2024 PCCE 10th Anniversary Spring Conference

Join us for on April 15th, 2024 for PCCE's 10th Anniversary Conference as we discuss the evolution of corporate enforcement policy over the past ten years and consider how the field of compliance has evolved to meet the challenges of global, technological and social change. Networking breaks and lunch are included.

This event is now full. If you are interested in joining a waitlist, please contact Carolyn Pautz.

We expect this free event, appropriate for newly admitted and experienced attorneys, to be approved for 6 NYS CLE credits.

April 15th, 2024 (Contact us for information on registration and location.)

8:30am – 9:00am – Registration

9:00am – 9:05am – Welcome and PCCE Rule

9:05am – 9:30am – Presentation on Compliance and Enforcement with Jennifer Arlen, Faculty Director, PCCE

9:35am – 10:25am – Keynote and Fireside Chat with Damian Williams, U.S. Attorney for the Southern District of New York, moderated by Joseph Facciponti, Executive Director, PCCE

10:25am – 10:45am – Networking Break

10:45am – 11:55am – Panel One: Whistleblowers: How to Induce Reporting to Reveal Corporate Misconduct

Stephanie Avakian, Partner, WilmerHale LLP
Miriam Baer, Vice Dean and Centennial Professor of Law, Brooklyn Law School
Daniel Gitner, Chief, Criminal Division, SDNY
Erika Kelton, Partner, Phillips & Cohen LLP

12:05pm – 1:35pm – Networking Lunch, Dean’s Remarks: Troy McKenzie

Panel Two: PCCE’s 10th Anniversary Enforcement Panel, moderated by Jennifer Arlen

Martine Beamon, Partner, Davis Polk & Wardwell
Andrew Ceresney, Partner, Debevoise & Plimpton LLP
Marshall Miller, Principal Associate Deputy Attorney General, DOJ
Andrew Weissmann, Professor of Practice, NYU School of Law

1:50pm – 2:45pm – Keynote Speech with Gurbir Grewal, Director of Enforcement, Securities and Exchange Commission

2:45pm – 3:05pm – Networking Break

3:05pm – 4:15pm – Panel Three – Corporate Compliance Programs: What’s Worked and What Can Be Improved? Moderated by Tim Lindon '80, Senior Fellow, PCCE

Christina Dugger, Managing Director, JPMorgan Chase
Dr. Andreas Pohlmann, Founding Partner, Pohlmann & Company
Michele Siano, Executive Vice President and Chief Compliance Officer MetLife, Inc
Sung-Hee Suh, General Counsel, PIMCO

4:20pm – 5:10pm – Keynote Speech with Nicole Argentieri, Principal Deputy Assistant Attorney General, Criminal Division, DOJ

5:10pm – 6:00pm – Networking Reception

Keynotes

Nicole Argentieri, Principal Deputy Assistant Attorney General, Criminal Division, DOJ

Nicole M. Argentieri supervises the Division’s more than 1,400 federal prosecutors and staff members who conduct investigations and prosecutions involving organized and transnational crime, violent crime, cybercrime, public corruption, money laundering, securities fraud, health care fraud, Foreign Corrupt Practices Act violations, Bank Secrecy Act and sanctions offenses, child exploitation, international narcotics trafficking, human rights violations, intellectual property theft, and other crimes, as well as matters involving international affairs and sensitive law enforcement techniques. Ms. Argentieri joined the Criminal Division in May 2022 as Chief of Staff to Assistant Attorney General Kenneth A. Polite, Jr. Ms. Argentieri also served as the Criminal Division’s Acting Assistant Attorney General. Ms. Argentieri previously served in the Justice Department for over a decade as an Assistant U.S. Attorney in the Eastern District of New York, where she was Chief of the Public Integrity Section among other leadership positions.

Martine Beamon, Partner, Davis Polk

Martine is co-head of Davis Polk’s White Collar Defense & Investigations practice, and ranked in Band 1 by Chambers. A former federal prosecutor for the Southern District of New York, she represents clients in grand jury, regulatory and internal investigations involving allegations of securities fraud, workplace misconduct, tax fraud, foreign corrupt practices, money laundering, pharmaceutical and medical device marketing and anti-kickback law violations. She also advises companies and boards on governance and compliance. Her complex civil matters have involved allegations under consumer protection and whistleblower provisions, the False Claims Act, and other state and federal statutes. Beamon is a member of the Women in Law Empowerment Forum’s Global Advisory Board and sits on the boards of the Federal Defenders of New York and of Prisoners’ Legal Services of New York. Beamon received her J.D. from the University of Pittsburgh School of Law and her B.A. from the University of Notre Dame.

Andrew Cerseny, Partner, Debevoise & Plimpton LLP

Andrew Ceresney is a partner in Debevoise & Plimpton’s New York office and Co-Chair of the Litigation Department. He represents public companies, financial institutions, asset management firms, accounting firms, boards of directors, and individuals in federal and state government investigations and contested litigation in federal and state courts. Mr. Ceresney has many years of experience prosecuting and defending a wide range of white collar and securities criminal and civil cases, having served as Director of Enforcement at the United States Securities and Exchange Commission from 2013-2016 and as an Assistant United States Attorney and Deputy Chief of Appeals at the U.S. Attorney’s Office for the Southern District of New York from 1998-2003. Mr. Ceresney received his J.D. in 1996 from Yale Law School.

