Each year, the program sponsors conferences, colloquia and roundtable discussions designed to bring together leading academics, judges, and enforcement officials.

Upcoming Events

PCCE Roundtable Discussion on Cybersecurity Risk and Regulation with Zachary K. Goldman, Thomas Harrington, Marshall L. Miller, and Scott Sarafian
Moderated by PCCE Executive Director Serina M. Vash

February 15, 2017
Lester Pollack Colloquium  | 6:00 PM – 8:00 PM  | Registration Required

On February 15, 2017, the NYU Program on Corporate Compliance and Enforcement will host an in depth discussion about the realities of Cybersecurity Risk and Regulation.  Join us as the following four experts begin the discussion with a look at NYDFS’ Cybersecurity Requirements for Financial Services Companies, 23 NYCRR Section 500:

  • Zachary K. Goldman, Executive Director, Center on Law & Security and Co-Founder of the Center for Cybersecurity

  • Thomas Harrington, Managing Director and Chief Information Security Office at Citi, and former Associate Deputy Direct of the FBI

  • Marshall L. Miller, Of Counsel, Wachtell, Lipton, Rosen & Katz, and former Principal Deputy Assistant Attorney General & Chief at the U.S. Department of Justice's Criminal Division

  • Scott Sarafian, Supervisory Special Agent, United States Secret Service, Electronic Crimes Task Force - NYC

The panel will discuss the impending implementation of the NYDFS' new cybersecurity rule, its potential impact on the financial sector from the vantage points of both compliance with and enforcement of the new cybersecurity requirements, the federal governments’ anticipated Enhanced Cyber Risk Management Standards, and the realities of whether piecemeal cybersecurity programs can keep companies and their information secure.

The panel, moderated by Serina M. Vash, Executive Director of PCCE, will be followed by a Q & A Session.

Recent Events

Insider Trading Enforcement in the Wake of Salman
Moderated by Jennifer Arlen, Norma Z. Paige Professor of Law, NYU School of Law

December 20, 2016
Lester Pollack Colloquium  | 6:20 PM – 8:00 PM  | Registration Required

A panel of insider trading experts including Antonia Apps, Partner Milbank, Tweed, Hadley & McCloy LLP; Greg Morvillo, Partner Morvillo LLP; Michael Neus, Managing Partner and General Counsel, Perry Capital, LLC; and Winston Paes, Chief, Business and Securities Fraud Section U.S. Attorney's Office, Eastern District of New York, will examine the impact of the Supreme Court’s December 6, 2016 decision in Salman v. United States on insider trading enforcement policy and will look at the state of the law in the wake of the High Court’s decision.

This program has been approved in accordance with the requirements of the New York State Continuing Legal Education Board for a maximum of 2 credit hours in the Areas of Professional Practice category, appropriate for both newly admitted and experienced attorneys.

CLE Materials - Download Here

1. Salman v. United States, December 6, 2016

2. U.S. v. Salman, 792 F.3d 1087 (9th Cir. 2015)

3. United States v. Newman and Chiasson, 773 F.3d 438 (2d Cir. 2014), cert. denied, 133 S. Ct. 1600 (2013)

4. Dirks v. S.E.C., 463 U.S. 646 (1983)

5. United States v. O’Hagan, 521 U.S. 642, 642-46 (1997)

6. Chiarella v. United States, 445 U.S. 222 (1980)

7. SEC v. Obus, 693 F.3d 276 (2d Cir. 2012)

8.   Section 10(b) of the Securities Exchange Act of 1934

9.   The Securities and Exchange Commission’s Rule 10b–5

November 30, 2016:    
Wading into the Gray: Compliance and Enforcement Lessons
When Good People Make Bad Decisions

Lester Pollack Colloquium Room | 5:00 PM - 7:00 PM

A Panel Discussion with Rashmi Airan, Richard Bistrong, Walt Pavlo,
and FBI SSA William McMurry
Moderated by PCCE Executive Director Serina M. Vash

On Wednesday, November 30th from 5 to 7 pm a panel of extraordinary individuals -- Rashmi Airan, Richard Bistrong, Walt Pavlo -- shared the experiences that resulted in their own federal criminal convictions for white collar crimes, with additional insights provided by FBI Supervisory Special Agent William McMurry and a former federal prosecutor and PCCE Executive Director Serina Vash.  The panel identified inflection points in business decision making and compliance processes where questions, interventions, knowledge or relationships could have helped them make better, more ethical decisions.

