Conference Description
May 8, 2015
This one-day conference brought together academics, compliance officials, risk-management officers, general counsels, enforcement officials, and private attorneys to discuss principles of effective compliance, optimal compliance objectives, balancing the requirements of compliance programs with fundamental business objectives, and understanding both organizational structure and organizational behavior in achieving compliance with the law. From an enforcement perspective, the conference considered how enforcement policy can best be structured to support, promote, and reward effective corporate compliance efforts. The afternoon presentation, “ALI Principles of the Law, Compliance, Enforcement, and Risk Management for Corporations, Nonprofits and Other Organizations,” focused on the development of a comprehensive legal treatise on the laws of compliance, enforcement, risk management, and governance.
Conference Agenda (PDF: 5.33 MB)
Keynote Speaker:
Donald C. Langevoort, Thomas Aquinas Reynolds Professor of Law, Georgetown University School of Law
Professor Langevoort's slides can be downloaded by clicking here (PDF: 170 KB)
Presentations and Panels:
Panel 1: Principles of Effective Compliance
Moderator: Geoffrey Miller, Stuyvesant P. Comfort Professor of Law and Faculty Director, Program on Corporate Compliance and Enforcement, NYU School of Law
Panelists
- Jeff Benjamin, Senior Vice President, General Counsel and Chief Ethics & Compliance Officer, Avon Products, Inc.
- Kathryn Reimann, Chief Compliance Officer, Global Consumer Group, Citigroup Inc.
- Jeffrey Knox, Partner, Simpson Thacher & Bartlett
- Jules Kroll, Chairman and CEO, Kroll Bond Ratings
Panel 2: Who’s in Charge? The Interplay of Corporate Control Offices in Achieving Effective Compliance
Moderator: James Fanto, Gerald Baylin Professor of Law, Brooklyn Law School
Panelists
- Martine Beamon, Partner, Davis Polk & Wardwell
- E. Scott Gilbert, Senior Vice President and Chief Risk & Compliance Officer, Marsh & McLennan Companies
- Lisa Polsky, Executive Vice President and Chief Risk Officer, CIT Group
Panel 3: Attaining Reasonable and Effective Compliance: An Enforcement Perspective
Moderator: Jennifer Arlen ’86, Norma Z. Paige Professor of Law and Faculty Co-Director, Program on Corporate Compliance and Enforcement, New York University School of Law
Panelists
- Daniel Alter, Senior Fellow, NYU Law Program on Corporate Compliance and Enforcement and former General Counsel, New York State Department of Financial Services
- Andrew Ceresney, Director, Division of Enforcement, Securities and Exchange Commission
- Marshall Miller, Acting Principal Deputy Assistant Attorney General and Chief of Staff, Criminal Division, United States Department of Justice
- John Savarese, Partner, Wachtell, Lipton, Rosen & Katz
- Richard Zabel, Deputy United States Attorney for the Southern District of New York
Keynote Address:
Donald C. Langevoort, Thomas Aquinas Reynolds Professor, Georgetown University Law Center
Panel 4: ALI Principles of the Law, Compliance, Enforcement, and Risk Management for Corporations, Nonprofits and Other Organizations.
- Compliance Chief Reporter Geoffrey Miller
- Risk Management Associate Reporter Claire Hill, James L. Krusemark Chair in Law, University of Minnesota Law School
- Corporate Governance: Associate Reporter James Fanto
- Enforcement: Associate Reporter Jennifer Arlen