Gurbir Grewal, Director of Enforcement, Securities and Exchange Commission

Gurbir Grewal is the Director of the SEC’s Division of Enforcement. Immediately before joining the Commission, Gurbir was the Attorney General for the State of New Jersey. Prior to that, he served as the Bergen County Prosecutor, the chief law enforcement officer for New Jersey’s most populous county. Earlier in his career, Gurbir served as an Assistant United States Attorney for the District of New Jersey, where he was Chief of the Economic Crimes Unit, and an Assistant United States Attorney for the Eastern District of New York, where he was assigned to the Business and Securities Fraud Unit. He was also an attorney in private practice. He holds a J.D. from the College of William & Mary, Marshall-Wythe School of Law, and a B.S. in Foreign Service from the Georgetown University School of Foreign Service.

Marshall Miller, Prinicipal Associate Deputy Attorney General, DOJ

Marshall L. Miller is the Principal Associate Deputy Attorney General (PADAG) of the United States. In this role, he is a member of the Department of Justice senior leadership team and is the principal counselor to the Deputy Attorney General. As PADAG, Miller helps oversee all DOJ components, which include, among others, the 94 U.S. Attorneys’ Offices, the Criminal Division, the National Security Division, and the Department’s law enforcement bureaus. Prior to rejoining the Department of Justice, Miller was a partner at Kaplan Hecker & Fink. He earned both his J.D. and B.A. from Yale.

Andrew Weissmann, Professor of Practice, NYU School of Law

Andrew Weissmann has had a long and distinguished career in public service. From 2017 to 2019, he served as a lead prosecutor in Robert S. Mueller’s Office of Special Counsel and also as Chief of the Fraud Section of the Department of Justice. From 2011 to 2013, he served as General Counsel for the FBI. From 2002 to 2005, he served as the Deputy and then the Director of the Enron Task Force. Weissmann was a federal prosecutor for 15 years in the Eastern District of New York, where he served as the Chief of the Criminal Division. He has a J.D. from Columbia Law School and a B.A. from Princeton University and attended the University of Geneva on a Fulbright Fellowship.

Damian Williams, U.S. Attorney, SDNY

Nominated in August 2021 and confirmed by the United States Senate in October 2021, Mr. Williams is the chief federal law enforcement officer for the Southern District of New York. Mr. Williams also serves as Chair of the Attorney General’s Advisory Committee (AGAC), a select group of United States Attorneys who advise the Attorney General on matters of policy, procedure, and management. Damian holds degrees from Harvard University, the University of Cambridge, and Yale Law School. He served as a law clerk to Justice John Paul Stevens at the United States Supreme Court and Judge Merrick B. Garland at the United States Court of Appeals for the D.C. Circuit.

CLE Materials

Event Description: PCCE’s 10th anniversary conference brings together academics, government officials, general counsel, compliance officers, and expert external counsel for an off-the-record analysis of efforts by government enforcement officials to update policies on individual enforcement, whistleblowers, and organizational reform efforts in order to more effectively deter corporate crime. The conference begins with an assessment of potential reforms for corporate enforcement policy and compliance by PCCE’s Faculty Director and Founder, Jennifer Arlen. A keynote discussion and fireside chat by Andrea Griswold, the Deputy U.S. Attorney for the Southern District of New York, will follow. The first panel will discuss whistleblower policies and whether they have been effective in encouraging disclosures of misconduct by corporations, as well as the SDNY’s new individual NPA policy. During the networking lunch, a special 10th anniversary panel will explore the past decade of corporate enforcement policy reform and what future changes should be considered. Following lunch, Gurbir Grewal, the SEC Director of Enforcement, will give a keynote talk and fireside chat, followed by a panel focused on corporate compliance program reforms. The conference will conclude with a keynote and fireside chat with Nicole Argentieri, Principal Deputy Assistant Attorney General for the DOJ’s Criminal Division.

Fee and Level of Difficulty: This free event does require pre-registration and is appropriate for newly admitted and experienced attorneys.

Sponsoring Program: Program on Corporate Compliance and Enforcement at NYU School of Law

Format: This conference will be presented in the “traditional” in person format and will not be streamed virtually. Attendees will be provided log-in sheets.

Category of Credit: Approval is pending for up to 6 New York State CLE credits for attendance at the entire event.

Speaker Bios

9:05am – 9:30 am Panel: Presentation on Compliance and Enforcement

Speaker: Jennifer Arlen ’86, Faculty Director, PCCE

Jennifer Arlen '86 is the Norma Z. Paige Professor of Law at New York University School of Law and is the founder and Director of the Program on Corporate Compliance and Enforcement. She also is the Director of the Center for Law, Economics and Organization. She teaches Business Crime, Corporations, a seminar on Corporate Crime and Financial Misdealing: Legal and Policy Analysis, and the Colloquium on the Economic Analysis of Law. Professor Arlen's scholarship focuses on corporate liability, experimental economics, and medical malpractice. Her corporate liability scholarship includes theoretical and empirical analysis and focuses on how to structure individual and corporate liability for securities fraud and corporate crime to deter corporate crime. Professor Arlen earned her BA from Harvard University (magna cum laude in Economics) and earned both a JD (Order of the Coif) and a PhD in Economics from New York University. She also clerked for the Honorable Phyllis Kravitch of the US Court of Appeals for the Eleventh Circuit.

