(Live/In Person) Compliance Institute 2022

Kickoff Reception: Wednesday, September 21, 2022 | 6:00 pm – 8:00 pm
Institute: Thursday, September 22, 2022 | 9:00 am – 5:00 pm

Keynote Speaker:
Alixandra Smith
Deputy Chief, Criminal Division
United States Attorney’s Office, EDNY

Program Co-Chair:
Patrick T. Campbell
Baker Hostetler

Program Co-Chair:
Adam Felsenthal 
General Counsel
Deputy Chief Compliance Officer
Great Point Partners LLC

  • Corporate ethics and compliance responsibilities are becoming increasingly complex. Early last year, we saw the passage of the Anti-Money Laundering Act of 2020, which was the most comprehensive set of reforms to U.S. anti-money laundering laws since the USA Patriot Act, and more proposed anti-money laundering laws and regulations are on the way. The SEC has been busy proposing regulations that significantly increase the compliance burdens on regulated companies on matters ranging from disclosure obligations to cybersecurity. In addition, compliance professionals have had to deal with new and evolving data privacy and cybersecurity laws, in a progressively multi-jurisdictional environment, with a significant portion of the workforce still working remotely due to the COVID-19 pandemic. The application of new and more sophisticated technology, artificial intelligence, and machine learning solutions, and the evolution of digital assets and cryptocurrencies, have also increased the challenges facing compliance officers.

    On top of all of that, law enforcement agencies and regulators are increasingly expecting companies to have robust compliance programs, and have emphasized that those who do will be rewarded, and those who do not can suffer significant consequences in the event of a legal, ethics, or compliance breach.

    The full-day Compliance Institute will explore the most critical emerging ethics and compliance trends that compliance professionals in every industry should be aware of. The Institute will bring together top in house compliance officers and professionals and leading outside compliance counsel and consultants to discuss how they approach the increasingly complex ethics and compliance environment, with senior regulators for their perspectives on why they make the rules, how they enforce them, and what they expect corporate compliance programs to look like. The Institute will begin with a Kickoff Reception on diversity, equity, and inclusion issues in the compliance industry and include a keynote speech from a senior regulatory official on how the government views corporate ethics and compliance. The program also will feature ample opportunity to network with your peers in the ethics and compliance space.

    Program Fee:
    Kickoff Reception: $50 for Members | $80 for Nonmembers
    Institute: $599 for Members | $699 for Nonmember
    In-House Counsel: $299 Member | $399 Non-member
    Special Pricing for In-House/Government/Nonprofit/Academics: $299 Member | $399 Nonmember

  • Tiffany Archer
    Global Head of Compliance, Risk and Privacy
    Pall Corporation

    Robert B. Baker
    Assistant Director, Asset Management Unit, SEC

    Brian Barnier
    Head of Decision Science and Analytics
    ValueBridge Advisors

    Ron Carucci
    Co-Founder and Managing Partner

    Parth Chanda
    Founder and CEO

    Al De Leon
    Legal & Compliance Consultant and Lecturer
    Pace University

    Pete Driscoll
    Partner National Quality Organization, PwC
    Former Director, Division of Examinations, SEC

    Jennifer Duggins
    Assistant Director & Co-Head Private Funds Unit, SEC

    Eric Ellis
    BSA/AML Policy Specialist

    Shirley Emehelu
    Executive Assistant Attorney General
    New Jersey Attorney General’s Office

    Brian Fields
    Chief Ethics and Compliance Officer
    STO Building Group

    Alexis Hall
    Senior Regulatory Counsel, SEC

    Justin Shibayama Herring
    Executive Deputy Superintendent, Cybersecurity Division
    New York State Department of Financial Services

    Doel Kar
    Forensic Risk Alliance

    Essence Liburd
    Associate Compliance Counsel

    Chris Matta
    3iQ Digital Assets

    Greg Michaels
    Managing Director
    Kroll Cyber Risk

    Maria Minguez
    CCO, DealMaker Securities

    Dan Mistler
    Partner & Head of ACA ESG Advisory
    ACA Compliance Group

    Christopher Mulligan
    Investment Adviser / Private Funds Senior Adviser, SEC

    Michael J. Osnato
    Simpson Thacher & Bartlett LLP

    Jai Ramaswamy
    Chief Legal Officer
    Andreessen Horowitz
    Former Chief, Asset Forfeiture & Money Laundering Section
    Criminal Division, DOJ

    Matt Reinhard
    Chief Compliance Officer
    New Fortress Energy, Inc.

