Program on Corporate Compliance and Enforcement

Events

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

Upcoming Events:

April 17-18, 2015: Conference on Corporate Crime and Financial Misdealing
An interdisciplinary conference involving scholars from law, business, sociology, economics, and psychology who will present 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 Speaker: Assistant Attorney General Leslie R. Caldwell
Dinner Keynote Speaker: The Honorable Jed S. Rakoff, US District Judge, SDNY
Conference Organizer: Jennifer Arlen

May 8, 2015: Achieving Safe and Responsible Enterprise: Principles of Effective Compliance and Emerging Government Enforcement Policy
This one-day invitation only conference will bring together leaders in the compliance and enforcement worlds—prominent academics, general counsels, government officials, judges, defense lawyers and compliance officials—to discuss the principles of effective corporate compliance and the attendant emerging enforcement policy. Three of our four sessions will focus on the principles of effective compliance; corporate structure and the interplay of corporate controls on achieving effective compliance; and the effects of a corporation’s compliance efforts on enforcement action and how to treat corporate compliance in terms of enforcement policy. The afternoon presentation, entitled ALI Principles of the Law, Compliance, Enforcement, and Risk Management for Corporations, Nonprofits and Other Organizations, will focus on 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
Conference Organizer: Geoffrey Miller
Conference Agenda: View Here

Past Events:

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. Join us for an in-depth discussion of how these convictions came about and what they portend for the future. The panelists include 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.
Conference Organizer: Jennifer Arlen
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.
Organizer: Geoffrey Miller

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 discuss the insider trading prosecutions of hedge funds. Watch the full video of the event here.
Organizer: Jennifer Arlen