October 3 and 4, 2019
New York University’s Global Academic Center
1307 L Street NW
Investors, Firms and ESG Conference
Transatlantic Comparative Corporate Law Series
Active v. Passive Strategies and Corporate Governance
The Business of Impact
“Investor, Companies, and ESG”
Corporate Governance Bootcamp
NYU/TAU Corporate Law Conference
Investor Conflicts and Corporate Governance
Distinguished Jurist Event
Investors and ESG Conference
“Shareholder Engagement” compared and contrasted the different modes of shareholder engagement, ranging from large institutional investors to “highly engaged” hedge funds and private equity funds. The panel featured Joseph Landy (Warburg Pincus), Martin Lipton (Wachtell Lipton), Matt Mallow (BlackRock) and Nelson Peltz (Trian). Wendell Willkie and Edward Rock will moderate.
Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC
The Program on Corporate Compliance and Enforcement and the Institute for Corporate Governance and Finance hosted a policy speech, Perspectives on Enforcement: Self-Reporting and Cooperation at the CFTC, which will be given by James McDonald, Director of the Division of Enforcement, United States Commodity Futures Trading Commission. This speech will announce a new policy – the CFTC’s new self-reporting/cooperation policy.
The Securities and Exchange Commission: Priorities Going Forward
Presented by the Institute for Corporate Governance & Finance, the Program on Corporate Compliance and Enforcement, and the Pollack Center for Law & Business
The Institute for Corporate Governance & Finance, the Program on Corporate Compliance and Enforcement, and the Pollack Center hosted a panel discussion with the Securities and Exchange Commission Chairman, Jay Clayton, the two Co-Directors of the Division of Enforcement, Stephanie Avakian and Steven Peikin, and Acting Director of the Office of Compliance, Peter Driscoll. Professor Arlen and Professor Rock will moderate the discussion, which will focus on the SEC’s enforcement priorities.
Preet Bharara: Reflections
Co-Hosted by the Institute for Corporate Governance & Finance and the Program on Corporate Compliance and Enforcement
On April 1, 2017, Preet Bharara joined NYU School of Law as a distinguished scholar in residence after the conclusion of his tenure as United States attorney for the Southern District of New York, one of the longest for anyone holding that position. As US attorney, Bharara brought a number of public corruption prosecutions against politicians working at the city and state levels, notably the speaker of the New York State Assembly Sheldon Silver and State Senate Majority Leader Dean Skelos. He also oversaw many prosecutions of financial crimes, including numerous insider trading cases and the prosecution of Bernie Madoff and his associates, as well as suits against Bank of America and Citibank growing out of the financial crisis. Under his leadership, the US attorney’s office secured a record-setting $1.2 billion financial penalty from Toyota in an agreement that installed an independent monitor to oversee the company’s public statements and safety reporting. In addition, during Bharara’s tenure the SDNY also took an active role in addressing evolving cybersecurity threats.
Please join us as Preet reflects upon his time as United States Attorney. Preet will take questions from the audience following his talk. The speech and the question and answer session will be off-the-record.
The Fit between Activists and Institutional Investors
What is the role of poison pills in corporate governance today?
Professors Marcel Kahan and Edward Rock, “Anti-Activist Poison Pills”
Commentators: Stephen Fraidin, Pershing Square; Jeffrey Gordon, Columbia Law School
Should institutional investors rethink their opposition to “clear day” poison pills?
Professor Emiliano Catan LLM '10, “The Insignificance of Clear Day Poison Pills”
Commentators: Patrick McGurn, Institutional Shareholder Services; Roberta Romano, Yale Law School
What is the difference in the roles of activist and institutional investors?
Panel: Glenn Booream, Vanguard; Michelle Edkins, BlackRock; Rakhi Kumar, State Street; Jim Rossman, Lazard; Brian Schorr '82, Trian Partners; Chancellor Andre Bouchard, Delaware Chancery Court; Kevin McCarthy, BNY Mellon; and David Katz '88, Wachtell, Lipton, Rosen & Katz
Vanderbilt Hall, Room 210
40 Washington Square South, New York
Thursday, March 9, 2017 | 4:30PM-6:30PM
Presenter: Martin Lipton ’55, Wachtell, Lipton, Rosen & Katz
Commentators: Chief Justice Leo Strine Jr., Delaware Supreme Court; Matt Mallow ’67, LLM ’68, BlackRock; and Robert Schumer, Paul, Weiss, Rifkind, Wharton & Garrison
Article: The New Paradigm by Martin Lipton, Wachtell, Lipton, Rosen & Katz