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Expanding Individual Accountability for Corporate Misconduct -
Mark Steward, Director of Enforcement and Market Oversight, Financial Conduct Authority, U.K. gave the keynote speech -
William Laufer, The Wharton School, The University of Pennsylvania; Eugene Soltes, Harvard Business School -
Court Golumbic, Goldman Sachs -
Jeffrey Knox, Lisa Zornberg, David Meister, Judge Jed Rakoff, Serina Vash, and Andrew Weissmann -
Sung-Hee Suh and Andrew Weissmann, Criminal Division, U.S. Department of Justice -
Michael Loucks, Kate Stith, Geoffrey Miller, Gregory Demske, Jonathan Olin, and Michael Holston -
Michael Holston, Merck -
Michael Loucks, Kate Stith, and Gregory Demske -
Steven Peikin, Andrew Ceresney, Michael Held '95, Nancy Kestenbaum, Jesse Fried, and Jennifer Arlen '86
March 31, 2017
The goal of the conference was to bring together academics, enforcement officials, general counsel, compliance officers, and white collar defense lawyers to discuss the evolving and optimal scope of individual liability for corporate misconduct. The conference focused on efforts to hold senior executives accountable for crimes by those under them.
Conference Agenda: View Here (PDF: 360 KB)
Keynote Speaker: Mark Steward, Director of Enforcement and Market Oversight, Financial Conduct Authority, U.K.
Text of Mark Steward's speech can be viewed by clicking here (PDF: 72 KB).
Presentations and Panels:
Why Do They Do It?
- Eugene Soltes, Jakurski Family Associate Professor of Business Administration, Harvard Business School
Panel 1: External Liability and Internal Sanctions for Supervisors
Moderator: Jennifer Arlen ’86, Norma Z. Paige Professor of Law and Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists
- Andrew Ceresney, Partner, Debevoise & Plimpton LLP; former Director of Enforcement, Securities and Exchange Commission
- Jesse Fried, Dane Professor of Law, Harvard Law School
- Michael Held ’95, General Counsel and Executive Vice President of the Legal Group, Federal Reserve Bank of New York
- Nancy Kestenbaum, Partner, Covington & Burling LLP
- Steven Peikin, Sullivan & Cromwell
Presentation: Empirical Analysis of Securities Fraud Enforcement
Stephen Choi, Murray and Kathleen Bring Professor of Law and Director, Pollack Center for Law & Business, NYU School of Law and Students
Panel 2: Responsible Corporate Officer Doctrine Liability with Enhanced Sanctions
Moderator: Geoffrey Miller, Stuyvesant P. Comfort Professor of Law and Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists
- Gregory Demske, Chief Counsel to the Inspector General, Office of Inspector General, U.S. Department of Health and Human Services
- Michael Holston, Executive Vice President and General Counsel, Merck
- Michael Loucks, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
- Jonathan Olin, former Deputy Assistant Attorney General, Civil Division, U.S. Department of Justice
- Kate Stith, Lafayette S. Foster Professor of Law, Yale Law School
Panel 3: Corporate Investigations After the Yates Memo
Moderator: Serina Vash, Executive Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists
- Jeffrey Knox, Partner, Simpson, Thacher & Bartlett LLP
- David Meister, Partner, Skadden, Arps, Slate, Meagher & Flom LLP
- Judge Jed Rakoff, U.S. District Judge, Southern District of New York
- Andrew Weissmann, Chief, Fraud Section, Criminal Division, U.S. Department of Justice
- Lisa Zornberg, Chief, Criminal Division, U.S. Attorney’s Office, Southern District of New York
Keynote Speech: Mark Steward, Director of Enforcement and Market Oversight, Financial Conduct Authority, U.K.