9:35am – 10:25am Keynote and Fireside Chat with Andrea Griswold, Deputy U.S. Attorney for the Southern District of New York, moderated by Joseph Facciponti, Executive Director, PCCE

Moderator: Joseph Facciponti, Executive Director, PCCE

Joseph Facciponti is a former federal prosecutor and in-house legal department leaderwhose experience is in white-collar defense, internal investigations, cybersecurity, and data privacy. For nine years, Facciponti served as a federal prosecutor at the SDNY, where he handled cases involving computer hacking, fraud, money laundering, and intellectual property theft. In 2010, he received an FBI Director’s Award for outstanding cyber investigation. After leaving the SDNY, Facciponti held a supervisory position in the legal department of HSBC, where he was responsible for leading global internal investigations, advising HSBC on remedial measures and compliance policy changes, and advocating for the bank before U.S. and foreign regulators and HSBC’s monitor. Prior to joining PCCE, Facciponti spent six years in private practice counseling corporate clients on financial crime, cybersecurity, and data privacy issues. Facciponti is also an adjunct professor at NYU School of Law and Cornell Law School. He holds a JD from Cornell Law School (magna cum laude, Order of the Coif) and holds a BA in Philosophy from Yale University.

Speaker: Andrea Griswold, Deputy U.S. Attorney, SDNY

Andrea Griswold is the Deputy United States Attorney for the Southern District of New York. From April 2022 until her appointment as the Deputy United States Attorney in May 2023, Ms. Griswold served as the Chief Counsel to the United States Attorney. From June 2020 until June 2022, Ms. Griswold served as a Chief of the Securities and Commodities Fraud Task Force, first as the Deputy Chief and then as the Chief or Co-Chief. During this two-year period, Ms. Griswold supervised a series of significant individual and corporate investigations and prosecutions relating to market manipulation, insider trading, investor fraud, and accounting and valuation fraud. Many of the cases brought under Ms. Griswold’s leadership focused on private funds, SPACs, cryptocurrency and digital assets. Prior to becoming a Chief of the Securities and Commodities Fraud Task Force, Ms. Griswold investigated and prosecuted a wide variety of significant securities fraud and public corruption cases, and also served as an Acting Chief of the Narcotics Unit. Ms. Griswold began her career as an Assistant U.S. Attorney in the Office in March 2013. Prior to her public service, Ms. Griswold worked for more than five years as an associate at Simpson Thacher & Bartlett LLP. Ms. Griswold received her B.A. cum laude from Georgetown University and her J.D. from New York University School of Law.

10:45am – 11:55am Panel: Whistleblowers: How to Induce Reporting to Reveal Corporate Misconduct

Moderator: Joseph Facciponti, Executive Director, PCCE

Panelists:

Stephanie Avakian, Partner, WilmerHale

As the former Director of the SEC’s Division of Enforcement, Stephanie Avakian is well positioned to help clients address the enforcement, governance and compliance issues presented by today’s markets. With decades of experience in government and private practice, she leads the firm’s Securities and Financial Services Department in counseling and defending public companies, investment banks, asset management firms, accounting firms, boards of directors and individual executives through the challenges of government investigations. As Director of the SEC’s Enforcement Division, Stephanie oversaw a wide range of issues including insider trading, financial fraud and disclosure violations, auditor and accounting issues, market structure, asset management, and the FCPA. She also led the Enforcement Division in confronting novel issues at the forefront of the markets today, such as initial coin offerings, digital assets and cybersecurity. She also worked closely with other leaders at numerous federal, foreign and state agencies including the Department of Justice, CFTC, FINRA, CFPB, UK Financial Conduct Authority and Office of the New York Attorney General. She received her law degree from Temple University – James E. Beasley School of Law.

Miriam Baer, Vice Dean and Centennial Professor, Brooklyn Law School

Miriam Baer is the Vice Dean and Centennial Professor of Law at Brooklyn Law School, where she teaches and writes at the intersection of business law and criminal misconduct. She is the author of the recently released book, Myths and Misunderstandings of White-Collar Crime (Cambridge University Press, 2023), as well as numerous articles and book chapters on whistleblowing, corporate surveillance, and federal enforcement. Her work has been cited or excerpted in casebooks, treatises, and federal appellate judicial opinions. Prior to entering academia, Baer was an assistant general counsel for compliance with Verizon and a federal prosecutor in Manhattan, where she developed expertise in investigating and prosecuting white-collar crime. She is a co-editor of a leading white-collar crime casebook and study aide and has been quoted frequently by national media outlets. She received her J.D. from Harvard University.

Daniel Gitner, Chief, Criminal Division, SDNY

Daniel M. Gitner is the Chief of the Criminal Division in the United States Attorney’s Office for the Southern District of New York. Mr. Gitner returned to the Office to assume that role on November 22, 2021. Mr. Gitner was previously an Assistant United States Attorney in the Office for approximately eight years, from 1997 to 2005, serving in the Criminal Division. From 2003 to 2005, Mr. Gitner was Chief of the General Crimes Unit. During his tenure, Mr. Gitner received the Justice Department’s Director’s Award for Superior Performance, and in 2003 the Federal Law Enforcement Foundation named him the Federal Prosecutor of the Year. From 2005 to 2021, Mr. Gitner was a partner at Lankler Siffert & Wohl LLP, where he represented individuals and entities in white collar criminal and regulatory matters. He is a fellow of the American College of Trial Lawyers. Mr. Gitner graduated cum laude from Cornell University in 1992 and as a Harlan Fiske Stone Scholar from Columbia Law School in 1995. Upon graduation from law school, Mr. Gitner served as a law clerk to the Honorable Naomi Reice Buchwald and then to the Honorable Barbara S. Jones, both of the United States District Court in the Southern District of New York.

