2023 Directors' Academy CLE and Additional Reading Materials

CLE

Panel: Governance and the CEO: Experienced Directors Discuss Balancing the Board’s Advisory and Oversight Roles

Aaron Lewis et al., DOJ Signals Requirement for CEOs and CCOs to Provide Compliance Program Certifications in Corporate Resolutions, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 5, 2022), https://wp.nyu.edu/compliance_enforcement/2022/07/05/doj-signals-requirement-for-ceos-and-ccos-to-provide-compliance-program-certifications-in-corporate-resolutions/.

Arthur S. Long & Elizabeth A. Ising, Risk, Risk and More Risk: Federal Reserve Finalizes Its Supervisory Guidance on Board of Directors’ Effectiveness, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 19, 2021), https://wp.nyu.edu/compliance_enforcement/2021/03/19/risk-risk-and-more-risk-federal-reserve-finalizes-its-supervisory-guidance-on-board-of-directors-effectiveness/.

Eric T. Juergens et al., SEC Adopts Share Repurchase Disclosure Rules, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 19, 2023), https://wp.nyu.edu/compliance_enforcement/2023/05/19/sec-adopts-share-repurchase-disclosure-rules/.

Jennifer Arlen, How Directors’ Oversight Duties and Liability under Caremark Are Evolving, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 21, 2022), https://wp.nyu.edu/compliance_enforcement/2022/10/21/how-directors-oversight-duties-and-liability-under-caremark-are-evolving/.

Karlos Seegar et al., A Game-Changer for UK Corporate Crime Enforcement? Major Expansion of Corporate Criminal Liability Proposed, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 30, 2023),

https://wp.nyu.edu/compliance_enforcement/2023/06/30/a-game-changer-for-uk-corporate-crime-enforcement-major-expansion-of-corporate-criminal-liability-proposed/.

Martin Lipton et al., Spotlight on Boards, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Sept. 3, 2021), https://wp.nyu.edu/compliance_enforcement/2021/09/03/spotlight-on-boards/.

Martin Lipton et al., Thoughts for Boards: Key Issues in Corporate Governance for 2023, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 10, 2023), https://wp.nyu.edu/compliance_enforcement/2023/01/10/thoughts-for-boards-key-issues-in-corporate-governance-for-2023/.

Shira Cohen et al., Executive Compensation and ESG Performance, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 13, 2022), https://wp.nyu.edu/compliance_enforcement/2022/07/13/executive-compensation-and-esg-performance/.

Panel: Strategies for Board Effectiveness in a Time of Increasing Demands: Board Composition, Structure, and Management

Alan F. Denenberg et al., California Enacts Law Requiring Public Company Boards to Include Members of Underrepresented Communities, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 8, 2020), https://wp.nyu.edu/compliance_enforcement/2020/10/08/california-enacts-law-requiring-public-company-boards-to-include-members-of-underrepresented-communities/

Edward D. Herlihy & David K. Lam, Nasdaq Proposes New Listing Rules Regarding Board Diversity, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 31, 2021), https://wp.nyu.edu/compliance_enforcement/2020/12/31/nasdaq-proposes-new-listing-rules-regarding-board-diversity/

Helena K. Grannis & Jeff J. Shim, Key Practices for Board Organization and Oversight of ESG, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 21, 2022), https://wp.nyu.edu/compliance_enforcement/2022/01/21/key-practices-for-board-organization-and-oversight-of-esg/

Jean Lee, Increasing Disclosures and Data to Increase, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Nov. 11, 2021), https://wp.nyu.edu/compliance_enforcement/2021/11/11/increasing-disclosures-and-data-to-increase-inclusion/

Jeffrey D. Karpf & Fernando A. Martinez, Returning to the Future of Work: Considerations for the Virtual Board Room in the ‘Post’-Pandemic Era, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 18, 2022), https://wp.nyu.edu/compliance_enforcement/2022/01/18/returning-to-the-future-of-work-considerations-for-the-virtual-board-room-in-the-post-pandemic-era/

Marc S. Gerber et al., ESG: Key Trends in 2020 and Expectations for 2021 (Part I of III), NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Feb. 8, 2021), https://wp.nyu.edu/compliance_enforcement/2021/02/08/esg-key-trends-in-2020-and-expectations-for-2021-part-i-of-iii/

Martin Lipton et al., Thoughts for Boards: Key Issues in Corporate Governance for 2023, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 10, 2022), https://wp.nyu.edu/compliance_enforcement/2023/01/10/thoughts-for-boards-key-issues-in-corporate-governance-for-2023/

