The Mont-Blanc Circle T r u s t. S h a r e. A c t The Mont-Blanc Circle T r u s t. S h a r e. A c t. 3rd Member-only Retreat 24-25th November 2016 - Ludwigshafen Hosted by Thomas Hartmann Chief Compliance Officer, BASF MBC

Ludwigshafen Retreat Welcome to the 3rd Mont-Blanc Circle Retreat ’Thank you’ to our host : Thomas Hartmann Chief Compliance Officer BASF

Logistics All presentation materials are on the USB sticks Wi-Fi is available Group picture during first Coffee Break At 18.30, we will break and one can go to the hotel first or immediatly to the René Bohn Gesellschaftshaus (800 m walk) As from 19.00 we will have drinks and dinner Tomorrow morning at 8.30 sharp, we will start again Questions ?

Paris Retreat - Feedback Satisfaction level : 83,34 % (Düsseldorf : 78,40 %) « Open exchange of ideas, lots of practical suggestions. » « Excellent exchanges. Inspiring speakers, particularly Guido Palazzo. Enjoying to network with colleagues ! » « This is finally a platform of interaction between compliance executives across sectors, discussing strategy and future of compliance, beyond rules and regulations »

The MBC Steering Committee Composition 1/ Michaela Ahlberg 2/ Alexander Juengling Corporate world 3/ Dominique Laymand 4/ Guido Palazzo Academic world 5/ TBD Moderator 6/ Pascal De Roeck Managing Director

The MBC Motto: “Trust. Share. Act.” Trust: the first objective of the Mont-Blanc Circle is to create an environment of trust and respect where the Members can speak openly. This is why we meet up every 6 months at the premises of a member, why membership is only available  after a personal recommendation from an existing member, why the members all maintain strict confidentiality, why new members have to be vetted by the Steering Committee, and why no sponsors are involved.   Share: the second objective of the Mont-Blanc Circle, once this environment of trust has been established, is to exchange experiences amongst peers through open dialogue and debate. In order to encourage this exchange, we always have a round table setting in the room and provide ample opportunity for all participants to contribute to the debate. The presentations are hands-on, practical, and relate to real-life experiences. There are no ex-cathedra presentations. Act: the third objective of the Mont-Blanc Circle is to help the members to take concrete action when they are back in the office. This can even relate to topics or files not covered during a Retreat, the idea being that the members have a network and a sounding board that they can turn to in the event they are confronted with new or complex situations.

Geographical spread The Mont-Blanc Circle has 25 members based in 8 countries 1 member 2 members 3 or more members

Participants – late cancellations Late cancellation (see page 3) Dale Mochan, Goodyear

Participants - some new faces Michaela Ahlberg, Chief Ethics & Compliance Officer, Teliasonera Pierre-Antoine Badoz, Group Chief Compliance Officer, Orange Guido De Clercq (former Deputy Secretary General, Engie) Wolfgang Fritzen, Chief Compliance Officer, innogy SE Thomas Hartmann, Chief Compliance Officer, BASF Esther van den Berg-Overduin, Senior Operational Risk Manager, Rabobank Tom Woodson (former Chief Compliance Officer, Leica Microsystems)

Feedback Form Please complete the Feedback Form (on both sides). - feedback on the Retreat - input for the Spring Fall Retreat (speakers, topics) - identify possible new members - make sure the MBC meets your needs

Next Mont-Blanc Circle Retreat 30-31st March 2017 Luxembourg Host Pierre Margue VP, Chairman of the Compliance Committee SES

The Mont-Blanc Circle T r u s t. S h a r e. A c t. Questions ? MBC