing of terrorism laws: Perspectives on risk, conservative compliance and Regtech” by Prof. Dr. Louis de Koker, La Trobe Law School, La Trobe University, Melbourne

“A social scientific perspective of compliance: Exploring the critical role of self-control” byAssist. Prof. Sam Kai Chi Yam, Department of Management & Organisation, NUS Business School, National University of Singapore

Q & A

Moderation: Jan Kliem, CPG

Panel discussion:

Supreeya Mokaramanee, Chief Financial Officer, Siemens Thailand

Kobkiat Padungkittimal, Head of Compliance, Deutsche Bank, Bangkok

Matthias Jürgens, Chief Information Security Officer/Chief Technology Officer, B. Grimm

Dr. Alex Brezing, DAAD Lecturer, Thai-German Graduate School of Engineering, King Mongkut’s University of Technology North Bangkok

Moderation: Henning Glaser, CPG

Session 2: Pushing compliance forward: Advocates and agenda setters

“Challenges and Benefits of Compliance Standardization in the Multicultural Globalized Economy” by Prof. Dr. Bartosz Makowicz, Director, Viadrina Compliance Center, European University Viadrina Frankfurt (Oder)

“Compliance regimes, the idea of responsibility and sustainable development in the global production networks – Insights from the Bangladeshi apparel industry” by Dr. Fahreen Alamgir, Lecturer, Department of Management, Monash University

Q & A

Moderation: Slavica Banić, Informator, Croatia

Input statements and panel discussion:

Sudhagaran Stanley, Regional Coordinator, The Centre to Combat Corruption and Cronyism (C4), Malaysia

Buntoon Wongseelashote, Vice Chairman, Committee on Foreign Trade Negotiations, Thai Chamber of Commerce and Board of Trade of Thailand

Lalola Easter Kaban, Indonesia Corruption Watch, Indonesia

Moderation: Dr. Lasse Schuldt, CPG

Sunday, 14 October 2018

Session 3: Antecedents and interdisciplinary reflections

“Collective Compliance with Soft Regulation? – Creative Paths to Consensus” by Prof. Dr. Ashly Pinnington, Dean of Research, Head of PhD in Business Management Programme, The British University in Dubai

Q & A

Moderation: Dr. Nilubol Lertnuwat, Faculty of Law, Thammasat University

Presentations:

Maj. Gen. (ret.) Ashok Hukku, former Chief Military Intelligence Advisor in the Cabinet Secretariat at New Delhi, India

Colonel (ret.) Karl-Bernhard Müller, former Senior Ministerial Counsellor at the Federal Chancellery, Germany

Moderated discussion:

Maj. Gen. (ret.) Ashok Hukku, former Chief Military Intelligence Advisor in the Cabinet Secretariat at New Delhi, India

Colonel (ret.) Karl-Bernhard Müller, former Senior Ministerial Counsellor at the Federal Chancellery, Germany

Colonel Grant Newsham, former Executive Director, Corporate Security, Morgan Stanley (Japan) Securities Ltd, Japan

Conference closing remarks

Report

From 12 to 14 October 2018, CPG hosted its 9^th Annual International Conference titled “Making Compliance Work: Challenges and Innovations” at the Royal Orchid Sheraton Hotel in Bangkok.

The conference raised the question of what makes compliance work and what does not. One theme was the tension between universalistic legal norms supposed to be globally enforced on the one hand and countervailing realities in terms of value systems and practices on the ground on the other. Another question that was explored pertained to those actors pushing compliance forward in their work, in particular the agenda setters and enforcers of compliance, where the obstacles they face and the strategies they develop to overcome them have been discussed. Moreover, participants addressed the potentials in transferring experiences from other fields than law and economics into the discussion to help raising it to the next level.

Among the innovative experts from theory and practice were academics, members of watchdog bodies, senior officers and business managers.

At the Opening Ceremony on the evening of 12 October, Colonel Grant Newsham, former Executive Director, Corporate Security, Morgan Stanley (Japan) Securities Ltd, Japan, delivered the keynote speech titled “Compliance and ‘CPR’ Risk: Often Overlooked …. Often Fatal”, in which he examined the most relevant elements of effective compliance with an emphasis on the banking sector.

The first session on 13 October addressed the topic “Global standards vs. local realities”. Prof. Dr. Louis de Koker, La Trobe Law School, La Trobe University, Melbourne, delivered a presentation on “Compliance with money laundering and financing of terrorism laws: Perspectives on risk, conservative compliance and Regtech”, where he carved out, in particular, the risks and pitfalls of “over-compliance”. He was followed by Assist. Prof. Sam Kai Chi Yam, Department of Management & Organisation, NUS Business School, National University of Singapore, who spoke about “A social scientific perspective of compliance: Exploring the critical role of self-control”, adding important psychological insights to the discussion.

A moderated panel discussion then addressed the conceptual frames and practical difficulties of global compliance standards enforced locally. The panel consisted of Supreeya Mokaramanee, Chief Financial Officer, Siemens Thailand, Kobkiat Padungkittimal, Head of Compliance, Deutsche Bank, Bangkok, Matthias Jürgens, Chief Information Security Officer/Chief Technology Officer, B. Grimm, and Dr. Alex Brezing, DAAD Lecturer, Thai-German Graduate School of Engineering, King Mongkut’s University of Technology North Bangkok. The panel was moderated by Henning Glaser, Director of CPG.

The afternoon session titled “Pushing compliance forward: Advocates and agenda setters” was opened by Prof. Dr. Bartosz Makowicz, Director, Viadrina Compliance Center, European University Viadrina Frankfurt (Oder), who spoke about “Challenges and Benefits of Compliance Standardization in the Multicultural Globalized Economy”, elaborating on current developments in compliance standardization and certification. Dr. Fahreen Alamgir, Lecturer, Department of Management, Monash University, presented relevant findings in her case study “Compliance regimes, the idea of responsibility and sustainable development in the global production networks – Insights from the Bangladeshi apparel industry”.

Another moderated panel discussion then tackled the specific issue of anti-corruption compliance both in the public and the private sector. The panel comprised Sudhagaran Stanley, Regional Coordinator, The Centre to Combat Corruption and Cronyism (C4), Malaysia, Buntoon Wongseelashote, Vice Chairman, Committee on Foreign Trade Negotiations, Thai Chamber of Commerce and Board of Trade of Thailand, and Lalola Easter Kaban, Indonesia Corruption Watch, Indonesia. It was moderated by Dr. Lasse Schuldt, CPG.

The last conference day on 14 October started with a session on “Antecedents and interdisciplinary reflections” and was opened with a presentation from Prof. Dr. Ashly Pinnington, Dean of Research, Head of PhD in Business Management Programme, The British University in Dubai, on the topic “Collective Compliance with Soft Regulation? – Creative Paths to Consensus”, in which he examined the chances and challenges of voluntary and collective forms of compliance.

The final set of presentations then addressed the issue of compliance from a military perspective. First, Maj. Gen. (ret.) Ashok Hukku, former Chief Military Intelligence Advisor in the Cabinet Secretariat at New Delhi, India, spoke about the effective and responsible exercise of command and leadership. He was followed by Colonel (ret.) Karl-Bernhard Müller, former Senior Ministerial Counsellor at the Federal Chancellery, Germany, who provided insights into military mission management from a German perspective. The two speakers were joined by Colonel Grant Newsham for a panel discussion moderated by Jan Kliem, CPG.

The conference panels were chaired by Slavica Banić, Informator, Croatia, Dr. Nilubol Lertnuwat, Faculty of Law, Thammasat University, and Jan Kliem, CPG.

Photos