Saema Somalya, Beyond Virtue Signaling: Practical Guidance for Effective Board Oversight of Corporate Diversity and Inclusion Commitments, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Aug. 24, 2020), https://wp.nyu.edu/compliance_enforcement/2020/08/24/beyond-virtue-signaling-practical-guidance-for-effective-board-oversight-of-corporate-diversity-and-inclusion-commitments/

Presentation: Implications for Company’s DEI Initiatives of the Supreme Court’s Affirmative Action Case, Speaker: Kenji Yoshino, Chief Justice Earl Warren Professor of Constitutional Law, NYU School of Law; Moderator, Jennifer Arlen

Jyotin Hamid et al., The Supreme Court’s Upcoming Affirmative Action Decision: Potential Implications for Private-Sector Employers, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 1, 2023), https://wp.nyu.edu/compliance_enforcement/2023/06/01/the-supreme-courts-upcoming-affirmative-action-decision-potential-implications-for-private-sector-employers/.

Karin Portlock & Jabari Julien, Diverse Internal Investigation Teams Drive Better Results, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Feb. 23, 2022), https://wp.nyu.edu/compliance_enforcement/2022/02/23/diverse-internal-investigation-teams-drive-better-results/.

Panel: Enterprise Risk Management

Alejandra Montenegro Almonte et al., SEC Signals Workplace Misconduct is a Disclosure Issue with Activision Blizzard’s $35 Million Settlement, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 24, 2023), https://wp.nyu.edu/compliance_enforcement/2023/03/24/sec-signals-workplace-misconduct-is-a-disclosure-issue-with-activision-blizzards-35-million-settlement/.

Charu A. Chandrasekhar et al., SEC Adopts New Cybersecurity Rules for Issuers, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Aug. 1, 2023), https://wp.nyu.edu/compliance_enforcement/2023/08/01/sec-adopts-new-cybersecurity-rules-for-issuers/.

Dana Seesel Bayersdorfer et al., Federal Reserve and FDIC Reports—Next Steps, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 11, 2023), https://wp.nyu.edu/compliance_enforcement/2023/05/11/federal-reserve-and-fdic-reports-next-steps/#more-29263.

Derek Bush et al., Recent Government Bank Failure Reports Point to Increased Regulation and Examination Scrutiny, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 31, 2023), https://wp.nyu.edu/compliance_enforcement/2023/05/31/recent-government-bank-failure-reports-point-to-increased-regulation-and-examination-scrutiny/.

John Barker et al., Virtual Currency Platforms and Ransomware Attacks: OFAC Advisories Highlight Increasing Overlap of Sanctions and Cybersecurity Risks Associated with Virtual Currency Platforms and Ransomware Attacks (Part II of II), NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Nov. 10, 2021), https://wp.nyu.edu/compliance_enforcement/2021/11/10/virtual-currency-platforms-and-ransomware-attacks-ofac-advisories-highlight-increasing-overlap-of-sanctions-and-cybersecurity-risks-associated-with-virtual-currency-platforms-and-ransomware-attacks-2/.

Joon H. Kim et al., Accelerated Pace and Increased Regulatory Expectations in Enforcement and Compliance Investigations, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 26, 2023), https://wp.nyu.edu/compliance_enforcement/2023/01/26/accelerated-pace-and-increased-regulatory-expectations-in-enforcement-and-compliance-investigations/.

Lisa Sotto & Micheal La Marca, NYDFS Proposes Updated Second Amendment to Its Cybersecurity Regulation, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 10, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/10/nydfs-proposes-updated-second-amendment-to-its-cybersecurity-regulation/.

Robert Maddox & Tristan Lockwood, EU Digital Operational Resilience Act (DORA): Management Obligations and the Role of the Board, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 24, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/24/eu-digital-operational-resilience-act-dora-management-obligations-and-the-role-of-the-board/.

Veronica Root Martinez, Do the DOJ’s Sticks and Carrots Actually Work?, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 11, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/11/do-the-dojs-sticks-and-carrots-actually-work/

Luncheon and Fireside Chat

Speaker: Marshall Miller, Principal Assistant Deputy Attorney General, U.S. Department of Justice

Andrew Weissmann et al., Former Federal Prosecutors React to Changes in the DOJ Criminal Division’s Corporate Enforcement Policy, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 20, 2023), https://wp.nyu.edu/compliance_enforcement/2023/01/20/former-federal-prosecutors-react-to-changes-in-the-doj-criminal-divisions-corporate-enforcement-policy/.