November 18, 2016
SEC Chair Mary Jo White Talks about A New Model for SEC Enforcement
Greenberg Lounge | 11:30 AM - 12:30 PM

Read Chair White's Address here.

October 21, 2016 Fall Conference
Compliance: New Risks, Challenges, and Approaches

Lester Pollack Colloquium Room  | 9:00 AM – 4:15 PM | Registration Required

Keynote Address:

DFS’s Contributions to Fostering a Compliance Culture in an Age of Risk 
Maria T. Vullo, Superintendent, New York State Department of Financial Services

Conference Agenda

9:00–10:05 A.M. Sanctioning Compliance Officers: External and Internal Sanctions on Compliance Officers

10:20–11:25 A.M. Whistleblowing and Compliance: Inducing Internal Reporting and Investigating in the Shadow of External Whistleblowing

11:40 A.M.–12:45 P.M. Harnessing Data Analytics to Enhance Compliance

2:00–3:15 P.M. Compliance Beyond Procedures: Understanding Behavioral Compliance and Fostering a Culture of Business Ethics

3:30–4:15 P.M. Keynote Address by Maria T. Vullo

Click HERE for the Full Conference Agenda.

Past Events:

June 3 – 4, 2016: 2016 Law and Banking/Finance Conference:  THE NEW FINANCIAL SYSTEM IN A POST-CRISIS WORLD

Sponsors:  NYU Law's Center for Financial Institutions, ETH, and NYU Law's Program on Corporate Compliance and Enforcement

View Conference Agenda

April 8, 2016:  Conference on Corporate and Individual Liability for Corporate Misconduct After the Yates Memo

The PCCE Spring Conference brought together enforcement officials, academics, white collar defense lawyers, judges, and other prominent members of the bar for an invitation-only event that discussed the evolution, efficacy and future of corporate criminal enforcement policy for individuals and firms, both in the United States and abroad.  PCCE Conference Rules applied.  Registration required.

Keynote Speaker:  Director David Green of the Serious Fraud Office (UK)

View Director Green's Keynote Speech

View Conference Agenda 

March 25, 2016: Corruption in Sports: The FIFA Scandal
Lester Pollack Colloquium  | 11:30 AM – 12:45 PM  | 

On March 25, 2016, Professor Jennifer Arlen moderated a panel entitled “Corruption in Sports: The FIFA Scandal” at the New York University School of Law Sports Law Association's 5th Annual Sports Law Colloquium. The panelists included: Samir Gandhi of Sidley Austin LLP, David Massey of Richards Kibbe & Orbe LLP, Mary Mulligan of Friedman Kaplan Seiler & Adelman LLPRebecca Ruiz of the New York Times, and PCCE Executive Director Serina M. Vash of the NYU School of Law. 

The event was sponsored by the New York University School of Law Sports Law Association.

January 21, 2016
Roundtable Discussion with Virginia Romano, Joyce Branda, and Sung-Hee Suh of the United States Department of Justice
Lester Pollack Colloquium  | 4:00 PM – 6:00 PM  | Registration Required

On January 21, 2016, the NYU Program on Corporate Compliance and Enforcement hosted Virginia Romano, Joyce Branda and Sung-Hee Suh of the United States Department of Justice for an invitation-only discussion on corporate compliance and enforcement policy in light of the September 2015 DAG Yates Memo on individuality liability in corporate criminal misconduct.  The invitation-only panel brought together leaders in the compliance and enforcement worlds—academics, compliance officials, general counsels, government officials, defense lawyers and judges.

The presentation by Ms. Romano, Ms. Branda and Ms. Chen was followed by a Q & A Session – all of which was governed by Chatham House Rule, modified in that photograpghs were taken of the event.

