Program on Corporate Compliance and Enforcement

Achieving Safe and Responsible Enterprise: Principles of Effective Compliance and Emerging Enforcement Policy

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: 

, 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: , Stuyvesant P. Comfort Professor of Law and Faculty Director, Program on Corporate Compliance and Enforcement, School of Law
Panelists

  • , Senior Vice President, General Counsel and Chief Ethics & Compliance Officer, Avon Products, Inc.
  • , Chief Compliance Officer, Global Consumer Group, Citigroup Inc.
  • , Partner, Simpson Thacher & Bartlett
  • , Chairman and CEO, Kroll Bond Ratings

Panel 2: Who’s in Charge? The Interplay of Corporate Control Offices in Achieving Effective Compliance

Moderator: , Gerald Baylin Professor of Law, Brooklyn Law School
Panelists

  • , Partner, Davis Polk & Wardwell
  • , Senior Vice President and Chief Risk & Compliance Officer, Marsh & McLennan Companies
  • , Executive Vice President and Chief Risk Officer, CIT Group

Panel 3: Attaining Reasonable and Effective Compliance: An Enforcement Perspective

Moderator: ’86, Norma Z. Paige Professor of Law and Faculty Co-Director, Program on Corporate Compliance and Enforcement,
Panelists

  • , Senior Fellow, Law Program on Corporate Compliance and Enforcement and former General Counsel, New York State Department of Financial Services
  • Director, Division of Enforcement, Securities and Exchange Commission
  • , Acting Principal Deputy Assistant Attorney General and Chief of Staff, Criminal Division, United States Department of Justice
  • , Partner, Wachtell, Lipton, Rosen & Katz
  • , Deputy United States Attorney for the Southern District of New York

Keynote Address:

, 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
  • Risk Management Associate Reporter , James L. Krusemark Chair in Law, University of Minnesota Law School
  • Corporate Governance: Associate Reporter
  • Enforcement: Associate Reporter Jennifer Arlen