Events

***New York University has taken steps to mitigate the spread of COVID-19, including the cancellation of non-essential, large gatherings. These measures are designed to protect the well-being of our community, including our guests. As a result, PCCE’s spring and summer events have been cancelled, although we will reschedule those events upon further updates from the university.***

Each year, PCCE holds conferences, policy speeches, colloquia, and roundtable discussions that address the most pressing compliance and enforcement issues of the day and feature as keynote speakers and panelists leading academics, judges, in-house counsel and compliance officers, private practitioners, and enforcement and regulatory officials.

Recent Events

The Advancement of Digital Assets and Addressing Financial Crime Risk
March 4, 2020 

This conference brought together federal and state regulatory and enforcement officials, digital asset and fintech experts, compliance officers, and private attorneys for an off-the-record discussion of the promise and financial crime risk posed by the expanding adoption of digital assets.

Keynote Speech
Therese Chambers, Director, Retail and Regulatory Investigations, Financial Conduct Authority, United Kingdom. Read Director Chambers's keynote address here

For more information about this event, including the names of our panelists, please click here.

New Tools to Combat Modern Slavery and Human Trafficking
February 26, 2020

PCCE co-hosted the Latham & Watkins Forum on New Tools to Combat Slavery and Human Trafficking, moderated by PCCE Executive Director, Alicyn Cooley.

For more information about this event, including the names of our panelists, please click here.

Click here to view the NYU Law News article about the Forum.

Fall Conference, 2019: #MeToo and Beyond: Lessons for Compliance, Investigations, and Governance
October 11, 2019

Keynote Speakers
Alessandra Biaggi, New York State Senator, District 34 (D-Bronx/Westchester). Read Senator Biaggi's keynote address here.
Rachael Denhollander, Lawyer and Sexual Abuse Activist.  

For more information about this event, including the names of our panelists, please click here.

Fireside Chat with new CFTC Chairman Heath Tarbert
September 10, 2019

On the evening of September 10, 2019, PCCE Director Jennifer Arlen and Institute for Corporate Governance and Finance Director, Edward Rock, moderated a discussion with new U.S. Commodity Futures Trading Commission Chairman, Heath Tarbert. 

Click here for the event brochure (PDF: 1 MB).

Select Past Events

A New Model for Incentivizing Antitrust Compliance Programs: Policy Speech by Assistant Attorney General, Antitrust Division, Makan Delrahim
July 11, 2019

On the evening of July 11, 2019, Makan Delrahim, Assistant Attorney General, Antitrust Division, U.S. Department of Justice, announced the Antitrust Division's new approach to evaluating corporate compliance programs in antitrust investigations. A moderated panel followed to discuss the new approach. Read Assistant Attorney General Delrahim's keynote address here.

The New Face of AML Enforcement and Compliance
June 12, 2019 

This conference brought together academics, regulatory and enforcement officials, business leaders, general counsels, compliance officers, and private attorneys to discuss some of the most pressing issues surrounding anti-money laundering.

Keynote Speech
Kenneth A. Blanco, Director, Financial Crimes and Enforcement Network. Read Director Blanco's keynote address here

Click here for the Full Conference Agenda (PDF: 655 KB)

Shifting Tides in Anti-Money Laundering Enforcement and Regulation
May 1, 2019

This evening panel, moderated by PCCE Senior Fellow, Jonathan Rusch, brought together government officials and private industry to discuss disparate perspectives on current issues in anti-money laundering.

Click here for the event brochure (PDF: 748 KB)

Spring Academic Conference, 2019: Negotiated Settlements in Bribery Cases: A Principled Approach
April 6, 2019

PCCE hosted an academic conference organized by Tina Søreide, Professor of Law and Economics, Norwegian School of Economics at NYU School of Law.

Keynote Speech
Drago Kos, Chair, OECD Working Group on Bribery in International Business Transactions 

Read our speakers' bios here (PDF: 47 KB)

Spring Conference, 2019: Deterring Corporate Misconduct Through Negotiated Settlements: The Promise and Perils of Corporate Policing
April 5, 2019

Keynote Speakers
Joseph H. Hunt, Assistant Attorney General, Civil Division, U.S. Department of Justice
Drago Kos, Chair, OECD Working Group on Bribery in International Business Transactions 

Click here for the Full Conference Agenda (PDF: 667 KB)

Cannabis - The Path to Regulation and Representation
December 5, 2018 

This conference brought together academics, regulatory and enforcement officials, business leaders, general counsels, compliance officers, and private attorneys for a discussion of the ethical and practical issues facing lawyers, financiers, and others representing the cannabis industry. The program then examined models of regulation and compliance for the industry.

Click here for the Full Conference Agenda (PDF: 197 KB)

Enforcement Trends at the CFTC: Policy Speech by Director James McDonald
November 14, 2018

On the evening of November 14, 2018, James McDonald, Director of Enforcement for the  U.S. Commodity Futures Trading Commission (CFTC), gave a speech updating the audience on the CFTC's activities over the past year, outlining the CFTC's major priorities and initiatves from the past year that will continue to guide them forward, and discussing recent developments in the CFTC's cooperation and self-reporting program.