John F. Savarese et al., DOJ Clarifies and Refines Its Policies for Corporate Criminal Enforcement, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Sept. 21, 2022), https://wp.nyu.edu/compliance_enforcement/2022/09/21/doj-clarifies-and-refines-its-policies-for-corporate-criminal-enforcement/.

John F. Savarese et al., White-Collar and Regulatory Enforcement: What Mattered in 2022 and What to Expect in 2023, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Feb. 24, 2023), https://wp.nyu.edu/compliance_enforcement/2023/02/24/white-collar-and-regulatory-enforcement-what-mattered-in-2022-and-what-to-expect-in-2023/.

Joon H. Kim et al., U.S. Attorney’s Offices Issue Nationwide Corporate Voluntary Self-Disclosure Policy, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 5, 2023), https://wp.nyu.edu/compliance_enforcement/2023/03/05/u-s-attorneys-offices-issue-nationwide-corporate-voluntary-self-disclosure-policy/.

Kathryn S. Reimann, The 2022 DOJ Enforcement Guidance: Areas for Compliance Program Focus, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 5, 2022), https://wp.nyu.edu/compliance_enforcement/2022/10/05/the-2022-doj-enforcement-guidance-areas-for-compliance-program-focus/.

Kenneth A. Polite, Assistant Att’y Gen., U.S. Dep't of Just., Remarks on Revisions to the Criminal Division’s Corporate Enforcement Policy (Jan. 17, 2019), in NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog, https://wp.nyu.edu/compliance_enforcement/2023/01/19/doj-criminal-division-revises-its-corporate-enforcement-policy/.

Lisa O. Monaco, Deputy Att’y Gen., U.S. Dep't of Just., Remarks on Corporate Criminal Enforcement (Sept. 15, 2022), in NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog, https://wp.nyu.edu/compliance_enforcement/2022/09/15/deputy-attorney-general-lisa-o-monaco-delivers-remarks-on-corporate-criminal-enforcement/

Robertson Park, Regulatory Priorities at the ABA White Collar Conference: Market Protection, Crypto, and ESG, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 4, 2023), https://wp.nyu.edu/compliance_enforcement/2023/03/04/regulatory-priorities-at-the-aba-white-collar-conference-market-protection-crypto-and-esg/.

Breakout Sessions

Special Committees: The Lessons Learned

Bruce E. Yannett et al., French Authorities Publish Guide on Anti-Corruption Internal Investigations, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 28, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/28/french-authorities-publish-guide-on-anti-corruption-internal-investigations/

Greg D. Andres et al., DOJ Leadership Highlights National Security Focus and Previews New Corporate Enforcement Guidance, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 5, 2023), https://wp.nyu.edu/compliance_enforcement/2023/06/05/doj-leadership-highlights-national-security-focus-and-previews-new-corporate-enforcement-guidance/#more-29380.

James Goldfarb et al., Securities Class Actions: Data, Trends, and Insights, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 27, 2023), https://wp.nyu.edu/compliance_enforcement/2023/03/27/securities-class-actions-data-trends-and-insights/.

Martin Lipton et al., Spotlight on Boards, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Sept. 3, 2021), https://wp.nyu.edu/compliance_enforcement/2021/09/03/spotlight-on-boards/.

Peter Varlan, The Growing Risk of Director Liability for Cyberattacks, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Sept. 4, 2017), https://wp.nyu.edu/compliance_enforcement/2017/09/04/the-growing-risk-of-director-liability-for-cyberattacks/.

Governance of the Modern Workforce: DEI, Unionization, Hybrid Work, and Employees’ Expectations of the Firm’s Social Commitments

Avi Gesser et al., FBI Warns of a Rise in Business Email Compromise Scams — Tips for Preventing and Responding to BECs in Remote Work Environments, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 12, 2020), https://wp.nyu.edu/compliance_enforcement/2020/06/12/fbi-warns-of-a-rise-in-business-email-compromise-scams-tips-for-preventing-and-responding-to-becs-in-remote-work-environments/.

Avi Gesser et al., NYC’s AI Hiring Law Is Now Final and Effective July 5, 2023, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 18, 2022), https://wp.nyu.edu/compliance_enforcement/2023/04/18/nycs-ai-hiring-law-is-now-final-and-effective-july-5-2023/.

Johann Graf Lambsdorff et al., If You Want to Contain Corruption, Promote Intrinsic Motivation!, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 21, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/21/if-you-want-to-contain-corruption-promote-intrinsic-motivation/.

