CLE Materials | NYU School of Law

CLE Materials

We are in the process of obtaining all necessary copyright clearances, if any.

Panel 1: Determining Whether your Compliance Program is Deterring Organizational Misconduct (1 hour)

Moderator: Jennifer H. Arlen, Professor, NYU School of Law

Jennifer Arlen & Samuel W. Buell, The Law of Corporate Investigations and the Global Expansion of Corporate Criminal Enforcement, 93 S. Cal. L. Rev. 697 (2020). https://scholarship.law.duke.edu/faculty_scholarship/4028/

Jennifer Arlen, The Compliance Function, The Oxford Handbook of Corporate Law and Governance (2d ed., forthcoming in 2023).

Evaluation of Corporate Compliance Programs, Department of Justice (Mar., 2023), https://www.justice.gov/criminal-fraud/page/file/937501.

Panel 2: Effectively Handling Internally Reported Misconduct (1 hour)

Moderator: Timothy J. Lindon, Senior Fellow, PCCE

Jennifer Arlen, Evolution of Director Oversight Duties and Liability under Caremark: Using Information-Acquisition Duties in the Public Interest, Research Handbook on Corporate Liability (Martin Petrin & Christian Witting eds., forthcoming in 2023).

Jennifer Arlen, The Compliance Function, The Oxford Handbook of Corporate Law and Governance (2d ed., forthcoming in 2023).

In re McDonald's Corp. Stockholder Derivative Litig., No. 2021-0324-JTL, 2023 Del. Ch. LEXIS 23 (Del. Ch. Jan. 25, 2023). https://casetext.com/case/in-re-mcdonalds-corp-stockholder-derivative-litig?utm_source=ALM&utm_medium=caselaw

Eugene Soltes, Paper versus Practice: A Field Investigation of Integrity Hotlines, 58 J. Acct. Rsch. 429 (2020). https://onlinelibrary.wiley.com/doi/epdf/10.1111/1475-679X.12302

Hotlines and Investigations, Ethics & Compliance Initiative (June 4, 2019), https://www.ethics.org/document/hotlines-and-investigations/.

Panel 3: Structuring Compensation to Promote Compliance (1 hour)

Moderator: Kathryn Reimann, Senior Fellow, PCCE

Jennifer Arlen, The Compliance Function, The Oxford Handbook of Corporate Law and Governance (2d ed., forthcoming in 2023).

Deputy Attorney General Lisa Monaco Delivers Remarks at American Bar Association National Institute on White Collar Crime, Department of Justice (Mar. 2, 2023), https://www.justice.gov/opa/speech/deputy-attorney-general-lisa-monaco-delivers-remarks-american-bar-association-national.

Assistant Attorney General Kenneth A. Polite, Jr. Delivers Keynote at the ABA’s 38th Annual National Institute on White Collar Crime, Department of Justice (Mar. 3, 2023), https://www.justice.gov/opa/speech/assistant-attorney-general-kenneth-polite-jr-delivers-keynote-aba-s-38th-annual-national.

Evaluation of Corporate Compliance Programs, Department of Justice (Mar., 2023), https://www.justice.gov/criminal-fraud/page/file/937501.

Andrew Tangel, Boeing Board Denies CEO David Calhoun a Performance Bonus, Wall St. J. (Mar. 3, 2023 5:16 pm), https://www.wsj.com/articles/boeing-board-denies-ceo-david-calhoun-a-performance-bonus-3a3a6c74.

Consumer Financial Protection Bureau Fines Wells Fargo $100 Million for Widespread Illegal Practice of Secretly Opening Unauthorized Accounts, Consumer Financial Protection Bureau (Sep. 8, 2016), https://www.consumerfinance.gov/about-us/newsroom/consumer-financial-protection-bureau-fines-wells-fargo-100-million-widespread-illegal-practice-secretly-opening-unauthorized-accounts/.

Kara Brockmeyer, et al., DOJ Issues Trio of Updates that Further Heighten Compliance Expectations, Particularly Involving Off-System Communications and Compensation Systems, Debevoise & Plimpton (Mar. 6, 2023), https://www.debevoise.com/insights/publications/2023/03/doj-issues-trio-of-updates-that-further-heighten.

Keynote: Breon Peace, U.S. Attorney for the Eastern District of New (50 minutes)

Panel 4: Cybersecurity, Data Privacy, and Third Party Diligence (1 hour)

Moderator: Joseph Facciponti, Executive Director, PCCE

Kristy J. Greenberg, Your Vendor’s Been Hacked. Is Your Company’s Data at Risk?, Compliance & Enforcement Blog (Feb. 14, 2023), https://wp.nyu.edu/compliance_enforcement/2023/02/14/your-vendors-been-hacked-is-your-companys-data-at-risk/.

Avi Gesser, et al., The Arrival of 2023 U.S. State Privacy Laws – Part 2: Colorado Update, Compliance & Enforcement Blog (Feb. 7, 2023), https://wp.nyu.edu/compliance_enforcement/2023/02/07/the-arrival-of-2023-u-s-state-privacy-laws-part-2-colorado-update/#more-28668.

Avi Gesser, et al., Legal Risks of Using AI Voice Analytics for Customer Service, Compliance & Enforcement Blog (Jan. 11, 2023), https://wp.nyu.edu/compliance_enforcement/2023/01/11/legal-risks-of-using-ai-voice-analytics-for-customer-service/.

Martin Lipton, et al., Thoughts for Boards: Key Issues in Corporate Governance for 2023, Compliance & Enforcement Blog (Jan. 10, 2023), https://wp.nyu.edu/compliance_enforcement/2023/01/10/thoughts-for-boards-key-issues-in-corporate-governance-for-2023/.

Luke Dembosky, et al., NYDFS Publishes Official Amendments to Its Cybersecurity Regulation, Compliance & Enforcement Blog (Nov. 15, 2022), https://wp.nyu.edu/compliance_enforcement/2022/11/15/nydfs-publishes-official-amendments-to-its-cybersecurity-regulation/.

Megan Bannigan, et al., Does Your Company Need a ChatGPT Policy? Probably., Compliance & Enforcement Blog (Feb. 10, 2023), https://wp.nyu.edu/compliance_enforcement/2023/02/10/does-your-company-need-a-chatgpt-policy-probably/.

Rebecca Kelly Slaughter, FTC Data Privacy Enforcement: A Time of Change, Compliance & Enforcement Blog (Oct. 17, 2020), https://wp.nyu.edu/compliance_enforcement/2020/10/17/ftc-data-privacy-enforcement-a-time-of-change/.

National Cybersecurity Strategy, The White House (Mar., 2023), https://www.whitehouse.gov/wp-content/uploads/2023/03/National-Cybersecurity-Strategy-2023.pdf.

Report on the SolarWinds Cyber Espionage Attack and Institutions’ Response, New York State Department of Financial Services (Apr. 2021), https://www.dfs.ny.gov/system/files/documents/2021/04/solarwinds_report_2021.pdf.

Information and communications Technology Supply Chain Risk Management, Cybersecurity & Infrastructure Security Agency (Jan. 10, 2023), https://www.cisa.gov/information-and-communications-technology-supply-chain-risk-management