Program on Corporate Compliance and Enforcement

2022 PCCE Fall Enforcement Conference - Structuring Enforcement to Deter Misconduct and Induce Disclosure

245 Sullivan Street, Lester Pollack Colloquium Room, 9th Floor
November 14, 2022, 8:30 a.m - 5:30 p.m.

Structuring Enforcement to Deter Misconduct and Induce Disclosure brings together academics, government officials, general counsel, compliance officers, and white collar defense lawyers for an off-the-record discussion of corporate enforcement policy as it has evolved, and how it can be adjusted to deter misconduct and induce self-disclosure by companies. The conference aims to better familiarize attendees with the current state of law, regulation and policy, and deepen their understanding of the impacts of corporate self-disclosure on society, enforcement and all stake holders. The panels will delve into the current rule proposals, their objectives and likely impacts on stake holders, law and society. The panelists will provide attendees with the opportunity to ask questions. The theme of the afternoon sessions will narrow to specifically address cybersecurity regulation, compliance and enforcement, with panels focusing on self-disclosure initiatives by the SEC regarding public company reporting of material cyber risks and incidents, and a separate initiative regarding self-disclosure of cybersecurity incidents involving critical infrastructure.  This conference will be presented in the “traditional” in person format and will not be streamed virtually.  Attendees will be provided log-in sheets. 


8:30 a.m.-9:00 a.m


9:00 a.m. - 9:05 a.m.

Lecture: Implications of Empirical Studies of Human Behavior for Corporate Enforcement Policy
9:05–9:25 a.m.

Professor Jennifer Arlen, NYU School of Law

Panel 1: Federal Criminal Enforcement Policy
9:30–10:30 a.m.

  • Moderator:  Jennifer Arlen, Professor, NYU School of Law

  • Panelists:

    • Daniel Kahn, Partner, Davis Polk & Wardwell LLP

    • Kristin Mace, Chief, Criminal Division, EDNY

    • Marshall Miller, Principal Associate Deputy Attorney General, DOJ

    • David Markowtiz, Global Co-Head of Litigation and Regulatory Proceedings, Goldman Sachs

Networking Break
10:30–10:45 a.m.

Panel 2: SEC/CFTC Enforcement Policy 
10:45–11:45 a.m.

Introduction: Caroline Pham, Commissioner, CFTC

  • Moderator: Robert J. Jackson, Jr., Professor, NYU School of Law

  • Panelists:        

    • George S. Canellos, Partner, Milbank

    • Christina Dugger, Global Chief Compliance and Operational Risk Officer at Corporate & Investment Bank, JPMorgan Chase

    • Gretchen Lowe, Acting Director, Enforcement, CFTC

    • Thomas Smith, Acting Regional Director, SEC - New York Regional Office

Networking Break
11:45 a.m.–12:00 p.m. 

Keynote: Damian Williams, US Attorney, Southern District of New York
12:00–12:45 p.m.  

Networking Lunch
12:55–2:00 p.m.
108 W 3rd St, Lipton Hall, Lower Level

Panel 3: Cybersecurity & Disclosure
2:10–3:10 p.m.  

  • Moderator:  Joseph Facciponti, Executive Director, PCCE

  • Panelists:        

    • Anita Bandy, Partner, Skadden

    • Douglas Bloom, Executive Director, Co-Head of Cybersecurity and Privacy Law, Morgan Stanley

    • John Coates, Professor, Harvard Law School

    • David Hirsch, Chief, Crypto Asset and Cyber Unit, Division of Enforcement, SEC

Networking Break
3:10–3:30 p.m.

Panel 4: Cybersecurity and Infrastructure
3:30–4:30 p.m.

  • Moderator:  Randy Milch, Co-Chair of the NYU Center for Cybersecurity

  • Panelists:        

    • Leonard Bailey, Special Counsel for National Security, Computer Crime & Intellectual Property Section, DOJ

    • Ann Fairchild, Senior Vice President and General Counsel, Siemens Corporation

    • Judith Germano, Founder, GermanoLaw LLC; Distinguished Fellow, NYU Center for Cybersecurity

    • Kevin Morley, Manager of Federal Relations, American Water Works Association

4:30–5:15 p.m.