John Joy, Can Securities Laws Help Fight Discrimination in Corporate America?, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 22, 2022), https://wp.nyu.edu/compliance_enforcement/2022/06/22/can-securities-laws-help-fight-discrimination-in-corporate-america/.

Fireside Chat with Peter May, Moderated by Ed Rock

J.S. Nelson, Coming Corporate Criminal Liability for ESG Initiatives, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 2, 2022), https://wp.nyu.edu/compliance_enforcement/2022/06/02/coming-corporate-criminal-liability-for-esg-initiatives/

Martin Lipton et al., Revisiting the New Paradigm, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Aug. 4, 2023), https://wp.nyu.edu/compliance_enforcement/2023/08/04/revisiting-the-new-paradigm/.

Martin Lipton et al., Understanding the Role of ESG and Stakeholder Governance Within the Framework of Fiduciary Duties, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Nov. 29, 2022), https://wp.nyu.edu/compliance_enforcement/2022/11/29/understanding-the-role-of-esg-and-stakeholder-governance-within-the-framework-of-fiduciary-duties/.

Nell Minow, Three Myths About ESG, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 13, 2021), https://wp.nyu.edu/compliance_enforcement/2021/10/13/five-myths-about-esg/.

Tom C.W. Lin, Corporate Social Activism, ESG, and Compliance, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 23, 2023), https://wp.nyu.edu/compliance_enforcement/2023/01/23/corporate-social-activism-esg-and-compliance/.

Victor L. Hou et al., Managing U.S. Enforcement and Civil Risks Relating to ESG Issues: Greenwashing, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 19, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/19/managing-u-s-enforcement-and-civil-risks-relating-to-esg-issues-greenwashing/.

ESG: Board Governance of Business, Legal, Reputational, & Political Risk

Marc Gerber et al., ESG in 2021 So Far: An Update (Part I of III), NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Sept. 10, 2021), https://wp.nyu.edu/compliance_enforcement/2021/09/10/esg-in-2021-so-far-an-update-part-i-of-iii/.

Marc Gerber et al., ESG in 2021 So Far: An Update (Part II of III), NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Sept. 14, 2021), https://wp.nyu.edu/compliance_enforcement/2021/09/14/esg-in-2021-so-far-an-update-part-ii-of-iii/.

Nell Minow, Three Myths About ESG, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 13, 2022), https://wp.nyu.edu/compliance_enforcement/2021/10/13/five-myths-about-esg/.

Tom C.W. Lin, Corporate Social Activism, ESG, and Compliance, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 23, 2023), https://wp.nyu.edu/compliance_enforcement/2023/01/23/corporate-social-activism-esg-and-compliance/.

Reception, Dinner, and Keynote Speech with CEO, Heather Lavallee, Voya; moderated by Jennifer Arlen

Presentation: Director Liability for Legal Risk and Emerging Issues

Caremark Slides for Presentation

Martin Lipton & William Savitt, Director Liability—“Caremark Protection”, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Nov. 20, 2019), https://wp.nyu.edu/compliance_enforcement/2019/11/20/director-liability-caremark-protection/.

Michael W. Peregrine, Beyond Caremark: Individual and Corporate Liability Considerations, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 7, 2016), https://wp.nyu.edu/compliance_enforcement/2016/12/07/beyond-caremark-individual-and-corporate-liability-considerations/.

Theodore N. Mirvis et al., Delaware and Caremark: An Update, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Aug. 9, 2022), https://wp.nyu.edu/compliance_enforcement/2022/08/09/delaware-and-caremark-an-update/.

William Savitt, Caremark Exposure – And What to Do About It, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 31, 2023), https://wp.nyu.edu/compliance_enforcement/2023/01/31/caremark-exposure-and-what-to-do-about-it/.

Panel: Governance of Legal Risk

Aaron Lewis et al., DOJ Signals Requirement for CEOs and CCOs to Provide Compliance Program Certifications in Corporate Resolutions, , NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 5, 2022), https://wp.nyu.edu/compliance_enforcement/2022/07/05/doj-signals-requirement-for-ceos-and-ccos-to-provide-compliance-program-certifications-in-corporate-resolutions/.

Anthony O’Reilly, Gatekeepers in the Dock, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 12, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/12/gatekeepers-in-the-dock/.

Presentation: Data Privacy & Cybersecurity: What Boards Needs to Know

Speaker: Joseph Facciponti, Executive Director, PCCE

Cybersecurity Slides for Presentation

Avi Gesser et al., The New York Attorney General Issues Guidance on Data Security Best Practices, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 27, 2023), https://wp.nyu.edu/compliance_enforcement/2023/06/27/the-new-york-attorney-general-issues-guidance-on-data-security-best-practices/.