Erika Kelton, Partner, Phillips & Cohen LLP

Erika Kelton is a recognized international whistleblower attorney and partner with the firm Phillips & Cohen LLP. Her cases have returned billions to the government, including two of the largest healthcare fraud settlements ever, a settlement with GlaxoSmithKline for $3 billion, the largest Medicare fraud and Medicaid fraud settlement ever made and a case against Pfizer for illegally marketing the painkiller, Bextra, which Pfizer paid $1.8 billion to settle. Kelton has won the most awards for whistleblowers under the SEC and CFTC whistleblower award programs, earning 17 awards for her whistleblower clients, including an award for a combined $40 million from the SEC for international clients, likely the largest SEC award made ever to international whistleblowers. In 2023, Kelton was recognized as a “Legal Legend” by Lawdragon magazine as a top-tier whistleblower attorney. She received her J.D. from University California – Berkeley.

Brent Wible, Acting Senior Counselor, Criminal Division, DOJ

Brent Wible serves as Acting Senior Counselor in the Department of Justice’s Criminal Division, the Division’s second-highest ranking official. Previously, he served as Chief of the DOJ’s Money Laundering and Asset Recovery Section, Acting Co-Principal Deputy Chief of the Fraud Section, as an Assistant Chief in both the Fraud Section’s Foreign Corrupt Practices Act Unit and its Securities and Financial Fraud Unit, and as an Assistant U.S. Attorney in the U.S. Attorney’s Office for the Southern District of New York. He also previously served in the White House Counsel’s Office, as Senior Counsel and Special Assistant to the President, and worked in private practice for several years. Before joining the Department, Brent clerked for the Honorable Sonia Sotomayor of the U.S. Court of Appeals for the Second Circuit and the Honorable Allyne Ross of the U.S. District Court for the Eastern District of New York. He received his J.D. from Yale Law School.

12:05pm – 1:35pm – Dean’s Remarks: Troy McKenzie

Panel Two: PCCE’s 10th Anniversary Enforcement Panel

Moderator: Jennifer Arlen

Panelists:

Martine Beamon, Partner, Davis Polk & Wardwell

Andrew Ceresney, Partner, Debevoise & Plimpton

Marshall Miller, Principal Associate Deputy Attorney General, DOJ

Andrew Weissmann, Professor of Practice, NYU School of Law

1:50pm – 2:45pm – Keynote Speech with Gurbir Grewal, Director of Enforcement, Securities and Exchange Commission

Moderator: Jennifer Arlen

Speaker:

Gurbir Grewal, Director of Enforcement, Securities and Exchange Commission

3:05pm – 4:15pm – Panel Three – Corporate Compliance Programs: What’s Worked and What Can Be Improved?

Moderator: Tim Lindon '80, Senior Fellow, PCCE

Timothy Lindon is a Senior Fellow of PCCE and an Adjunct Professor at the NYU School of Law, where he co-teaches Compliance and Risk Management for Attorneys. He is a Senior Advisor to the Ethics & Compliance Initiative and the Association of Professional Social Compliance Officers. Mr. Lindon is certified as an Executive Coach by the International Coaching Federation, and leads Peer Leadership Groups for Chief Ethics and Compliance Officers. He has broad experience in legal and compliance leadership roles in the U.S., Europe, and Asia, including as global Vice President and Chief Compliance Officer of Philip Morris International, based in Switzerland. Previously, Lindon held senior corporate and litigation positions for Philip Morris in Hong Kong, New York, and Washington, D.C. He clerked for the Honorable John D. Butzner Jr. of the U.S. Court of Appeals for the Fourth Circuit, and began his legal career at Arnold & Porter in Washington D.C. Mr. Lindon received his J.D. from NYU School of Law, where he was a Root Tilden Scholar, and a B.A from Tufts University.

Panelists:

Matt Galvin, Compliance and Data Analytics Counsel, Criminal Division, DOJ

Matt Galvin is the Compliance and Data Analytics Counsel for the Fraud Section, Criminal Division, Department of Justice. Matt served as the Chief Compliance Officer for AB InBev, one of the world’s leading FMCG companies after spending over a decade in leading international law firms. Matt is recognized as a leader in developing effective, measurable compliance programs and integrating data analytics, behavioral psychology and common sense into compliance frameworks, having won several awards for innovation in the practice of law from the Financial Times, New York Law Journal, American Lawyer and other publications. Matt has held faculty and research positions at MIT, Harvard Business School, Sorbonne Law School and Fordham Law and frequently lectures on disruptive technology in law. He is a graduate of Georgetown Law.

Dr. Andreas Pohlmann, Founding Partner, Pohlmann & Company

Andreas Pohlmann is a partner at Pohlmann & Company, a law and consulting firm based in Frankfurt and Munich. From 2007 to 2010 he was Chief Compliance Officer of Siemens AG. In 2013 and 2014 Pohlmann served as Chief Compliance Officer and member of the executive committee of SNC-Lavalin Group in Montreal. From 2015 until 2018 Pohlmann has been a member of the Special Investigation Committee of Petrobras in Rio de Janeiro to oversee the company’s independent investigation. From 2016 until October 2019 Pohlmann has been the Independent Compliance Monitor for VEON in the Netherlands. Since 2020 he serves as Independent Compliance Monitor for Ericsson in Sweden. He received his law degress from Goethe University Frankfurt and the District Court of Frankfurt.

Michele Siano, Executive Vice President and Chief Compliance Officer MetLife, Inc

Michele Siano is executive vice president and chief compliance officer of MetLife, Inc. She is part of the Global Risk Management organization. Michele joined MetLife in February 2020 from Citi, where she held a number of leadership positions with extensive experience in managing global compliance risks. Most recently, she served as managing director and chief operating officer for Citi’s Global Independent Compliance Risk Management department and chief compliance officer of Ethics and Conduct Risk Management. She also played a key role in leading compliance transformation efforts to develop consistent, efficient, and relevant global compliance coverage. Prior to joining Citi in 2003, Michele was a corporate vice president at UBS Financial Services in the Regulatory Legal Group. She started her career as an associate at the law firm of Davis Polk & Wardwell. Michele earned her law degree from Brooklyn Law School, and master’s and bachelor’s degrees from New York University.

