Compliance Institute 2023

Tuesday, October 24, 2023

Check in: 8:30 am – 9:00 am
Program: 9:00 am – 5:00 pm
Reception: 5:00 pm – 6:00 pm

Format: In-Person

• Description
• Faculty
• Agenda
• CLE Credit
• Sponsors

• 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:
  Live Program: $599 Member | $699 Nonmember
  Special Pricing for Government/Nonprofit/Academics: $299 Member | $399 Nonmember

• 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 VanDodick
  
  2:30pm – 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 Welle
  
  3:45pm – 4:00pm
  Afternoon Coffee Break 
   
  4:00pm – 5:00pm
  Late Afternoon Plenary Session: Addressing DE&I Issues in Compliance
  Martin Bell, Doel Kar, Dawn Smalls
  
  5:00pm – 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: 3.5 General, 1.0 Technology, & 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