Benjamin A. Powell et al., Federal Agencies Publish New Version of the #StopRansomware Guide, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 19, 2023), https://wp.nyu.edu/compliance_enforcement/2023/06/19/federal-agencies-publish-new-version-of-the-stopransomware-guide/.

Frank J. Azzopardi et al., Navigating Generative AI in M&A Transactions, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 17, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/17/navigating-generative-ai-in-ma-transactions/.

John F. Savarese & Wayne M. Carlin, A Sign of the Times in SEC Cyber Enforcement, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 12, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/12/a-sign-of-the-times-in-sec-cyber-enforcement/.

John F. Savarese et al., Cybersecurity Oversight and Defense – A Board and Management Imperative, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 12, 2021), https://wp.nyu.edu/compliance_enforcement/2021/05/12/cybersecurity-oversight-and-defense-a-board-and-management-imperative/

Libbie Canter et al., FTC Announces a Notice of Proposed Rulemaking to Expand Scope of the Health Breach Notification Rule, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 8, 2023), https://wp.nyu.edu/compliance_enforcement/2023/06/08/ftc-announces-a-notice-of-proposed-rulemaking-to-expand-scope-of-the-health-breach-notification-rule/.

Lisa Sotto & Michael La Marca, NYDFS Proposes Updated Second Amendment to Its Cybersecurity Regulation, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 10, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/10/nydfs-proposes-updated-second-amendment-to-its-cybersecurity-regulation/.

Luke Dembosky et al., Lessons from The Financial Stability Board’s Report on Cyber Incident Reporting, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 2, 2023), https://wp.nyu.edu/compliance_enforcement/2023/06/02/lessons-from-the-financial-stability-boards-report-on-cyber-incident-reporting/.

Martin Braun et al., Certification Under the EU-U.S. Data Privacy Framework, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 25, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/25/certification-under-the-eu-u-s-data-privacy-framework/.

Martin Braun et al., Significant Improvements for International Transfers of Personal Data – Adequacy Decision for the New EU-U.S. Data Privacy Framework Adopted by the European Commission, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 14, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/14/significant-improvements-for-international-transfers-of-personal-data-adequacy-decision-for-the-new-eu-u-s-data-privacy-framework-adopted-by-the-european-commission/.

Melissa MacGregor et al., Achieving Sensible AI Regulation, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 27, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/27/achieving-sensible-ai-regulation/.

Panel: AI: Opportunities and Potential Risks

Avi Gesser et al., NYC’s AI Hiring Law Is Now Final and Effective July 5, 2023, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 18, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/18/nycs-ai-hiring-law-is-now-final-and-effective-july-5-2023/.

Avi Gesser et al., Overview of Global AI Regulatory Developments and Some Tips to Reduce Risk, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 10, 2023), https://wp.nyu.edu/compliance_enforcement/2023/05/10/overview-of-global-ai-regulatory-developments-and-some-tips-to-reduce-risk/.

Avi Gesser et al., The Top Eight AI Adoption Failures and How to Avoid Them, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 21, 2023), https://wp.nyu.edu/compliance_enforcement/2023/06/21/the-top-eight-ai-adoption-failures-and-how-to-avoid-them/.

Avi Gesser et al., The Value of Having AI Governance – Lessons from ChatGPT, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 10, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/10/the-value-of-having-ai-governance-lessons-from-chatgpt/.

Bradford Hardin et al., Federal Agencies Will Jointly Look for Bias and Discrimination in AI, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 12, 2023), https://wp.nyu.edu/compliance_enforcement/2023/05/12/federal-agencies-will-jointly-look-for-bias-and-discrimination-in-ai/.

Douglas K. Yatter & Hanyu (Iris) Xie, A Singular(ity) Challenge: Compliance and Enforcement in Financial Markets in the Age of Artificial Intelligence, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 7, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/07/a-singularity-challenge-compliance-and-enforcement-in-financial-markets-in-the-age-of-artificial-intelligence/.

Eric Dinallo et al., The Revised Colorado AI Insurance Regulations: What Was Fixed, and What Still May Need Fixing, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 7, 2023), https://wp.nyu.edu/compliance_enforcement/2023/06/07/the-revised-colorado-ai-insurance-regulations-what-was-fixed-and-what-still-may-need-fixing/.