Sung-Hee Suh, General Counsel, PIMCO

Ms. Suh is the Global General Counsel at PIMCO. Previously, she was PIMCO’s General Counsel for Global Regulatory and Litigation, and before that, its Global Head of Regulatory Risk and Compliance. Before joining PIMCO in 2018, she was a partner at the law firm of White & Case, where she was head of its New York white collar and investigations practice. Prior to that, Ms. Suh served as a Deputy Assistant Attorney General in the Criminal Division of the U.S. Department of Justice, where she oversaw the Fraud, Appellate and Capital Case Sections. Previous roles include litigation partner at the law firm of Schulte Roth & Zabel and Deputy Chief of the Organized Crime and Racketeering Section in the U.S. Attorney’s Office for the Eastern District of New York. She graduated from Harvard College and Harvard Law School.

4:20pm – 5:10pm – Keynote Speech with Nicole Argentieri, Principal Deputy Assistant Attorney General, Criminal Division, DOJ

Moderator: Jennifer Arlen, Faculty Director, PCCE

Speaker: Nicole Argentieri, Principal Deputy Assistant Attorney General, Criminal Division, DOJ

Nicole M. Argentieri supervises the Division’s more than 1,400 federal prosecutors and staff members who conduct investigations and prosecutions involving organized and transnational crime, violent crime, cybercrime, public corruption, money laundering, securities fraud, health care fraud, Foreign Corrupt Practices Act violations, Bank Secrecy Act and sanctions offenses, child exploitation, international narcotics trafficking, human rights violations, intellectual property theft, and other crimes, as well as matters involving international affairs and sensitive law enforcement techniques. Ms. Argentieri joined the Criminal Division in May 2022 as Chief of Staff to Assistant Attorney General Kenneth A. Polite, Jr. Ms. Argentieri previously served in the Justice Department for over a decade as an Assistant U.S. Attorney in the Eastern District of New York, where she was Chief of the Public Integrity Section among other leadership positions.

CLE Panel Descriptions and Bibliography

9:05am – 9:30 am Panel: Presentation on Compliance and Enforcement (25 minutes)

Presentation Description: The lecture/presentation will discuss purposes of corporate criminal liability and features of the enforcement system that existed when PCCE was created and how these features were failing to deter business crime. The presentation will then address what has changed during the past ten years and place particular focus on emerging areas of reform.

Jennifer Arlen & Samuel W. Buell, The Law of Corporate Investigations and the Global Expansion of Corporate Criminal Enforcement, 93 S. Cal. L. Rev. 697 (2020). https://scholarship.law.duke.edu/faculty_scholarship/4028/

Jennifer Arlen. Evolution of Director Oversight Duties and Liability under Caremark: Using Enhanced Information-Acquisition Duties in the Public Interest. NYU Law and Economics Research Paper No. 23-05. https://papers.ssrn.com/sol3/papers.cfm?abstract_id=4202830

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.

Deputy Attorney General Lisa Monaco Delivers Remarks at American Bar Association National Institute on White Collar Crime, Department of Justice (Mar. 2, 2023), https://www.justice.gov/opa/speech/deputy-attorney-general-lisa-monaco-delivers-remarks-american-bar-association-national.

Anouck Giovanola & Justin Spiegel, The First FCPA Pilot Program Declinations: Initial Returns and Unanswered Questions, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (July 6, 2016), https://wp.nyu.edu/compliance_enforcement/2016/07/06/the-first-fcpa-pilot-program-declinations-initial-returns-and-unanswered-questions/

Jane A. Levine, What the DOJ’s New Corporate Enforcement Policies Mean to Compliance Officers, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & ENF’T Blog (Sept 25, 2022), https://wp.nyu.edu/compliance_enforcement/2022/09/25/what-the-dojs-new-corporate-enforcement-policies-mean-to-compliance-officers

Joshua A. Naftalis et al., SDNY Announces Whistleblower Pilot Program to Incentivize Self-Disclosure of Financial Fraud and Public Corruption, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 23, 2024), https://wp.nyu.edu/compliance_enforcement/2024/01/23/sdny-announces-whistleblower-pilot-program-to-incentivize-self-disclosure-of-financial-fraud-and-public-corruption/

Kenneth A. Polite, Assistant Att’y Gen., U.S. Dep't of Just., Prepared Remarks by U.S. Assistant Attorney General Polite at the NYU Law Program on Corporate Compliance and Enforcement (Mar. 25, 2022), in NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & ENF’T Blog, https://wp.nyu.edu/compliance_enforcement/2022/03/29/prepared-remarks-by-u-s-assistant-attorney-general-polite-at-the-nyu-law-program-on-corporate-compliance-and-enforcement/

Assistant Attorney General Kenneth A. Polite, Jr. Delivers Keynote 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.

