Compliance Institute 2023 (OnDemand)

Originally held on Tuesday, October 24, 2023 | 9:00 am – 5:00 pm

Register for the OnDemand

Institute Keynote Speaker: Kickoff Fireside Chat Speaker:

Gurbir S. Grewal
Director, Division of Enforcement, SEC
Preet Bharara
Former United States Attorney, SDNY
WilmerHale

  • Corporate compliance responsibilities are becoming increasingly complex and compliance professionals have to deal with new and evolving laws and regulations, in an increasingly multi-jurisdictional environment. New and increasingly sophisticated technology, artificial intelligence, and machine learning solutions, together with the evolution of digital assets and cryptocurrencies, heightened demands by law enforcement agencies and regulators and potentially heightened personal liability add to such challenges. New SEC rules and DOJ guidance add to the complexity of managing a compliance program or advising compliance teams.

    The Compliance Institute will uniquely provide learning opportunities for law firm attorneys, compliance professionals, consultants, and service providers. Special tracked offerings will have specialized sessions for those who work in asset management, broker-dealer, banking and general corporate compliance. Below are some of the topics that recognized experts will discuss at the Institute.

    • How to Make Your Compliance Program Practical and Successful: Recent Trends and Best Practices
    • Current Trends in Broker-Dealer Regulations and Enforcement
    • Current Issues in Anti-Corruption, AML, and Trade Sanctions Compliance
    • AI Technologies and Predictive Data Analytics
    • Current Trends in Asset Management Regulations and Enforcement
    • Privacy and Security: A Practical Approach to Addressing Data Trends
    • Addressing DE&I Issues in Compliance

    Program Fee:
     $599 for Members | $699 for Nonmembers

  • Program Co-Chairs:  

    Patrick T. Campbell
    BakerHostetler 

    Rory Cohen
    General Counsel
    Varadero Capital, LP

    Adam Felsenthal
    General Counsel and Deputy Chief Compliance Officer
    Great Point Partners 

    Devi Shanmugham
    Global Head of Compliance
    Tradeweb

    Faculty:

    How to Make Your Compliance Program Practical and Successful: Recent Trends and Best Practices
    Lawrence S. Block
    Co-General Counsel and Chief Compliance Officer
    Island Capital Group

    Sijia Cai
    Davis Polk

    John J. Carney
    BakerHostetler

    Bruce Karpati
    Global Chief Compliance Officer and Counsel
    KKR & Co. Inc.

    Current Trends in Broker-Dealer Regulations and Enforcement
    A.J. Bosco
    Special Counsel
    Zeichner Ellman & Krause LLP

    Jaime Marinaro
    Division of Enforcement
    SEC

    Ghillaine Reid
    Troutman Pepper

    Jason Sabot
    Senior Managing Director
    FTI Consulting

    Bruce Spiegler
    Jefferies LLC

    Current Issues in Anti-Corruption, AML, and Trade Sanctions Compliance
    Joseph Jaffe
    Chief Compliance Officer and Deputy General Counsel
    Guidepost Solutions

    Andrew Levine
    Debevoise & Plimpton

    Brandon Smith
    Director, Global Financial Crimes Sanctions Head, Treasury and Trade Solutions
    Citi

    AI Technologies and Predictive Data Analysis
    Michael Gilbert
    Sheppard Mullin

    Beth Haddock
    Managing Partner
    Warburton Advisers

    Carl Hahn
    Vice President and Chief Compliance Officer
    Northrup Grumman

    Tejal Shah
    Associate Regional Director, Division of Enforcement
    Securities and Exchange Commission

    Jamie VanDodick
    Director, AI Ethics Project Office and AI Governance
    IBM Corporation

    Current Trends in Asset Management Regulations and Enforcement
    Brad Bondi
    Paul Hastings

    Rory Cohen
    General Counsel
    Varadero Capital, LP

    Jonathan Danziger
    Lowenstein Sandler

    Daniel Faigus
    Senior Specialized Examiner, Division of Examinations’ Private Funds Unit
    Securities and Exchange Commission

    Igor Rozenblit
    Iron Road Partners

    Privacy and Security: A Practical Approach to Addressing Data Trends
    Jordan Ellington
    Founder and CEO
    Session Guardian

    Eric Feldman
    Chief Information Officer
    The Riverside Company

    Dana Garbo
    Chief Privacy Officer
    Medline Industries

    Andrew Tobel
    Tobel Law LLC

    Jud Welle
    Goodwin Procter LLP

    Addressing DE&I Issues in Compliance
    Martin Bell
    Simpson Thacher

    Doel Kar
    Director, NY Office
    Forensic Risk

    Dawn Smalls
    Jenner and Block

  • 8:30am – 9:00am
    Registration and Continental Breakfast

    9:00am – 9:10am
    Introduction

    9:10am – 9:40am
    Kickoff Fireside Chat
    Preet Bharara

    9:45am – 10:45am
    Morning Plenary Session: How to Make Your Compliance Program Practical and Successful: Recent Trends and Best Practices
    Larry Block, Sijia Cai, John Carney, Bruce Karpati

    10:45am – 11:00am
    Morning Coffee Break

    11:00am – 12:00pm
    Morning Breakout Sessions:
    1. Current Trends in Broker-Dealer Regulations and Enforcement
    A.J. Bosco, Jaime Marinaro, Ghillaine Reid, Jason Sabot, Bruce Spiegler
    2. Current Issues in Anti-Corruption, AML, and Trade Sanctions Compliance
    Joseph Jaffe, Andrew Levine, Brandon Smith

    12:00pm – 1:30pm
    Networking Luncheon and Institute Keynote Address
    Gurbir Grewal

    1:30pm – 2:30pm
    Afternoon Plenary Session: AI Technologies and Predictive Data Analytics
    Michael Gilbert, Beth Haddock, Carl Hahn, Tejal Shah, Jamie VanDodick2:30pm – 2:45pm
    Afternoon Coffee Break      2:45pm – 3:45pm
    Afternoon Breakout Sessions:
    1. Current Trends in Asset Management Regulations and Enforcement
    Brad Bondi, Rory Cohen, Jonathan Danziger, Daniel Faigus, Igor Rozenblit
    2. Privacy and Security: A Practical Approach to Addressing Data Trends
    Jordan Ellington, Eric Feldman, Dana Garbo, Andrew Tobel, Jud Welle3:45pm – 4:00pm
    Afternoon Coffee Break      4:00pm – 5:00pm
    Late Afternoon Plenary Session: Addressing DE&I Issues in Compliance
    Martin Bell, Doel Kar, Dawn Smalls5:00pm – 6:00pm
    Networking Reception

  • New York: 3.5 Professional Practice, 1 Cyber – General, & 1.0 Diversity & Inclusion
    New Jersey: 4.6 General & 1.0 Diversity & Inclusion
    California: 4.0 General & 1.0 Diversity & Inclusion
    Pennsylvania: 4.0 General & 1.0 Diversity & Inclusion

  • Thank you to our sponsor.

    Platinum Sponsors:

    Gold Sponsor:

    Silver Sponsors:

    Sponsoring Association Committees:
    Banking Law, N. Adele Hogan, Chair
    Compliance, Rory Cohen and Devi Shanmugham, Co-Chairs
    Inter-American Affairs, Jessenia Vazcones, Chair
    White Collar Crime, Jenna Dabbs, Chair

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

Register for the OnDemand

Print Registration Form