Joseph Facciponti, Notes from IAPP’s Global Privacy Summit 2023: Skynet Will Not Become Self-Aware (But Still Presents Risks) and the CFPB Seeks to Hold Individuals Accountable, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 7, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/07/notes-from-iapps-global-privacy-summit-2023-skynet-will-not-become-self-aware-but-still-presents-risks-and-the-cfpb-seeks-to-hold-individuals-accountable/.

Katja Langenbucher, Regulating AI – The Next “Brussels Effect”?, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 6, 2022), https://wp.nyu.edu/compliance_enforcement/2022/12/06/regulating-ai-the-next-brussels-effect/.

Kirk J. Nahra et al., FTC Warns Companies about Generative AI, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 22, 2023), https://wp.nyu.edu/compliance_enforcement/2023/05/22/ftc-warns-companies-about-generative-ai/.

Marianna Drake et al., UK ICO Updates Guidance on Artificial Intelligence and Data Protection, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 8, 2023), https://wp.nyu.edu/compliance_enforcement/2023/05/08/uk-ico-updates-guidance-on-artificial-intelligence-and-data-protection/.

Martin Braun & Matthew F. Ferraro, Italy’s Privacy Regulator Takes Action Against ChatGPT, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 19, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/19/italys-privacy-regulator-takes-action-against-chatgpt/.

Luncheon and Keynote Speech

Speaker: Gurbir Grewal, Director of Enforcement, Securities & Exchange Commission

Brian Jacobs et al., White Collar Defense Attorneys React to DOJ and SEC Enforcement Actions for Misuse of 10b5-1 Plans, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 14, 2023), https://wp.nyu.edu/compliance_enforcement/2023/03/14/white-collar-defense-attorneys-react-to-doj-and-sec-enforcement-actions-for-misuse-of-10b5-1-plans/.

Jack Barber et al., SEC v. Ripple: A Tale of Two Token Transaction Types, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 28, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/28/sec-v-ripple-a-tale-of-two-token-transaction-types/

Luke Dembosky et al., A Late Winter Blizzard of SEC Cybersecurity Rulemaking: the Proposed BD Cybersecurity Rules and Expanded Reg S-P and Reg SCI Obligations, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 30, 2023), https://wp.nyu.edu/compliance_enforcement/2023/03/30/a-late-winter-blizzard-of-sec-cybersecurity-rulemaking-the-proposed-bd-cybersecurity-rules-and-expanded-reg-s-p-and-reg-sci-obligations/.

Marc Fagel et al., Crypto Experts React to SEC Coinbase, Binance Enforcement Actions, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 15, 2023), https://wp.nyu.edu/compliance_enforcement/2023/06/15/crypto-experts-react-to-sec-coinbase-binance-enforcement-actions/.

Michael T. Borgia et al., SEC Settles Ransomware Disclosure Charges for $3 Million, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 20, 2023), https://wp.nyu.edu/compliance_enforcement/2023/03/20/sec-settles-ransomware-disclosure-charges-for-3-million/.

Tami Stark et al., How to Avoid Risk of SEC Whistleblower Rule Violations in Connection with Employee-related Documents, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 25, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/25/how-to-avoid-risk-of-sec-whistleblower-rule-violations-in-connection-with-employee-related-documents/.

Panel: Crisis Management

Arthur Greenspan et al., Financial Reporting in Times of Economic Crisis: Minimizing Risk in Accounting Judgments and Estimates, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 15, 2020), https://wp.nyu.edu/compliance_enforcement/2020/06/15/financial-reporting-in-times-of-economic-crisis-minimizing-risk-in-accounting-judgments-and-estimates/.

Avi Gesser et al., The Value of AI Incident Response Plans and Tabletop Exercises, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 27, 2022), https://wp.nyu.edu/compliance_enforcement/2022/04/27/the-value-of-ai-incident-response-plans-and-tabletop-exercises/.

Bruce E. Yannett et al., French Authorities Publish Guide on Anti-Corruption Internal Investigations, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 28, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/28/french-authorities-publish-guide-on-anti-corruption-internal-investigations/.

Cleary Gottlieb Steen & Hamilton LLP, Assessing Risks and Potential Liability in Responding to a Crisis, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 22, 2019), https://wp.nyu.edu/compliance_enforcement/2019/07/22/assessing-risks-and-potential-liability-in-responding-to-a-crisis/.

Cleary Gottlieb Steen & Hamilton LLP, Disclosure and Notification Considerations When Managing a Crisis, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 31, 2019), https://wp.nyu.edu/compliance_enforcement/2019/07/31/disclosure-and-notification-considerations-when-managing-a-crisis/.

