Compliance, Culture, and ESG: How Companies Achieve Meaningful Cultural Change and Meet Evolving Regulatory and Stakeholder Expectations

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March 31 and April 2, 2021

This invitation-only, virtual conference brings together speakers who are experts in the fields of corporate culture and ESG with the goal of providing original and concrete takeaways on how companies and government agencies alike can better promote and entrench a corporate culture of compliance, and how companies may operationalize ESG initiatives and comply with increasingly prevalent and, in some jurisdictions, required disclosure regimes. 

Conference Agenda (PDF: 529 KB)

Keynote Speakers:
Chris Brummer, Agnes N. Williams Research Professor; Faculty Director, Institute of International Economic Law; Professor of Law, Georgetown Law
Mark Steward, Executive Director of Enforcement and Market Oversight, Financial Conduct Authority, United Kingdom
Academic Lecture:
Better, Not Perfect: Max H. Bazerman, Jesse Isidor Straus Professor of Business Administration, Harvard Business School

Panel Discussions:

Permeating Compliance and Ethics into Lived Corporate Culture
  • Timothy J. Lindon '80, Senior Fellow, Program on Corporate Compliance and Enforcement, and Adjunct Professor of Law, NYU School of Law (Moderator)
  • Melissa Stapleton Barnes, Senior Vice President, Enterprise Risk Management, and Chief Ethics and Compliance Officer, Eli Lilly and Company
  • David Berman, Partner, Latham & Watkins LLP, London
  • Sandra Leung, Executive Vice President & General Counsel, Bristol Myers Squibb Company
  • Klaus Moosmayer, Ph.D., Chief Ethics, Risk & Compliance Officer, Novartis​​​​​​

How Enforcement Agencies Evaluate Effective Compliance: Assessing Corporate Culture at the Roots of Organizations

  • Jennifer H. Arlen '86, Norma Z. Paige Professor of Law, Founder and Faculty Director, Program on Corporate Compliance and Enforcement, NYU School of Law (Moderator)
  • Melissa R. Hodgman, Acting Director of the Division of Enforcement, Securities and Exchange Commission
  • Daniel Kahn, Acting Chief, Criminal Division, Fraud Section, US Department of Justice
  • Eugene Soltes, Professor of Business Administration, Harvard Business School
  • Benjamin F. Wilson, Chairman, Beveridge & Diamond
  • Bruce E. Yannett '85, Deputy Presiding Partner and Chair, White Collar and Regulatory Defense Practice, Debevoise & Plimpton LLP

ESG Regulation and Enforcement: How Governments Are Inducing Change

  • Andrew Weissmann, Senior Fellow, Program on Corporate Compliance and Enforcement; Distinguished Senior Fellow, Reiss Center on Law and Security; and Distinguished Senior Fellow, Center on the Administration of Criminal Law, NYU School of Law (Moderator)
  • Dr. Yue (Nina) Chen, Director of Sustainability and Climate Initiatives, New York State Department of Financial Services 
  • Robert G. Eccles, Visiting Professor of Management Practice, Saïd Business School, University of Oxford
  • Heidi Hautala, Vice President, European Parliament; Member of the European Parliament in the Greens/EFA Group
  • Betty Moy Huber '96, Counsel and Co-Head, ESG Group and Environmental Transactional Group, Davis Polk & Wardwell LLP

Strategies for Approaching ESG Initiatives and Measuring Performance

  • Alicyn Cooley, Executive Director, Program on Corporate Compliance and Enforcement, and Adjunct Professor of Law, NYU School of Law (Moderator)
  • Bruce Karpati, Partner and Global Chief Compliance Officer, KKR
  • Sabastian V. Niles, Partner, Wachtell, Lipton, Rosen & Katz
  • Anuj A. Shah, Partner, Head of US & UK, KKS Advisors
  • Alison Taylor, Executive Director of Ethical Systems, and Adjunct Professor, NYU Stern School of Business

Breakout Sessions:

  • Mark Carawan, Corporate Culture - Good Apples and Bad Apples: Approaches to Dealing with What Is In Your Basket
  • Wendy Gerber, Taking the Lead on ESG Integration: Best Practices in Driving Growth and Resilience
  • Nancy KestenbaumESG: DOJ and SEC Enforcement Roadmap
  • Sharon Cohen Levin, The Role of Boards in Promoting and Sustaining a Culture of Compliance
  • Timothy J. Lindon, A Behavioral Ethics Approach to Building Culture and ESG Compliance
  • Pablo Quiñones, The Diversity, Equity & Inclusion Value of ESG Strategies: What Metrics Matter?
  • Bart SchwartzFocusing on Culture as a Long-Term Solution, and the Different Purposes Served by Compliance and Ethics
  • Adam Wasserman and Aaron KriegerTop-Down & Bottom-Up: Reducing Regulatory Risk by Promoting a Culture of Compliance