November 13, 2015:  Roundtable Discussion with Fraud Section Chief Andrew Weissmann and New Compliance Counsel Hui Chen of the DOJ's Criminal Division
Lester Pollack Colloquium  | 12:30 PM – 2:00 PM  | Registration Required 

The NYU Program on Corporate Compliance and Enforcement hosted Andrew Weissmann, Chief of the Fraud Section, Criminal Division, Department of Justice and the new Compliance Counsel for the Fraud Section for an invitation-only discussion on corporate compliance and enforcement policy and the role of DOJ’s new compliance counsel in corporate criminal enforcement.  View Video Here (Publicly Available Portion Only).
Read Fraud Division Statement on Hiring Hui Chen As New Compliance Counsel.  
View AAG Leslie Caldwell's Remarks on DOJ's New Compliance Counsel

The panel discussion is publically available and was followed by a question and answer session that was held be under Chatham House Rule.
Go to Event Page for CLE Documents.

September 29, 2015:  An Address by the President of Paraguay His Excellency Horacio Cartes

Lipton Hall  | 10:00 AM – 11:00 AM 

Together with NYU President John Sexton and the Center for Latin American and Caribbean Studies, the Program on Corporate Compliance and Enforcement  was pleased to welcome His Excellency Horacio Cartes to New York University for an address entitled, "Introducing Paraguay: A Land of Opportunity." President Cartes discussed crucial reforms promoted by his Administration on : (i) poverty reduction and social inclusion, (ii) anti-corruption, public sector transparency and accountability; and (iii) Paraguay’s openness to the global economy.  President Cartes also discussed Paraguay’s potential to become a business and industrial hub in Latin America and President Cartes’ groundbreaking educational initiative.  View President Cartes Speech Here (Spanish Version).

September 10, 2015Deputy Attorney General Sally Quillian Yates Addresses Individual Liability for Corporate Wrongdoing
Greenberg Lounge  |  12:45 PM - 1:45 PM

The NYU Program on Corporate Compliance and Enforcement sponsored an address by Deputy Attorney General Sally Quillian Yates on the Justice Department’s commitment to ensuring individual accountability in matters of corporate wrongdoing.  Registration required.

September 16,  2015 :  Red Card for FIFA: Inside the Case Against Global Soccer  
PCCE Co-Hosts the Milbank Tweed Forum 
Greenberg Lounge  |  12:45 PM - 2:00 PM

This Forum, co-hosted by the Program on Corporate Compliance and Enforcement, explored the federal investigation that led to the indictment of nine world soccer officials in an alleged $150 million bribery scheme. The panelists discussed how the investigation came about, what the racketeering, wire fraud, and money laundering charges meant for the individual defendants and FIFA, and why the US was able to—and chose to—exercise jurisdiction. Panelists included former prosecutors (two now defense lawyers) and one of the world’s leading soccer journalists.


Marc Agnifilo –  Senior Trial Counsel, Brafman & Associates
Antonia Apps – Partner, Milbank, Tweed, Hadley & McCloy
Marshall Miller – Senior Fellow, Program on Corporate Compliance and Enforcement, NYU School of Law
Serina Vash (Moderator)  – Executive Director, Program on Corporate Compliance and Enforcement
Grant Wahl  – Senior Writer, Sports Illustrated

View MTF FIFA Video Here.

Past Events:

May 8, 2015: Achieving Safe and Responsible Enterprise: Principles of Effective Compliance and Emerging Enforcement Policy

This one-day invitation only conference brought together academics, compliance officials, risk-management officers, general counsels, enforcement officials, and private attorneys to discuss principles of effective compliance, optimal compliance objectives, balancing the requirements of compliance programs with fundamental business objectives, and understanding both organizational structure and organizational behavior in achieving compliance with the law. From an enforcement perspective, the conference considered how enforcement policy can best be structured to support, promote and reward effective corporate compliance efforts. The afternoon presentation, entitled ALI Principles of the Law, Compliance, Enforcement, and Risk Management for Corporations, Nonprofits and Other Organizations, discussed the development of a comprehensive legal treatise on the laws of compliance, enforcement, risk management, and governance.