Max Rodriguez, A Thousand Pilot Programs Bloom: DOJ Pushes Forward to Further Welcome Whistleblowers, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar, 23, 2024), https://wp.nyu.edu/compliance_enforcement/2024/03/23/a-thousand-pilot-programs-bloom-doj-pushes-forward-to-further-welcome-whistleblowers/

Walt Pavlo, The Yates Memo: The Promise and Reality A Year Later, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Nov. 2, 2016), https://wp.nyu.edu/compliance_enforcement/2016/11/02/the-yates-memo-the-promise-and-reality-a-year-later/

9:35am – 10:25am – Keynote and Fireside Chat with Andrea Griswold, Deputy U.S. Attorney for the Southern District of New York (50 minutes)

Description: Andrea Griswold will deliver remarks on the SDNY’s new whistleblower pilot program. There will then be a moderated Q&A with the moderator to further explore the SDNY’s new whistleblower program, the reasons why it was created, how it has been operationalized, and potential benefits and issues. The final part of the discussion will involve taking questions from the audience on these issues.

Stephen Kohn, et al., Empirical Data Supports Efforts to Reform Internal Corporate Whistelblower Protections, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (April 8, 2024), https://wp.nyu.edu/compliance_enforcement/2024/04/08/empirical-data-supports-efforts-to-reform-internal-corporate-whistleblower-protections/

Helen v. Cantwell et al., SDNY Whistleblower Pilot Program Incentivizes Self-Disclosure and Cooperation, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Feb. 3, 2024), https://wp.nyu.edu/compliance_enforcement/2024/02/03/sdny-whistleblower-pilot-program-incentivizes-self-disclosure-and-cooperation/

Brian A. Jacobs & A. Dennis Dillon, Possible Unintended Consequences of the SDNY’s New Whistleblower Program, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 29, 2024), https://wp.nyu.edu/compliance_enforcement/2024/01/29/possible-unintended-consequences-of-the-sdnys-new-whistleblower-program/

U.S. Att’ys’ Office, Southern District of New York, “SDNY Whistleblower Pilot Program” (Jan. 10, 2024), https://www.justice.gov/usao-sdny/sdny-whistleblower-pilot-program.

U.S. Att’ys’ Office, Southern District of New York, Press Release, “U.S. Attorney Williams Announces Enforcement Priorities and SDNY Whistleblower Pilot Program” (Jan. 10, 2024), https://www.justice.gov/usao-sdny/pr/us-attorney-williams-announces-enforcement-priorities-and-sdny-whistleblower-pilot.

10:45am – 11:55am – Panel One: Whistleblowers: How to Induce Reporting to Reveal Corporate Misconduct (70 minutes)

Panel Description: The panel that will focus on whether individual self-reporting and whistleblower policies, including the SDNY’s new whistleblower pilot program, are effective in encouraging individuals to report corporate misconduct and whether the potential for individual reporting to regulators encourages corporations to themselves self-report misconduct.

Joshua A. Naftalis, Paying Criminal Whistleblowers: DOJ Announces A Program to Pay For Tips, and the SFO Is Considering Doing So Too, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar, 12, 2024), https://wp.nyu.edu/compliance_enforcement/2024/03/12/paying-criminal-whistleblowers-doj-announces-a-program-to-pay-for-tips-and-the-sfo-is-considering-doing-so-too/

Nicole M. Argentieri, Acting Assistant Att’y Gen., U.S. Dep't of Just., Keynote Speech at the American Bar Association’s 39th National Institute on White Collar Crime (Mar. 8, 2024), https://www.justice.gov/opa/speech/acting-assistant-attorney-general-nicole-m-argentieri-delivers-keynote-speech-american

Lisa Monaco, Deputy Att’y Gen., U.S. Dep’t of Just., Keynote Remarks at the American Bar Association’s 39th National Institute on White Collar Crime (Mar. 7, 2024), https://www.justice.gov/opa/speech/deputy-attorney-general-lisa-monaco-delivers-keynote-remarks-american-bar-associations

Tami Stark & Joel M. Cohen, How to Avoid Risk of SEC Whistleblower Rule Violations in Connection with Settlement Agreement Confidentiality Provisions, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Feb. 6, 2024), https://wp.nyu.edu/compliance_enforcement/2024/02/06/how-to-avoid-risk-of-sec-whistleblower-rule-violations-in-connection-with-settlement-agreement-confidentiality-provisions/

U.S. Att’ys’ Office, Southern District of New York, “SDNY Whistleblower Pilot Program” (Jan. 10, 2024), https://www.justice.gov/usao-sdny/sdny-whistleblower-pilot-program.

Benjamin Calitri, $10 Million Penalty Against D.E. Shaw a Major Step in SEC’s Enforcement of Rule 21F-17(a), NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 5, 2023), https://wp.nyu.edu/compliance_enforcement/2023/12/05/10-million-penalty-against-d-e-shaw-a-major-step-in-secs-enforcement-of-rule-21f-17a/

Andrew J. Ceresney et al., Hackers Turned Whistleblowers: SEC Cybersecurity Rules Weaponized Over Ransom Threat, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Nov. 29, 2023), https://wp.nyu.edu/compliance_enforcement/2023/11/29/hackers-turned-whistleblowers-sec-cybersecurity-rules-weaponized-over-ransom-threat/

Benjamin Calitri, SEC Takes First Rule 21F-17(a) Action Against Private Company, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 13, 2023), https://wp.nyu.edu/compliance_enforcement/2023/10/13/sec-takes-first-rule-21f-17a-action-against-private-company/

Sidney Bashago et al., SEC Files Two More Actions Alleging Employee Severance Agreements Violated Whistleblower Protections, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 6, 2023), https://wp.nyu.edu/compliance_enforcement/2023/10/06/sec-files-two-more-actions-alleging-employee-severance-agreements-violated-whistleblower-protections/

Miriam Baer, Reconceptualizing the Whistleblower’s Dilemma, UC-Davis Law Review: (April 25, 2017), https://lawreview.law.ucdavis.edu/sites/g/files/dgvnsk15026/files/media/documents/50-5_Baer.pdf

