Conference on Corporate and Individual Liability for Corporate Misconduct After the Yates Memo

April 8, 2016

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 to discuss the evolution, efficacy and future of corporate criminal enforcement policy for individuals and firms, both in the United States and abroad.  

Conference Agenda: View Here

Keynote Speaker: David Green, Director, Serious Fraud Office, United Kingdom

Presentations and Panels

Panel 1: Relationship Between Individual and Corporate Liability
Moderator: Kevin Davis, Vice Dean and Beller Family Professor of Business Law, New York University Law School
Panelists

  • Aitan Goelman, Director of the Division of Enforcement, U.S. Commodity Futures Trading Commission
  • Pablo Quiñones, Chief of Strategy, Policy and Training Unit, U.S. Department of Justice Criminal Division
  • Virginia Chavez Romano, Associate Deputy Attorney General and Executive Director of the Financial Fraud Enforcement Task Force, U.S. Department of Justice, Office of the Deputy Attorney General
  • John Savarese, Partner, Wachtell, Lipton, Rosen & Katz
  • Kate Stith, Professor, Yale Law School

Presentations: Evidence on DOJ and SEC Enforcement Policy
Moderator: Marshall Miller, Senior Fellow, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists

  • Corporate Guilty Pleas vs. DPAs and NPAs, Cindy Alexander, Research Fellow, Law and Economics Center, George Mason University
  • SEC Enforcement Policy Update, Stephen Choi, Murray and Kathleen Bring Professor of Law, Director, Pollack Center, NYU School of Law and NYU Law Students, Pollack Center Project on Securities Fraud Litigation

Panel 2: Enforcement Agencies’ Treatment of Firms that Self-Report
Moderator: Jennifer Arlen, Norma Z. Paige Professor of Law; Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists

  • Andrew J. Ceresney, Director, Division of Enforcement, U.S. Securities and Exchange Commission
  • Douglas Lankler, Executive Vice President and General Counsel, Pfizer, Inc.
  • Sung-Hee Suh, Deputy Assistant Attorney General, Criminal Division, U.S. Department of Justice
  • Brent Snyder, Deputy Assistant Attorney General, Antitrust Division, U.S. Department of Justice
  • Bruce Yannett, Deputy Presiding Partner and Chair of the White Collar and Regulatory Defense Practice Group, Debevoise & Plimpton

Panel 3: Independent Consultants and Monitors
Moderator: Geoffrey P. Miller
, Stuyvesant P. Comfort Professor of Law; Faculty Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists

  • Hon. John Gleeson, Partner, Debevoise & Plimpton
  • Bonnie B. Jonas, Co-founder, Pallas Global Group LLC
  • Daniel S. Kahn, Assistant Chief, Fraud Section, Criminal Division, U.S. Department of Justice
  • Veronica Root, Professor, University of Notre Dame School of Law
  • Bart M. Schwartz ‘71, Chairman, Guidepost Solutions LLC
  • F. Joseph Warin, Partner, Gibson, Dunn & Crutcher LLP

Panel 4: Coordination Across Enforcement Agencies
Moderator:  Serina M. Vash, Executive Director, Program on Corporate Compliance and Enforcement, New York University Law School
Panelists

  • Thomas C. Baxter, Jr., Executive Vice President and General Counsel, Federal Reserve Bank of New York
  • Joyce R. Branda, Deputy Assistant Attorney General, Civil Division, U.S. Department of Justice
  • Stephen M. Cutler, Vice Chairman, JPMorgan Chase & Co.
  • Sandra Leung, Executive Vice President and General Counsel, Bristol-Myers Squibb Company
  • Winston Paes, Chief of Business and Securities Fraud, U.S. Attorney’s Office for the Eastern District of New York

Keynote Address: David Green, Director, Serious Fraud Office (UK)