Compliance: New Risks, Challenges, and Approaches

October 21, 2016

The goals of the conference were to bring together academics, enforcement officials, compliance officers, general counsels, white collar defense lawyers, and lawyers representing whistleblowers to discuss the changing role of compliance in business enterprise and understand how to harness information (both internal and external) to achieve efficient and effective compliance with the law.

Conference Agenda: View Here

Keynote Speaker: Maria T. Vullo, Superintendent, New York State Department of Financial Services

Presentations and Panels:

Panel 1: Sanctioning Compliance Officers: External and Internal Sanctions on Compliance Officers
Moderator: Edward Rock, Professor of Law, NYU School of Law
Panelists:

  • Jamal El-Hindi, Deputy Director, Finance Crimes Enforcement Network
  • Jill E. Fisch, Perry Golkin Professor of Law and Co-Director, Institute for Law and Economics, University of Pennsylvania Law School
  • Court E. Golumbic, Managing Director, Global Head of Financial Crime Compliance, Goldman Sachs
  • Anthony S. Kelly, Co-Chief, Asset Management Unit, Division of Enforcement, U.S. Securities and Exchange Commission
  • Betty Santangelo, Schulte Roth & Zabel

Panel 2: Whistleblowing and Compliance: Inducing Internal Reporting and Investigating in the Shadow of External Whistleblowing
Moderator: Jennifer Arlen, Norma Z. Paige Professor of Law and Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists:

  • Martine M. Beamon, Partner, Litigation Department, Davis Polk & Wardwell LLP
  • Stephen S. Hasegawa, Partner, Phillips & Cohen LLP
  • Elizabeth Wolfe Morrison, Vice Dean of Faculty and ITT Harold Geneen Professor in Creative Management, Stern School of Business, New York University
  • Diana Sands, Senior Vice President, Office of Internal Governance and Administration, The Boeing Company
  • Andrew Weissmann, Chief, Fraud Section, U.S. Department of Justice Criminal Division

Panel 3: Harnessing Data Analytics to Enhance Compliance
Moderator: Geoffrey P. Miller, Stuyvesant P. Comfort Professor of Law and Director, Program on Coprporate Compliance and Enforcement, NYU School of Law
Panelists:

  • Thomas Bock, Executive Managing Director, K2 Intelligence
  • John Lucker, Principal & Global Advanced Analytics Market Leader, Deloitte & Touche LLP
  • Barbara Patow, Global Head of AML, Finance Crime Compliance, HSBC Holdings plc
  • Foster J. Provost, Professor of Information Systems and Andre Meyer Faculty Fellow, Stern School of Business, New York University
  • Joseph Sansone, Co-Chief, Market Abuse Unit, Division of Enforcement, U.S. Securities and Exchange Commission

Panel 4: Compliance Beyond Procedures: Understanding Behavioral Compliance and Fostering a Culture of Business Ethics
Moderator: Serina M. Vash, Executive Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists:

  • Bonnie B. Jonas, Co-Founder, Pallas Global Group LLC
  • Brad S. Karp, Partner and Chair, Paul, Weiss, Rifkind, Wharton & Garrison LLP
  • Timothy J. Lindon, Vice President and Chief Compliance Officer, Philip Morris Inc.
  • David B. Pitofsky, General Counsel and Chief Compliance Officer, News Corp.
  • Alfred N. Rosa, Chief Compliance Director and Senior Executive Counsel, Gneral Electric Company

Keynote Address: Maria T. Vullo, Superintendent, New York State Department of Financial Services