12:05pm – 1:35pm – Networking Lunch, Dean’s Remarks: Troy McKenzie; Panel Two: PCCE’s 10th Anniversary Enforcement Panel (90 minutes)

Panel Description: This panel will retrospectively discuss the enforcement system in 2014 and reflect on how FCPA corporate enforcement policies went on to improve the system. The panel will address aspects of FCPA policies that were not effective and how more recent Department of Justice policies, including USAO policy, have improved deterrence effectiveness. Finally, the panel will discuss how DOJ policies intersect with SEC and CFTC initiatives and resulting potential strengths and weaknesses regarding incentives to self-report and cooperate. From this conversation, panelists will discuss the likelihood that the new whistleblower policy might improve the enforcement systems effectiveness.

Richard A. Powers, DOJ Continues to Modernize its Criminal Antitrust Enforcement Strategy, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 13, 2024), https://wp.nyu.edu/compliance_enforcement/2024/03/13/doj-continues-to-modernize-its-criminal-antitrust-enforcement-strategy/

U.S. Dep’t of Just, “Criminal Division Corporate Enforcement and Voluntary Self-Disclosure Policy” (Jan. 17, 2023), https://www.justice.gov/criminal/criminal-fraud/file/1562831/dl?inline.

U.S. Att’ys’ Office, Southern District of New York, “SDNY Whistleblower Pilot Program” (Jan. 10, 2024), https://www.justice.gov/usao-sdny/sdny-whistleblower-pilot-program.

Joel M. Cohen, A View from Abroad: Unpacking DOJ’s M&A Safe Harbor Policy, Part II, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 23, 2023), https://wp.nyu.edu/compliance_enforcement/2023/12/23/a-view-from-abroad-unpacking-dojs-ma-safe-harbor-policy-part-ii/

Kara Brockmeyer, Congress Passes Foreign Extortion Prevention Act, Targeting “Demand Side” of Foreign Bribery, , NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 21, 2023), https://wp.nyu.edu/compliance_enforcement/2023/12/21/congress-passes-foreign-extortion-prevention-act-targeting-demand-side-of-foreign-bribery/

Joel M. Cohen & Marietou Diouf, Questions about the “Carrot” and “Stick” Remain: Unpacking DOJ’s New M&A Safe Harbor Policy, Part I, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 9, 2023), https://wp.nyu.edu/compliance_enforcement/2023/12/09/questions-about-the-carrot-and-stick-remain-unpacking-dojs-new-ma-safe-harbor-policy-part-i/

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/.

Joon H. Kim, 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/

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/.

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/

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, 2023), 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/

Lee G. Dunst, DOJ’s Expectations for Voluntary Disclosure and Cooperation: In Loco Parentis for Corporations?, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Aug. 31, 2016), https://wp.nyu.edu/compliance_enforcement/2016/08/31/dojs-expectations-for-voluntary-disclosure-and-cooperation-in-loco-parentis-for-corporations/

Miriam Baer, The Stick that Never Was: Parsing the Yates Memo and the Revised Principles of Federal Prosecution of Business Organizations, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Aug. 31, 2016), https://wp.nyu.edu/compliance_enforcement/2016/08/31/the-stick-that-never-was-parsing-the-yates-memo-and-the-revised-principles-of-federal-prosecution-of-business-organizations/

Jennifer Arlen, Assessing the Fraud Section’s FCPA Pilot Program, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Apr. 28, 2016), https://wp.nyu.edu/compliance_enforcement/2016/04/28/assessing-the-fraud-sections-fcpa-pilot-program/

John F. Savarese et al., DOJ Applies Principles of FCPA Corporate Enforcement Policy in Other White-Collar Investigations, Increasing Opportunity for Corporate Declinations, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 7, 2018), https://wp.nyu.edu/compliance_enforcement/2018/03/07/doj-applies-principles-of-fcpa-corporate-enforcement-policy-in-other-white-collar-investigations-increasing-opportunity-for-corporate-declinations/

1:50pm – 2:45pm – Keynote Speech with Gurbir Grewal, Director of Enforcement, Securities and Exchange Commission (55 minutes)

Panel Description: This first half of this keynote will address conduct related to cybersecurity and new technologies, particularly AI, that triggers enforcement actions. AI-washing will be discussed in relation to corporate and individual liability, and review appropriate actions for corporations to avoid liability. The second half of this keynote will address insider trading of publicly-held companies and the facts that trigger liability. This will be followed by a discussion of concerns within private equity considering on how to best deter insider trading.

Tami Stark et al., Recent Regulatory Announcements Confirm Increased Scrutiny of “AI-Washing”, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar, 21, 2024), hhttps://wp.nyu.edu/compliance_enforcement/2024/03/21/recent-regulatory-announcements-confirm-increased-scrutiny-of-ai-washing/

Avi Gesser et al., Risk of AI Abuse by Corporate Insiders Presents Challenges for Compliance Departments, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 1, 2024), https://wp.nyu.edu/compliance_enforcement/2024/03/01/risk-of-ai-abuse-by-corporate-insiders-presents-challenges-for-compliance-departments/

Helen v. Cantwell et al., DOJ Announces Initiative to Combat AI-Assisted Crime, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Feb. 27, 2024), https://wp.nyu.edu/compliance_enforcement/2024/02/27/doj-announces-initiative-to-combat-ai-assisted-crime/