Lunch Keynote Speaker: Donald C. Langevoort, Thomas Aquinas Reynolds Professor of Law, Georgetown University School of Law
Download Video Here       Download Slides Here 

Conference Agenda: View Here

April 17-18, 2015: Conference on Corporate Crime and Financial Misdealing
An interdisciplinary conference involving scholars from law, business, sociology, economics, and psychology who presented original papers on corporate crime and securities fraud. The papers will be published as chapter in the Research Handbook on Corporate Crime and Financial Misdealing (Jennifer Arlen ed., Edward Elgar Press).
Lunch Keynote Address: Assistant Attorney General Leslie R. Caldwell
Dinner Keynote Address: The Honorable Jed S. Rakoff, US District Judge, SDNY

Conference Agenda: View Here

February 25, 2015:  Banks Behind Bars: Convicting BNP Paribas and Credit Suisse 
Co-Hosted by PCCE and the Milbank Tweed Forum 

If 2013 was the year of "too big to jail," 2014 was the year for convicting financial institutions.  In May, federal prosecutors sent a signal that no bank is too big to escape criminal sanctions, when they pressured Credit Suisse's parent company to plead guilty to conspiracy to aid and assist U.S. taxpayers file false tax returns; the bank paid $2.6 billion, the highest amount ever in a criminal tax case. Later in the summer, BNP Paribas agreed to pay $8.9 billion for illegally processing financial transactions for countries subject to U.S. economic sanctions. The move came after BNP separately pleaded guilty to criminal charges of conspiracy and filing false business records in New York state court.  These convictions were made possible, in part, by coordinated enforcement between the U.S. Attorney's office, New York Attorney General and New York Department of Financial Services. This MTF addressed how these convictions came about and what they portend for the future. The panelists included four people who were on the front lines, both for the prosecution and the defense.  Watch full video presentation here.

September 17, 2014:US Attorney General Eric Holder on Corporate Crime and Compliance
The NYU Program on Corporate Compliance and Enforcement and the Milbank Tweed Forum co-sponsored an address by US Attorney General Eric Holder on "Corporate Crime and Compliance." View AG's speech.

May 16-17, 2014: 2014 Law and Banking/Finance Conference: Regulating Risk Taking in a Post Credit Crisis Environment
Sponsors: NYU Law's Center for Financial Institutions, ETH, and NYU Law's Program on Corporate Compliance and Enforcement
View the full conference program here.

April 4-5, 2014: Deterring Corporate Crime: Effective Principles for Corporate Enforcement
The conference centered on criminal and Securities Exchange Commission enforcement policy for individuals and firms. It featured more than 40 representatives from law schools, law firms, the judiciary, the Department of Justice, the Securities and Exchange Commission, and major companies.
Sponsors: NYU Program on Corporate Compliance and Enforcement and the American Law Institute
Keynote speakers: Preet Bharara, United States Attorney for the Southern District of New York and Benjamin Lawsky, Superintendent of Financial Services for the New York State Department of Financial Services.

View the full conference program here.

February 15, 2014
Publication date of Professor Geoffrey Miller's new book, The Law of Governance, Risk Management, and Compliance.
Purchase this textbook online.

January 22, 2014: Milbank Tweed Forum - Suddenly Sexy: How Compliance Went from Ho-hum to Hot
Watch the full video of the event here.

January 17-18, 2014: Business Beyond Borders
Sponsors: NYU Program on Corporate Compliance and Enforcement, NYU Stern, and NYU Shanghai
Conference Organizers: Jennifer Arlen, Jennifer Carpenter (NYU Stern), Kose John (NYU Stern)

October 13, 2013: Insider Trading: Hedge Funds in the Crosshairs
At the Milbank Tweed Forum, Jennifer Arlen and a panel of experts moderated by Kevin Davis discussed the insider trading prosecutions of hedge funds. Watch the full video of the event here.