***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.
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.
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.
Fall Conference, 2019: #MeToo and Beyond: Lessons for Compliance, Investigations, and Governance
October 11, 2019
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.
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.
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.
Kenneth A. Blanco, Director, Financial Crimes and Enforcement Network. Read Director Blanco's keynote address here.
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.
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.
Drago Kos, Chair, OECD Working Group on Bribery in International Business Transactions
Spring Conference, 2019: Deterring Corporate Misconduct Through Negotiated Settlements: The Promise and Perils of Corporate Policing
April 5, 2019
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.
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.
Fall Conference, 2018: Achieving Effective Compliance: Assessment, Internal Reporting, Technology, and Remedial Monitors
October 12, 2018
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.
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.
Spring Conference, 2018: Global Cyber Threats: Corporate and Governmental Challenges to Protecting Private Data
April 6, 2018
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.
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
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.
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.
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
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)
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.