    Harriette I. Resnick
    Assistant Deputy Superintendent, Climate Division
    New York State Department of Financial Services

    Igor Rozenblit
    Iron Road Partners
    Former Co-Head, Private Funds Unit, SEC

    Nate Saint Victor
    General Counsel and Chief Compliance Officer,
    Engine No. 1

    Lanier Saperstein
    Dorsey & Whitney LLP

    Devi Shanmugham
    Global Head of Compliance

    Elliot Siebers
    Kelley Drye
    Former Section Chief, Data Privacy and Cybersecurity Section
    New Jersey Attorney General’s Office

    Tiffany J. Smith

    Kristin A. Snyder

    Alexander Southwell
    Gibson Dunn

    Hannah E. Taylor
    Frankfurt Kurnit Klein + Selz

    Annemarie Tierney
    Founder and Principal
    Liquid Advisors Inc.

    Michael Tzitzikalakis
    Assistant Special Agent in Charge
    Homeland Security Investigations (HSI)
    U.S. Department of Homeland Security

    Judson Welle
    Goodwin Procter

    Elaine Wood
    Vice President, Investigations & Analytics Practice
    Charles River Associates

    Megan Zwiebel
    Ropes & Gray

  • Wednesday, September 21, 2022 – Kickoff Reception
    6pm – 8pm
    Diversity, Equity, and Inclusion in Compliance: Reception and Fireside Chat
    Panelists: Al De Leon, Jennifer Duggins &,  Nate Saint Victor
    Moderator: Doel Kar

    Thursday, September 22, 2022 – Compliance Institute
    8:30am – 9:00am
    Registration and Continental Breakfast

    9:00am – 9:15am
    Patrick Campbell & Adam Felsenthal

    9:15am – 10:15am (Morning Plenary Session)
    How to Make Your Compliance Program Practical and Successful: Recent Trends and Best Practices
    Panelists: Pete Driscoll, Brian Fields, Maria Minguez, Matt Reinhard,
    Moderator: Patrick T. Campbell

    10:15am – 10:30am
    Morning Coffee Break

    10:30am – 11:45am (Morning Breakout Session #1)
    SEC Regulation Update: Key Takeaways and Impact from the New Proposed Rules
    Panelists: Kristin A. Snyder, Christopher Mulligan, Igor Rozenblit, Devi Shanmugham
    Moderator: Michael J. Osnato

    10:30am – 11:45am (Morning Breakout Session #2)
    Monitoring for White Collar Crime: Using Artificial Intelligence, Machine Learning, and Other Advanced Technologies
    Panelists: Parth Chanda, Eric Ellis, Shirley Emehelu, Justin Shibayama Herring, Mike Tzitzikalakis
    Moderator: Alexander Southwell

    11:45am – 1:00pm
    Networking Luncheon and Keynote Address

    1:00pm – 2:15pm (Early Afternoon Plenary Session)
    Data Privacy and Security: Regulation, Enforcement, and Best Practices
    Panelists: Brian Barnier, Alexis Hall, Elliot Siebers, Judson Welle
    Moderator: Greg Michaels

    2:15pm – 2:30pm
    Afternoon Coffee Break

    2:30pm – 3:45pm (Afternoon Breakout Session #1)
    Current Opportunities and Challenges in Cryptocurrency
    Panelists: Chris Matta, Jai Ramaswamy, Hannah E. Taylor, Annemarie Tierney
    Moderator: Tiffany J. Smith

    2:30pm – 3:45pm (Afternoon Breakout Session #2)
    ESG: What Is It and What Does It Mean for Compliance?
    Panelists: Robert B. Baker, Dan Mistler, Harriette I. Resnick, Elaine Wood
    Moderator: Lanier Saperstein

    3:45pm – 4:00pm
    Short Break

    4:00pm – 5:00pm (Late Afternoon Plenary Session)
    Behavioral Science: The Key to Unlocking an Ethical and Compliant Workplace Culture
    Panelists: Ron Carucci, Essence Liburd, Megan Zwiebel
    Moderator: Tiffany Archer

  • New York: 6.5 Total: 5.5 Professional Practice & 1.0 Ethics
    New Jersey:
    6.9 Total: 5.9 General & 1.0 Professional Responsibility
    5.5 General & 1.0 Professional Responsibility
    4.5 General & 1.0 Professional Responsibility
    Connecticut: Available to Licensed Attorneys

  • Thank You To Our Sponsors:

    Platinum Sponsors:

    Silver Sponsors:

    Sponsoring Association Committees:
    Compliance,Patrick T. Campbell & Adam Felsenthal, Co-Chairs
    Digital Technologies Task Force, Lorraine S. McGowen, Edward So & Jerome Walker, Co-Chairs
    Inter-American Affairs, Jessenia Vazcones, Chair
    Securities Regulation, Rodney Miller, Chair
    Technology, Cyber & Privacy Law, Wesley Paisley & Adam Wandt, Co-Chairs
    Digital Technologies Task Force,  Lorraine S. McGowen, Edward So, & Jerome Walker, Co-Chairs
    White Collar Crime, Jenna Dabbs, Chair

     Sponsorship Opportunities are Available! Please Contact:
    Yelena Balashchenko, Manager, Business Development & Sponsorships | (212) 382-6608 | ybalashchenko@nycbar.org