Daniel R. Alonso et al., Resisting Temptation in a Crisis: Making Sure Ethics and Compliance Don’t Get Diluted Under Financial Strain, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 16, 2020), https://wp.nyu.edu/compliance_enforcement/2020/06/16/resisting-temptation-in-a-crisis-making-sure-ethics-and-compliance-dont-get-diluted-under-financial-strain/.

Kara Brockmeyer et al., Safeguarding Corporate Compliance Programs During the COVID-19 Crisis, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 6, 2020), https://wp.nyu.edu/compliance_enforcement/2020/05/06/safeguarding-corporate-compliance-programs-during-the-covid-19-crisis/.

Lee Dunst et al., When Whistleblowers Call: Planning Today for Employee Complaints During and After the COVID-19 Crisis, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 8, 2020), https://wp.nyu.edu/compliance_enforcement/2020/04/08/when-whistleblowers-call-planning-today-for-employee-complaints-during-and-after-the-covid-19-crisis/.

Maria T. Vullo, Moving on from Three Bank Failures: Addressing Concentration Risk, Contagion, and Moral Hazard, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 15, 2023), https://wp.nyu.edu/compliance_enforcement/2023/03/15/moving-on-from-three-band-failures-addressing-concentration-risk-contagion-and-moral-hazard/.

Martine M. Beamon et al., How the SEC Enforcement Division Responds to a Crisis, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 27, 2020), https://wp.nyu.edu/compliance_enforcement/2020/03/27/how-the-sec-enforcement-division-responds-to-a-crisis/.

Satish M. Kini et al., BSA/AML and KYC in a Crisis: Supervisors Provide Guidance as Financial Institutions Respond to the COVID-19 Pandemic, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 15, 2020), https://wp.nyu.edu/compliance_enforcement/2020/04/15/bsa-aml-and-kyc-in-a-crisis-supervisors-provide-guidance-as-financial-institutions-respond-to-the-covid-19-pandemic/.

Presentation: Climate Change Legal Issues Relevant to Directors

John F. Savarese et al., Supreme Court Rejects Challenge to California Law Alleged to Burden Out-of-State Industry, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 17, 2023), https://wp.nyu.edu/compliance_enforcement/2023/05/17/supreme-court-rejects-challenge-to-california-law-alleged-to-burden-out-of-state-industry/.

Marion Leydier et al., New York Department of Financial Services Issues Final Guidance on Managing the Financial Risks of Climate Change for Insurers, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 8, 2021), https://wp.nyu.edu/compliance_enforcement/2021/12/08/new-york-department-of-financial-services-issues-final-guidance-on-managing-the-financial-risks-of-climate-change-for-insurers/

Peggy Otum et al., Recent Developments in Environmental Justice Enforcement and Permitting, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 4, 2021), https://wp.nyu.edu/compliance_enforcement/2021/10/04/recent-developments-in-environmental-justice-enforcement-and-permitting/.

Breakout Sessions

Cybersecurity

Alexander Southwell et al., The Biden Administration Signals New Direction for Cybersecurity, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (May 3, 2023), https://wp.nyu.edu/compliance_enforcement/2023/05/03/the-biden-administration-signals-new-direction-for-cybersecurity/.

Caleb Skeath et al., FTC Publishes Blog Post on Data Security Practices for Complex Systems, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 26, 2023), https://wp.nyu.edu/compliance_enforcement/2023/03/26/ftc-publishes-blog-post-on-data-security-practices-for-complex-systems/.

Kathleen McGee et al., Biden Administration Aims to Shift Liability for Cyberattacks to Software Developers, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 12, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/12/biden-administration-aims-to-shift-liability-for-cyberattacks-to-software-developers/.

Robert Maddox & Tristan Lockwood, EU Digital Operational Resilience Act (DORA): Management Obligations and the Role of the Board, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 24, 2023), https://wp.nyu.edu/compliance_enforcement/2023/04/24/eu-digital-operational-resilience-act-dora-management-obligations-and-the-role-of-the-board/.

Governance Challenges Arising from Mergers & Acquisitions

Edward D. Herlihy et al., Financial Institutions M&A 2022: Navigating Challenges, Realizing Opportunities, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Aug. 12, 2023), https://wp.nyu.edu/compliance_enforcement/2022/08/12/financial-institutions-ma-2022-navigating-challenges-realizing-opportunities/.

Illene Knable Gotts et al., FTC and DOJ Propose Fundamental Revision of Merger Guidelines, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Aug. 9, 2023), https://wp.nyu.edu/compliance_enforcement/2023/08/09/ftc-and-doj-propose-fundamental-revision-of-merger-guidelines/.