Read Director McDonald's keynote address here

Fall Conference, 2018: Achieving Effective Compliance: Assessment, Internal Reporting, Technology, and Remedial Monitors
October 12, 2018

Keynote Speakers
Lisa Osofsky, Director, Serious Fraud Office, United Kingdom. Read Director Osofsky's keynote address here.
Brian A. Benczkowski, Assistant Attorney General, Criminal Division, U.S. Department of Justice. Read Assistant Attorney General Benczkowski's keynote address here
Geoffrey A. Berman, U.S. Attorney, Southern District of New York, U.S. Department of Justice. Read U.S. Attorney Berman's keynote address here

Click here for the Full Conference Agenda (PDF: 3 MB)

A Roundtable Discussion on ICOs and Cryptocurrency
June 7, 2018

On June 7, 2018, the NYU Program on Corporate Compliance and Enforcement hosted an evening of in-depth discussion on the regulation of initial coin offerings (ICOs) and cryptocurrencies from the perspectives of government officials and private industry.  The event explored the regulatory approaches used by the SEC, CFTC and FinCen, and the legal and compliance challenges companies face in properly navigating ICO and cryptocurrency markets.

Click here for the event brochure (PDF: 3 MB)

Spring Conference, 2018: Global Cyber Threats: Corporate and Governmental Challenges to Protecting Private Data
April 6, 2018

Keynote Speakers
John Demers, Assistant Attorney General, National Security Division, U.S. Department of Justice
Jeh Charles Johnson, Partner, Paul Weiss, Rifkind, Wharton & Garrison, and former Secretary, U.S. Department of Homeland Security. Read Secretary Johnson's keynote address here.

Click here for the Full Conference Agenda (PDF: 1 MB)

Robert Stebbins, General Counsel, SEC and Michael Conley, Solicitor, SEC
A Fireside Chat with the SEC

April 5, 2018

On April 5, 2018, the Program on Corporate Compliance and Enforcement and the Institute for Corporate Governance & Finance hosted an evening event where Professor Jennifer Arlen '86 and Professor Edward Rock moderated a discussion between SEC General Counsel Robert Stebbins and SEC Solicitor Michael Conley on the SEC's priorities going forward, including topics such as cyber guidance, ICOs and crypto currency, significant recent cases, administrative law judges, and whistleblower programs.

From Successful Securities Analyst to Convicted Felon: The Shocking Inside Story of the Largest Insider Trading Investigation
February 22, 2018

On February 22, 2018, the Program on Corporate Compliance and Enforcement hosted an evening event where PCCE Senior Fellow and current hedge fund general counsel/chief compliance officer, Michael Neus, interviewed Tom Hardin, the FBI’s Tipper X at the center of the series of criminal insider trading prosecutions by the U.S. Attorney of the Southern District of New York.  Tom Hardin described how his life unraveled during the world’s biggest insider trading probe, followed by a detailed Q & A session with Michael Neus.

November 2017 Conference: No Turning Back: 40 Years of the FCPA and 20 Years of the OECD Anti-Bribery Convention: Impact, Achievements and Future Challenges
Organized by the Department of Justice, OECD, and the Securities and Exchange Commission, and Hosted by PCCE.
November 9, 2017

Keynote Speakers
Kenneth A. Blanco, Acting Assistant Attorney General, U.S. Department of Justice. Read Acting Assistant Attorney General Blanco's keynote address here.
Steven R. Peikin, Co-Director, Division of Enforcement, U.S. Securities and Exchange Commission. Read Co-Director Peikin's keynote address here.

Click here for the Full Conference Agenda (PDF: 3 MB)

Fall Conference 2017: Deterring Corporate Crime: The Promise and Challenge of Multiple Enforcers
October 6, 2017

This conference brought together academics, enforcement officials, general counsels, compliance officers, and white collar defense lawyers to discuss how best to structure interacting corporate liability rules imposed by different enforcers in order to most effectively deter corporate crime. 

Deputy Attorney General Rod Rosenstein delivered the keynote address.

Click here for the full conference agenda (PDF: 463 KB)

Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC
September 25, 2017

On September 25, 2017, from 6:00 to 7:30 p.m., James McDonald, Director of Enforcement for the U.S. Commodity Futures Trading Commission announced a new policy on self-reporting and cooperation.

SEC Roundtable with Jay Clayton, Stephanie Avakian, Steve Peikin, and Peter Driscoll
September 5, 2017

On September 5, 2017, from 5:30 to 7 p.m., the Institute for Corporate Governance and Finance, the Program on Corporate Compliance and Enforcement, and the Pollack Center hosted a panel discussion with the Securities and Exchange Commission Chairman, Jay Clayton, the two Co-Directors of the Division of Enforcement, Stephanie Avakian and Steven Peikin, and Acting Director of the Office of Compliance, Peter Driscoll. Professor Arlen and Professor Rock moderated the discussion, which focused on the SEC’s enforcement priorities.

Preet Bharara: Reflections
May 9, 2017

On May 9, 2017, the NYU Program on Corporate Compliance and Enforcement and the Institute for Corporate Governance & Finance sponsored an address by Former United States Attorney for the Southern District of New York, Preet Bharara. To an audience that filled NYU Law’s Lester Pollack Colloquium, Former United States Attorney for the Southern District of New York Preet Bharara reflected upon his time as United States Attorney.

Spring Conference 2017: Expanding Individual Accountability for Corporate Misconduct
March 31, 2017

Keynote Speaker
Mark Steward, Director of Enforcement and Market Oversight, Financial Conduct Authority, U.K. Read Director Steward's keynote address here (PDF: 66 KB).

Click here for the Full Conference Agenda (PDF: 361 KB)

SEC Chair Mary Jo White Talks about A New Model for SEC Enforcement
November 18, 2016

Deputy Attorney General Sally Quillian Yates, announcing the Yates Memo
September 10, 2015

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.

Read Deputy Attorney General Yates's prepared remarks here.