Achieving Effective Compliance: Assessment | Internal Reporting | Technology | Remedial Monitors

October 12, 2018

The goal of the conference was to bring together academics, enforcement officials, general counsels, compliance officers, and white-collar defense lawyers for a discussion of how organizations can most effectively deter misconduct. The conference began with a discussion of how enforcement officials and corporations determine what compliance function features are in fact effective. The conference then evaluated three enhancements for compliance: internal reporting, technology, and remedial monitors.

Keynote Speakers:

Lisa Osofsky, Director, Serious Fraud Office, United Kingdom

Text of Lisa Osofsky's speech is available

Brian A. Benczkowski, Assistant Attorney General, Criminal Division, U.S. Department of Justice

Text of Brian A. Benczkowski's speech is available

Geoffrey A. Berman, U.S. Attorney, Southern District of New York, U.S. Department of Justice

Text of Geoffrey A. Berman's speech is available

Presentations and Panels:

Keynote Speech

Lisa Osofsky, Director, Serious Fraud Office, United Kingdom

Panel 1: Assessing Effective Compliance

Moderator: Jennifer Arlen ’86, Norma Z. Paige Professor of Law and Faculty Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists

  • Daniel Kahn, Chief, FCPA Unit, Fraud Section, Criminal Division, U.S. Department of Justice
  • Sharon Cohen Levin, Partner, Wilmer Cutler Pickering Hale and Dorr
  • Geoffrey Miller, Stuyvesant P. Comfort Professor of Law and Senior Academic Fellow, PCCE, NYU school of Law
  • Celia Moore, Associate Professor, Department of Management and Technology, Bocconi University, Milan
  • Alfred Rosa, Chief Compliance Director and Senior Executive Counsel, General Electric Company

Panel 2: Behavioral and Structural Approaches to Internal and External Reporting

Moderator: Timothy Lindon ’80, Senior Fellow, Program on Corporate  Compliance and Enforcement, NYU School of Law
Panelists

  • Sean McKessy, Partner, Phillips & Cohen
  • Elizabeth Morrison, Professor of Management and Organizations and ITT Harold Geneen Professor in Creative Management, Stern School of Business, New York University
  • Eugene Soltes, Jakurski Family Associate Professor of Business Administration, Harvard Business School
  • Ann Tenbrunsel, David E. Gallo Professor of Business Ethics, Mendoza College of Business Administration, University of Notre Dame

Keynote Speech

Brian Benczkowski, Assistant Attorney General, Criminal Division, U.S. Department of Justice 

Panel 3: Technology and Data-Driven Compliance

Moderator: Allison Caffarone ’03, Executive Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists

  • Ifeoma Ajunwa, Assistant Professor, Cornell University ILR School and Associate Faculty Member, Cornell Law School
  • Patrick Gnazzo, Principal, Better Business Practices
  • Bonnie Jonas, Co-Founder and Co-CEO, Pallas Global Group
  • Foster Provost, Professor of Data Science and Information Systems and Andre Meyer Faculty Fellow, Stern School of Business, New York University
  • Edward Stroz, Co-President, Stroz Friedberg

Panel 4: Monitors as Stewards of Effective Compliance

Moderator: Pablo Quiñones, Founder, Quiñones Law and Senior Fellow, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists

  • Neil Barofsky '95, Partner and Chair of the Monitorships Practice, Jenner & Block
  • John Gleeson, Partner, Debevoise & Plimpton and former U.S. District Judge, E.D.N.Y.
  • Matthew Miner, Deputy Assistant Attorney General, Criminal Division, U.S. Department of Justice
  • Bart Schwartz '71, Chairman, Guidepost Solutions
  • Robert Werner ’86, CEO and Founder, Green River Hollow Consulting

Keynote Speech

Geoffrey Berman, U.S. Attorney, Southern District of New York, U.S. Department of Justice