Illene Knable Gotts et al., FTC Proposes Sweeping Changes to HSR Reporting Obligations, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 6, 2023), https://wp.nyu.edu/compliance_enforcement/2023/07/06/ftc-proposes-sweeping-changes-to-hsr-reporting-obligations/.

Conversation with a General Counsel and a Chief Compliance Officer

Brendan F. Quigley & Heather Souder Choi, General Counsel Publicly Reprimanded: PA Supreme Court Ruling Serves as Stark Reminder of Potential Ethical Issues in Government Investigations, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 4, 2020), https://wp.nyu.edu/compliance_enforcement/2020/03/04/general-counsel-publicly-reprimanded-pa-supreme-court-ruling-serves-as-stark-reminder-of-potential-ethical-issues-in-government-investigations/.

Cleary Gottlieb Steen & Hamilton LLP, Before You Press Send: Protecting Privilege and Complying with Limitations on Data Dissemination When Responding to an Investigative Request, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 3, 2019), https://wp.nyu.edu/compliance_enforcement/2019/10/03/before-you-press-send-protecting-privilege-and-complying-with-limitations-on-data-dissemination-when-responding-to-an-investigative-request/.

Greg D. Andres et al., DOJ Announces Compliance Certifications to Be Considered as Part of Corporate Criminal Resolutions, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 6, 2022), https://wp.nyu.edu/compliance_enforcement/2022/04/06/doj-announces-compliance-certifications-to-be-considered-as-part-of-corporate-criminal-resolutions/.

Pat Campbell et al., New York City Bar Association Releases Report on CCO Liability: Four Recommendations for Regulators, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Sept. 28, 2020), https://wp.nyu.edu/compliance_enforcement/2020/09/28/new-york-city-bar-association-releases-report-on-cco-liability-four-recommendations-for-regulators/.

Compensation Issues for Boards

Andrew Tangel, Boeing Board Denies CEO David Calhoun a Performance Bonus, Wall St. J. (Mar. 3, 2023 5:16 pm), https://www.wsj.com/articles/boeing-board-denies-ceo-david-calhoun-a-performance-bonus-3a3a6c74.

Carmi Schickler, An Alternative to Clawbacks: William Dudley’s 2014 Proposal for Deferred Compensation at Financial Institutions, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (June 1, 2017), https://wp.nyu.edu/compliance_enforcement/2017/06/01/an-alternative-to-clawbacks-william-dudleys-2014-proposal-for-deferred-compensation-at-financial-institutions/.

CFPB, Consumer Financial Protection Bureau Fines Wells Fargo $100 Million for Widespread Illegal Practice of Secretly Opening Unauthorized Accounts (Sept. 8, 2016), https://www.consumerfinance.gov/about-us/newsroom/consumer-financial-protection-bureau-fines-wells-fargo-100-million-widespread-illegal-practice-secretly-opening-unauthorized-accounts/.

Eric J. Kadel et al., DOJ, BIS and OFAC Release Guidance on Voluntary Self-Disclosures, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Aug. 2, 2023), https://wp.nyu.edu/compliance_enforcement/2023/08/02/doj-bis-and-ofac-release-guidance-on-voluntary-self-disclosures/.

Jennifer Arlen, The Compliance Function, in The Oxford Handbook of Corporate Law and Governance (2d ed., forthcoming in 2023).

Kara Brockmeyer et al., DOJ Issues Trio of Updates that Further Heighten Compliance Expectations, Particularly Involving Off-System Communications and Compensation Systems, Debevoise & Plimpton (Mar. 6, 2023), https://www.debevoise.com/insights/publications/2023/03/doj-issues-trio-of-updates-that-further-heighten.

Kenneth A. Polite Jr., Assistant Att’y Gen., U.S. Dep’t of Just., Keynote Address at the ABA’s 38th Annual National Institute on White Collar Crime, Department of Justice (Mar. 3, 2023), https://www.justice.gov/opa/speech/assistant-attorney-general-kenneth-polite-jr-delivers-keynote-aba-s-38th-annual-national.

Lisa Monaco, Deputy Att’y Gen., U.S. Dep’t of Just., Remarks at American Bar Association National Institute on White Collar Crime (Mar. 2, 2023), https://www.justice.gov/opa/speech/deputy-attorney-general-lisa-monaco-delivers-remarks-american-bar-association-national.

U.S. Dep’t of Just., Evaluation of Corporate Compliance Programs (Mar. 2023), https://www.justice.gov/criminal-fraud/page/file/937501/download.