Program on Corporate Compliance and Enforcement

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. The program began with a discussion on how to regulate digital assets, at both the state and federal levels. The conference then addressed how companies, financial institutions, exchanges, and trading platforms may do business responsibly in the era of digital assets.

Conference Agenda (PDF: 3 MB)

Keynote Speaker:
Therese Chambers, Director, Retail and Regulatory Investigations, Financial Conduct Authority, United Kingdom
Ms. Chambers’s keynote address is available here.
Panel Discussions:
Panel 1: Regulation and Enforcement Relating to Digital Assets
  • Alicyn Cooley, Executive Director, PCCE, and Adjunct Professor of Law, NYU School of Law (Moderator)
  • Albert Forkner, Commissioner, Wyoming Division of Banking
  • Lara Mehraban, Associate Regional Director, Securities and Exchange Commission
  • Manal Sultan, Deputy Director, Division of Enforcement, Commodity Futures Trading Commission
  • Douglas K. Yatter, Partner, Latham & Watkins LLP
Panel 2: Doing Business Responsibly in the Era of Digital Assets
  • Alicyn Cooley (Moderator)
  • Caroline Malcolm, Head, Global Blockchain Policy Centre, Organisation for Economic Co-operation and Development
  • Robin Nunn, Partner and Chair, Consumer Financial Services, Dechert LLP
  • Noah Perlman, Chief Compliance Officer, Gemini Trust
  • Charles V. Senatore, Senior Fellow, PCCE, NYU School of Law; Member of Massachusetts Secretary of State's FinTech Advisory Working Group; and former Global Compliance Head for Fidelity Investments and Merrill Lynch
With special thanks to Maria T. Vullo, Senior Fellow, PCCE, NYU School of Law; Chief Executive Officer, Vullo Advisory Services, PLLC; and former Superintendent of the New York State Department of Financial Services, without whose guidance and assistance this conference would not have been possible.