Joshua A. Naftalis & Melissa Kelley, U.S. White-Collar and Regulatory Enforcement: Some Thoughts for 2024, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Feb. 14, 2024), https://wp.nyu.edu/compliance_enforcement/2024/02/14/u-s-white-collar-and-regulatory-enforcement-some-thoughts-for-2024/

Scott H. Kimpel, An Update on the SEC’s Cybersecurity Reporting Rules, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Mar. 5, 2024), https://wp.nyu.edu/compliance_enforcement/2024/03/05/an-update-on-the-secs-cybersecurity-reporting-rules/

Helena K. Grannis, Crossing a New Threshold for Material Cybersecurity Incident Reporting, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Jan. 25, 2024), https://wp.nyu.edu/compliance_enforcement/2024/01/25/crossing-a-new-threshold-for-material-cybersecurity-incident-reporting/

Michael T. Borgia & Patrick J. Austin, DOJ, FBI Issue Guidance for Public Companies Seeking to Delay Disclosure of Material Cybersecurity Incidents, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 19, 2023), https://wp.nyu.edu/compliance_enforcement/2023/12/19/doj-fbi-issue-guidance-for-public-companies-seeking-to-delay-disclosure-of-material-cybersecurity-incidents/

Andrew K. Ceresney et al., Resisting Hindsight Bias: A Proposed Framework for CISO Liability, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 15, 2023), https://wp.nyu.edu/compliance_enforcement/2023/12/15/resisting-hindsight-bias-a-proposed-framework-for-ciso-liability/

Nicole Friedlander et al., SEC Charges SolarWinds and Its CISO with Fraud and Internal Controls Failures, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Nov. 22, 2023), https://wp.nyu.edu/compliance_enforcement/2023/11/22/sec-charges-solarwinds-and-its-ciso-with-fraud-and-internal-controls-failures/

John F. Savarese, The SEC’s Enforcement Action Against SolarWinds Underscores Growing Scrutiny Over Cybersecurity Internal Controls, Reporting and Disclosures, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Nov. 13, 2023), https://wp.nyu.edu/compliance_enforcement/2023/11/13/the-secs-enforcement-action-against-solarwinds-underscores-growing-scrutiny-over-cybersecurity-internal-controls-reporting-and-disclosures/

3:05pm – 4:15pm – Panel Three – Corporate Compliance Programs: What’s Worked and What Can Be Improved? (70 minutes)

Panel Description: The panel will address corporate compliance programs and will examine past attempts at implementing compliance reforms and contemplate what future reforms and strategies should be considered, including clawbacks, use of data, compliance program responses to differences in global regulation, and aligning compensation policies to promote compliance and deter misconduct.

Kathryn Atkinson et al., Guidance from Attachment C: Recent Resolutions Include DOJ Updates to the Requirements for an Effective Compliance Program, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Oct. 27, 2023), https://wp.nyu.edu/compliance_enforcement/2023/10/27/guidance-from-attachment-c-recent-resolutions-include-doj-updates-to-the-requirements-for-an-effective-compliance-program/

Rich Kando et al., Can you Develop a Culture of Compliance?, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & ENF’T Blog (Aug. 22, 2023), https://wp.nyu.edu/compliance_enforcement/2023/08/22/can-you-develop-a-culture-of-compliance/

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/.

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.

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/.

Daniel Lucien Buhr, Do DOJ Policy and ISO Compliance Standard Overlap; and What Are the Pros and Cons For Applying the ISO Standard?, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Nov. 14, 2018), https://wp.nyu.edu/compliance_enforcement/2018/11/14/do-doj-policy-and-iso-compliance-standard-overlap-and-what-are-the-pros-and-cons-for-applying-the-iso-standard/

Saqib Alam et al., UK Serious Fraud Office Issues Guidance for Evaluating Compliance Programmes, Echoes DOJ Guidance, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & ENF’T Blog (Jan. 29, 2020), https://wp.nyu.edu/compliance_enforcement/2020/01/29/uk-serious-fraud-office-issues-guidance-for-evaluating-compliance-programmes-echoes-doj-guidance/

Anthony S. Barkow, The Latest Step in DOJ’s Compliance Mission: Takeaways from the Updated Guidance on Evaluating Corporate Compliance Programs, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & ENF’T Blog (June 8, 2020), https://wp.nyu.edu/compliance_enforcement/2020/06/08/the-latest-step-in-dojs-compliance-mission-takeaways-from-the-updated-guidance-on-evaluating-corporate-compliance-programs/

F. Jospeh Warin et al., DOJ Updates Guidance Regarding Its “Evaluation of Corporate Compliance Programs”, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & ENF’T Blog (June 4, 2020), https://wp.nyu.edu/compliance_enforcement/2020/06/04/doj-updates-guidance-regarding-its-evaluation-of-corporate-compliance-programs/

Matthew Levine, The SEC (Sort of) Weighs In on How Personal Liability for Chief Compliance Officers May Undercut Effective Compliance Programs, NYU School of Law Program on Corporate Compliance and Enforcement: Compliance & Enf’t Blog (Dec. 17, 2020), https://wp.nyu.edu/compliance_enforcement/2020/12/17/the-sec-sort-of-weighs-in-on-how-personal-liability-for-chief-compliance-officers-may-undercut-effective-compliance-programs/

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/.

4:20pm – 5:10pm – Keynote Speech with Nicole Argentieri, Principal Deputy Assistant Attorney General, Criminal Division, DOJ (50 minutes)

Panel Description: This keynote will discuss new enforcement policies relating to individual liability for corporate misconduct. This will be followed by a discussion of how the new policies are intended to impact self-reporting, AI-washing, cybersecurity and the other existing initiatives that address white collar crime.